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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.

UN-AUTHORISED SUB-BROKERS: REACHED SETTLEMENT (CONSENT ORDER)

S.No. ENTITY DIRECTORS/ PERSONS  REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person A TO Z CONSULTANTS PVT.LTD.  
  ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

ALLEGED INDULGENCE IN PRICE MANIPULATION THROUGH IRREGULAR TRANSACTIONS IN SCRIP OF KARISHMA FLORICULTURE LTD.  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)

09-OCT-2009 		 
2
History of entity/person AGARWAL SECURITIES  
  ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

ALLEGED INDULGENCE IN PRICE MANIPULATION THROUGH IRREGULAR TRANSACTIONS IN SCRIP OF KARISHMA FLORICULTURE LTD.  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)

27-OCT-2009 		 
3
History of entity/person AGBROS CAPITAL PVT.LTD.  
  ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

ALLEGED INDULGENCE IN PRICE MANIPULATION THROUGH IRREGULAR TRANSACTIONS IN SCRIP OF KARISHMA FLORICULTURE LTD.  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)

27-OCT-2009 		 
4
History of entity/person CAPITAL STOCKS & SHARES  
  ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,10,000 VIDE CONSENT ORDER)

10-NOV-2009 		 
5
History of entity/person KUBER FINSTOCK PVT.LTD.  
History of entity/person CHANDRESH P.LOTIA

History of entity/person JIGNESH SHETH
  		ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

ALLEGED INDULGENCE IN CREATION OF CROSS DEALS IN SCRIP OF AXEL POLYMERS LTD.  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,25,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

28-APR-2009 		 
6
History of entity/person NIPPIN INVESTMENTS  
History of entity/person ROHIT JAIN
  		ALLEGED INDULGENCE IN PRICE MANIPULATION THROUGH IRREGULAR TRANSACTIONS IN SCRIP OF KARISHMA FLORICULTURE LTD.  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)

REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-FEB-2010 TO 17-AUG-2010 VIDE CONSENT ORDER)

15-FEB-2010 		 
7
History of entity/person RAJNI & CO.  
History of entity/person RAJNI KHANEJA
  		ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

ALLEGED INDULGENCE IN PRICE RIGGING, SIPHONING OF ISSUE PROCEEDS, LIQUIDATION OF NOMINEE HOLDINGS AT RIGGED PRICES AND MIS-STATEMENTS & DISCLOSURES IN PROSPECTUS AND LETTER OF OFFER IRREGULAR TRANSACTIONS IN SCRIP OF GLOBAL TELESYSTEMS LTD.  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.4,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

26-APR-2010 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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