| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
A C AGARWAL SHARE BROKERS PVT.LTD.
(PAN:AAFCA6859H)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 2 |
|
|
ABANS SECURITIES PVT.LTD.
(PAN:AAGCA6645Q)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 3 |
|
|
ABHINANDAN STOCK BROKING PVT.LTD.
(PAN:AAICA8362N)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 4 |
|
|
ABHIPRA CAPITAL LTD.
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE
DID NOT REDRESS INVESTOR COMPLAINTS
ALLOWED TERMINALS TO UNREGISTERED SUB-BROKERS
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
VIOLATED SEBI CODE OF CONDUCT
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 17-AUG-2007 PENDING COMPLETION OF ENQUIRY PROCEEDINGS
STOCK EXCHANGE ADVISED TO DEBIT MEMBER’S DEPOSIT
17-AUG-2007
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,00,000, ADMINISTRATION CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-APR-2009
|
INTERIM ORDER DATED 17/08/2007 MODIFIED TO THE EXTENT THAT ABHIPRA CAPITAL LIMITED ALLOWED TO OPEN NEW TRADING ACCOUNTS AS WELL AS DIRECTED TO SUBMIT DOCUMENTARY EVIDENCE FOR SETTLEMENT OF THE DUES OF JOHARI’S WITHIN 30 DAYS
INTERIM ORDER DATED 29/10/2007 MODIFIED BY LIFTING 30 DAYS TIME STIPULATED THEREIN FOR SETTLING THE DUES OF JOHARI’S.SAME AS ABOVE 10 MATTER SETTLED THROUGH ARBITRATION AWARD AND BY CONSENT ORDER DATED 8.04.2009
COMPANY VIDE DD NO.501444 DATED 07/03/2009 AND 501397 DATED 06/03/2009 DRAWN ON ICICI BANK LTD. HAS PAID RS.10 LACS TOWARDS SETTLEMENT CHARGES AND RS.1 LAC TOWARDS ADMINISTRATIVE CHARGES RESPECTIVELY
|
| 5 |
|
|
ABHIPRA CAPITAL LTD.
(Member : NSE)
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE
DID NOT REDRESS INVESTOR COMPLAINTS
ALLOWED TERMINALS TO UNREGISTERED SUB-BROKERS
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
VIOLATED SEBI CODE OF CONDUCT
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 17-AUG-2007 PENDING COMPLETION OF ENQUIRY PROCEEDINGS
STOCK EXCHANGE ADVISED TO DEBIT MEMBER’S DEPOSIT
17-AUG-2007
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,00,000, ADMINISTRATION CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-APR-2009
|
INTERIM ORDER DATED 17/08/2007 MODIFIED TO THE EXTENT THAT ABHIPRA CAPITAL LIMITED ALLOWED TO OPEN NEW TRADING ACCOUNTS AS WELL AS DIRECTED TO SUBMIT DOCUMENTARY EVIDENCE FOR SETTLEMENT OF THE DUES OF JOHARI’S WITHIN 30 DAYS
INTERIM ORDER DATED 29/10/2007 MODIFIED BY LIFTING 30 DAYS TIME STIPULATED THEREIN FOR SETTLING THE DUES OF JOHARI’S.SAME AS ABOVE 10 MATTER SETTLED THROUGH ARBITRATION AWARD AND BY CONSENT ORDER DATED 8.04.2009
COMPANY VIDE DD NO.501444 DATED 07/03/2009 AND 501397 DATED 06/03/2009 DRAWN ON ICICI BANK LTD. HAS PAID RS.10 LACS TOWARDS SETTLEMENT CHARGES AND RS.1 LAC TOWARDS ADMINISTRATIVE CHARGES RESPECTIVELY
|
| 6 |
|
|
ABHIPRA CAPITAL LTD.
(Member : OTC)
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE
DID NOT REDRESS INVESTOR COMPLAINTS
ALLOWED TERMINALS TO UNREGISTERED SUB-BROKERS
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
VIOLATED SEBI CODE OF CONDUCT
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 17-AUG-2007 PENDING COMPLETION OF ENQUIRY PROCEEDINGS
STOCK EXCHANGE ADVISED TO DEBIT MEMBER’S DEPOSIT
17-AUG-2007
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,00,000, ADMINISTRATION CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-APR-2009
|
INTERIM ORDER DATED 17/08/2007 MODIFIED TO THE EXTENT THAT ABHIPRA CAPITAL LTD. ALLOWED TO OPEN NEW TRADING ACCOUNTS AS WELL AS DIRECTED TO SUBMIT DOCUMENTARY EVIDENCE FOR SETTLEMENT OF THE DUES OF JOHARI'S WITHIN 30 DAYS
INTERIM ORDER DATED 29/10/2007 MODIFIED BY LIFTING 30 DAYS TIME STIPULATED THEREIN FOR SETTLING THE DUES OF JOHARI’S.SAME AS ABOVE 10 MATTER SETTLED THROUGH ARBITRATION AWARD AND BY CONSENT ORDER DATED 8.04.2009
COMPANY VIDE DD NO.501444 DATED 07/03/2009 AND 501397 DATED 06/03/2009 DRAWN ON ICICI BANK LTD. HAS PAID RS.10 LACS TOWARDS SETTLEMENT CHARGES AND RS.1 LAC TOWARDS ADMINISTRATIVE CHARGES RESPECTIVELY
|
| 7 |
|
|
ABHIPRA CAPITAL LTD.
(Member : NSE)
|
|
|
DID NOT REFUND MONEY COLLECTED UNDER CIS
ALLEGED DELAY IN MAKING PAYMENT TO CLIENTS
ALLEGED INSTALLATION OF TERMINALS AT UNAUTHORIZED PLACES
ALLEGED FAILURE IN PROVIDING INFORMATION/COOPERATION WITH PROCEEDINGS
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,00,000, ADMINISTRATION CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-APR-2009
|
INTERIM ORDER DATED 17/08/2007 MODIFIED TO THE EXTENT THAT ABHIPRA CAPITAL LIMITED ALLOWED TO OPEN NEW TRADING ACCOUNTS AS WELL AS DIRECTED TO SUBMIT DOCUMENTARY EVIDENCE FOR SETTLEMENT OF THE DUES OF JOHARI’S WITHIN 30 DAYS
INTERIM ORDER DATED 29/10/2007 MODIFIED BY LIFTING 30 DAYS TIME STIPULATED THEREIN FOR SETTLING THE DUES OF JOHARI’S.SAME AS ABOVE 10 MATTER SETTLED THROUGH ARBITRATION AWARD AND BY CONSENT ORDER DATED 8.04.2009
COMPANY VIDE DD NO.501444 DATED 07/03/2009 AND 501397 DATED 06/03/2009 DRAWN ON ICICI BANK LTD. HAS PAID RS.10 LACS TOWARDS SETTLEMENT CHARGES AND RS.1 LAC TOWARDS ADMINISTRATIVE CHARGES RESPECTIVELY
|
| 8 |
|
|
ABHIPRA CAPITAL LTD.
(Member : BSE)
|
|
|
DID NOT REFUND MONEY COLLECTED UNDER CIS
ALLEGED DELAY IN MAKING PAYMENT TO CLIENTS
ALLEGED INSTALLATION OF TERMINALS AT UNAUTHORIZED PLACES
ALLEGED FAILURE IN PROVIDING INFORMATION/COOPERATION WITH PROCEEDINGS
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,00,000, ADMINISTRATION CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-APR-2009
|
INTERIM ORDER DATED 17/08/2007 MODIFIED TO THE EXTENT THAT ABHIPRA CAPITAL LIMITED ALLOWED TO OPEN NEW TRADING ACCOUNTS AS WELL AS DIRECTED TO SUBMIT DOCUMENTARY EVIDENCE FOR SETTLEMENT OF THE DUES OF JOHARI’S WITHIN 30 DAYS
INTERIM ORDER DATED 29/10/2007 MODIFIED BY LIFTING 30 DAYS TIME STIPULATED THEREIN FOR SETTLING THE DUES OF JOHARI’S.SAME AS ABOVE 10 MATTER SETTLED THROUGH ARBITRATION AWARD AND BY CONSENT ORDER DATED 8.04.2009
COMPANY VIDE DD NO.501444 DATED 07/03/2009 AND 501397 DATED 06/03/2009 DRAWN ON ICICI BANK LTD. HAS PAID RS.10 LACS TOWARDS SETTLEMENT CHARGES AND RS.1 LAC TOWARDS ADMINISTRATIVE CHARGES RESPECTIVELY
|
| 9 |
|
|
ABHIPRA CAPITAL LTD.
(Member : OTC)
|
|
|
DID NOT REFUND MONEY COLLECTED UNDER CIS
ALLEGED DELAY IN MAKING PAYMENT TO CLIENTS
ALLEGED INSTALLATION OF TERMINALS AT UNAUTHORIZED PLACES
ALLEGED FAILURE IN PROVIDING INFORMATION/COOPERATION WITH PROCEEDINGS
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,00,000, ADMINISTRATION CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-APR-2009
|
INTERIM ORDER DATED 17/08/2007 MODIFIED TO THE EXTENT THAT ABHIPRA CAPITAL LIMITED ALLOWED TO OPEN NEW TRADING ACCOUNTS AS WELL AS DIRECTED TO SUBMIT DOCUMENTARY EVIDENCE FOR SETTLEMENT OF THE DUES OF JOHARI’S WITHIN 30 DAYS
INTERIM ORDER DATED 29/10/2007 MODIFIED BY LIFTING 30 DAYS TIME STIPULATED THEREIN FOR SETTLING THE DUES OF JOHARI’S.SAME AS ABOVE 10 MATTER SETTLED THROUGH ARBITRATION AWARD AND BY CONSENT ORDER DATED 8.04.2009
COMPANY VIDE DD NO.501444 DATED 07/03/2009 AND 501397 DATED 06/03/2009 DRAWN ON ICICI BANK LTD. HAS PAID RS.10 LACS TOWARDS SETTLEMENT CHARGES AND RS.1 LAC TOWARDS ADMINISTRATIVE CHARGES RESPECTIVELY
|
| 10 |
|
|
ACCORD CAPITAL MARKETS LTD.
(PAN:AACCA5695G)
(Member : NSE)
|
|
|
|
GIRISH S.MEHTA
(PAN:AFMPM1006P)
|
|
|
HIMANSHU AJMERA
(PAN:ADEPA7521K)
|
|
|
NILESH DOSHI
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH MATCHED AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF DSQ SOFTWARE LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 17-SEP-2007 TO 16-SEP-2008
27-AUG-2007
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.4,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-SEP-2007 TO 16-SEP-2008 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARY FOR DEBARMENT OF PROMOTERS FROM BEING PROMOTERS/DIRECTORS OF INTERMEDIARIES REGISTERED WITH SEBI)
29-JUN-2011
|
SEBI’S ORDER DATED 27/08/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.4,00,00,000.00 TOWARDS SETTLEMENT CHARGES AND TO VOLUNTARY DEBARMENT FROM BUYING,SELLING OR OTHERWISE DEALING IN SECURITIES MARKET FOR A PERIOD OF ONE YEAR FROM DATE OF CONSENT ORDER AND VOLUNTARY DEBARMENT OF PROMOTERS FROM BEING PROMOTERS/DIRECTORS OF INTERMEDIARIES REGISTERED WITH SEBI DURING THE SAID PERIOD OF DEBARMENT OF ONE YEAR,AS PER CONSENT ORDER DATED 29/06/2011
SAT: SAT VIDE IT’S ORDER DATED 13/09/2010 SET ASIDE SEBI’S ORDER DATED 27/08/2007 AND REMITTED CASE BACK TO SEBI TO CONCLUDE ENQUIRY PROCEEDINGS AND PASS FINAL ORDER BEFORE END OF MARCH 2011 WITH NO ORDER AS TO COSTS
|
| 11 |
|
|
ACHINTYA SECURITIES PVT.LTD.
(PAN:AAFCM2199G)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 12 |
|
|
ACML CAPITAL MARKETS LTD.
(PAN:AADCA4629D)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 13 |
|
|
ACROSS BROKING PVT.LTD.
(PAN:AAGCA8645J)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 14 |
|
|
ACTION FINANCIAL SERVICES (INDIA) LTD.
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF DATABASE FINANCE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.7,00,000 VIDE CONSENT ORDER)
28-APR-2009
|
|
| 15 |
|
|
ACTION FINANCIAL SERVICES (INDIA) LTD.
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS/REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF MALVICA ENGINEERING LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLIED WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF MALVICA ENGINEERING LTD.
|
IMPOSED PENALTY RS.50,000
23-SEP-2009
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,35,000, LEGAL EXPENSES RS.30,000 VIDE CONSENT ORDER)
26-APR-2010
|
SAT: IMPUGNED ORDER DATED 23/09/2009 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.1,35,000 TOWARDS SETTLEMENT CHARGES AND RS.30,000 TOWARDS LEGAL EXPENSES, AS PER CONSENT ORDER
|
| 16 |
|
|
ACTION FINANCIAL SERVICES (INDIA) LTD.
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN MANIPULATIVE TRANSACTIONS IN SCRIP OF G.G.AUTOMOTIVE GEARS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.15,00,000 VIDE CONSENT ORDER)
10-NOV-2009
|
|
| 17 |
|
|
ACTION FINANCIAL SERVICES (INDIA) LTD.
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN MANIPULATIVE TRANSACTIONS IN SCRIP OF G.G.AUTOMOTIVE GEARS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.15,00,000 VIDE CONSENT ORDER)
10-NOV-2009
|
|
| 18 |
|
|
ACTION FINANCIAL SERVICES (INDIA) LTD.
(Member : BGSE)
|
|
|
ALLEGED INDULGENCE IN MANIPULATIVE TRANSACTIONS IN SCRIP OF G.G.AUTOMOTIVE GEARS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.15,00,000 VIDE CONSENT ORDER)
10-NOV-2009
|
|
| 19 |
|
|
ACTION FINANCIAL SERVICES (INDIA) LTD.
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF HIGHLAND INDUSTRIES LTD.
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF HIGHLAND INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.20,00,000 VIDE CONSENT ORDER)
16-NOV-2009
|
|
| 20 |
|
|
ACTION FINANCIAL SERVICES (INDIA) LTD.
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN MANIPULATIVE TRANSACTIONS IN SCRIP OF SURYADEEP SALT REFINERY & CHEMICAL WORKS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
09-DEC-2009
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
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| Page 1 of 36
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