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SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – CONSENT ORDERS/ PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS
PERIOD COVERED : 30-OCT-2007 TO 21-NOV-2024

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

SUB-BROKERS: PROVIDED WRONG/INCOMPLETE INFORMATION TO SEBI/DID NOT CO-OPERATE WITH SEBI IN INVESTIGATIONS

S.No. ENTITY DIRECTORS/ PERSONS  REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person ADITYA SECURITIES  
  ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

ALLEGED SUBMISSION OF FALSE INFORMATION TO INSPECTION OFFICIALS

ALLEGED EXTENDING MARGIN FACILITY TO CLIENTS  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)

04-DEC-2007 		 
2
History of entity/person BHAVESH R.MEHTA,M/S  

(Sub-Broker of SKSE SECURITIES LTD. , Member : BSE)
History of entity/person BHAVESH R.MEHTA
  		ALLEGED DISCREPANCIES IN MAINTENANCE OF CLIENT REGISTRATION FORMS & CLIENT AGREEMENT

ALLEGED FAILURE IN PROVIDING INFORMATION/COOPERATION WITH PROCEEDINGS

ALLEGED DEALING AS AN UNREGISTERED INTERMEDIARY ON F&O SEGMENT  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.12,00,000 VIDE CONSENT ORDER)

27-APR-2010 		 
3
History of entity/person BHAVESH R.MEHTA,M/S  

(Sub-Broker of SKSE SECURITIES LTD. , Member : NSE)
  ALLEGED DISCREPANCIES IN MAINTENANCE OF CLIENT REGISTRATION FORMS & CLIENT AGREEMENT

ALLEGED FAILURE IN PROVIDING INFORMATION/COOPERATION WITH PROCEEDINGS

ALLEGED DEALING AS AN UNREGISTERED INTERMEDIARY ON F&O SEGMENT  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.12,00,000 VIDE CONSENT ORDER)

27-APR-2010 		 
4
History of entity/person BHAVESH R.MEHTA,M/S  

(Sub-Broker of SHREE NAVKAR INVESTMENTS , Member : NSE)
History of entity/person BHAVESH R.MEHTA
  		ALLEGED DISCREPANCIES IN MAINTENANCE OF CLIENT REGISTRATION FORMS & CLIENT AGREEMENT

ALLEGED FAILURE IN PROVIDING INFORMATION/COOPERATION WITH PROCEEDINGS

ALLEGED DEALING AS AN UNREGISTERED INTERMEDIARY ON F&O SEGMENT  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.12,00,000 VIDE CONSENT ORDER)

27-APR-2010 		 
5
History of entity/person MUDIT GARG,M/S  

(Sub-Broker of BANSAL SHAREVEST SERVICES LTD. , Member : NSE)
History of entity/person MUDIT GARG
  		NON-COOPERATION WITH SEBI IN INVESTIGATIONS

DID NOT FURNISH REQUISITE INFORMATION TO SEBI IN TIME

DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS  		CANCELLED REGISTRATION AS SUB-BROKER FROM 18-JUL-2006

27-JUN-2006

REACHED SETTLEMENT (SETTLEMENT CHARGES RS.7,00,000, LEGAL EXPENSES RS.1,00,000 VIDE CONSENT ORDER)

31-JUL-2008 		SAT: IMPUGNED ORDER MODIFIED WITH NO ORDER AS TO COST AS APPELLANT AGREED TO CONSENT ORDER DATED 31/07/2008  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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