| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 681 |
|
VASUDEV GORDHANDAS DAPKI
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DIRECTED NOT TO BUY, SELL OR DEAL IN THE SECURITIES MARKET INCLUDING IPOS DIRECTLY OR INDIRECTLY ON PROPRIETORY BASIS
27-APR-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,00,000, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.30,00,993 VIDE CONSENT ORDER)
05-NOV-2008
|
ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.3,00,000 AGAINST SETTLEMENT CHARGES AND RS.30,00,993 AGAINST AMOUNT DISGORGED AS PER CONSENT ORDER DATED 05/11/2008
|
| 682 |
|
|
VASUDEV GORDHANDAS DAPKI,M/S
(Member : ASE)
|
|
|
|
VASUDEV GORDHANDAS DAPKI
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DIRECTED NOT TO BUY, SELL OR DEAL IN THE SECURITIES MARKET INCLUDING IPOS DIRECTLY OR INDIRECTLY ON PROPRIETORY BASIS
27-APR-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,00,000, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.30,00,993 VIDE CONSENT ORDER)
05-NOV-2008
|
ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.3,00,000 AGAINST SETTLEMENT CHARGES AND RS.30,00,993 AGAINST AMOUNT DISGORGED AS PER CONSENT ORDER DATED 05/11/2008
|
| 683 |
|
|
VEDIKA VANIJYA PVT.LTD.
(PAN:AACCV5180F)
(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.5,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 684 |
|
|
VENTURA SECURITIES LTD.
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKETS AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRADES IN SCRIP OF SOMPLAST LEATHER INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
07-OCT-2008
|
|
| 685 |
|
|
VENTURA SECURITIES LTD.
(Member : OTC)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKETS AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRADES IN SCRIP OF SOMPLAST LEATHER INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
07-OCT-2008
|
|
| 686 |
|
|
VENTURA SECURITIES LTD.
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKETS AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRADES IN SCRIP OF SOMPLAST LEATHER INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
07-OCT-2008
|
|
| 687 |
|
|
VENTURA SECURITIES LTD.
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF JAGSONPAL PHARMACEUTICALS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
29-DEC-2008
|
|
| 688 |
|
|
VENTURA SECURITIES LTD.
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF JAGSONPAL PHARMACEUTICALS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
29-DEC-2008
|
|
| 689 |
|
|
VENTURA SECURITIES LTD.
(Member : OTC)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF JAGSONPAL PHARMACEUTICALS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
29-DEC-2008
|
|
| 690 |
|
|
VIBRANT SECURITIES PVT.LTD.
(Member : NSE)
|
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
|
CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS
18-JUN-2007
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
30-SEP-2008
|
INTERIM CEASE AND DESIST ORDER DATED 18/06/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.5,00,000 AS PER CONSENT ORDER DATED 30/09/2008
|
| 691 |
|
|
VICTORY FINANCIAL SERVICES LTD.
(Member : NSE)
|
|
|
|
AJAY
|
|
|
V.K.AHUJA
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF INFORMATION TECHNOLOGIES (INDIA) LTD.
VIOLATED SEBI CODE OF CONDUCT
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 28-JUN-2007 TO 27-AUG-2007
07-JUN-2007
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.9,00,000, LEGAL EXPENSES RS.1,00,000 VIDE CONSENT ORDER)
30-APR-2008
|
SAT: APPEAL STAND DISPOSED OFF, AS APPLICANT AGREED TO PAY RS. 10,00,000 AS PER CONSENT ORDER
|
| 692 |
|
|
VIJETA BROKING INDIA PVT.LTD.
(PAN:AACCV6700F)
(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
|
|
| 693 |
|
|
VIMAL P.KHANDWALA
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE
DEALT WITH UN-REGISTERED SUB-BROKERS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-JAN-2009 TO 27-JAN-2009
06-JAN-2009
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000, LEGAL EXPENSES RS.60,000 VIDE CONSENT ORDER)
07-JAN-2010
|
SAT: ORDER DATED 06/01/2009 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.2,00,000 TOWARDS SETTLEMENT CHARGES AND RS.60,000 TOWARDS LEGAL EXPSNES , AS PER CONSENT ORDER
|
| 694 |
|
|
VIMAL P.KHANDWALA
|
|
|
DID NOT EXERCISE DUE SKILL AND DILIGENCE
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 04-FEB-2009 TO 10-FEB-2009
14-JAN-2009
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000, LEGAL EXPENSES RS.50,000 VIDE CONSENT ORDER)
07-JAN-2010
|
SAT: ORDER DATED 14/01/2009 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.2,50,000 TOWARDS SETTLEMENT AND LEGAL CHARGES, AS PER CONSENT ORDER
|
| 695 |
|
|
VINOD SHARES LTD.
(PAN:AACCV2842G)
(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
|
|
| 696 |
|
|
VISHWAS FINCAP SERVICES PVT.LTD.
(PAN:AAACV4205D)
(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
|
|
| 697 |
|
|
VRIDDHI ENTERPRISES
(Member : LSE)
|
|
|
|
KESHAV KUMAR
|
|
ALLEGED FAILURE TO PAY FEES TO SEBI
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,000 VIDE CONSENT ORDER)
03-FEB-2009
|
|
| 698 |
|
|
VT CAPITAL MARKET PVT.LTD.
(PAN:AADCV5205A)
(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
|
|
| 699 |
|
|
VYOMIT SHARES STOCKS & INVESTMENTS PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIPS OF HIMACHAL FUTURISTIC COMMUNICATIONS LTD. AND GLOBAL TELESYSTEMS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER FROM 09-APR-2009 TO 08-APR-2010 VIDE CONSENT ORDER)
09-APR-2009
|
|
| 700 |
|
|
WALLFORT SHARE & STOCK BROKERS PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN BAILING OUT PUBLIC ISSUE OF MAZDA FABRICS & PROCESSORS LTD. THROUGH FICTITIOUS SUBSCRIPTION
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-AUG-2010 TO 11-AUG-2011 VIDE CONSENT ORDER)
12-AUG-2010
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
| |
| Page 35 of 36
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