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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: ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

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 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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