| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 201 |
|
TATA SECURITIES LTD.
(Member : BSE)
|
|
|
ALLEGED PERMISSION TO CLIENTS TO TAKE HUGE POSITIONS WITHIN ONE MONTH OF REGISTRATION VIOLATING REGULATION 7 READ WITH CLAUSES A(1),A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF RTS POWER CORP.LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
06-JUL-2011
|
|
| 202 |
|
|
TATA SECURITIES LTD.
(Member : NSE)
|
|
|
ALLEGED PERMISSION TO CLIENTS TO TAKE HUGE POSITIONS WITHIN ONE MONTH OF REGISTRATION VIOLATING REGULATION 7 READ WITH CLAUSES A(1),A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF RTS POWER CORP.LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
06-JUL-2011
|
|
| 203 |
|
|
TRAMBAKLAL RATILAL PAREKH & SONS SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED VIOLATION OF CODE OF CONDUCT FOR STOCK BROKERS
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF RECRON SYNTHETICS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
27-APR-2009
|
|
| 204 |
|
|
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
|
| 205 |
|
|
WOODSTOCK BROKING PVT.LTD.
(Member : NSE)
|
|
|
INDULGED IN SYNCHRONIZED TRANSACTIONS IN SCRIP OF DSQ SOFTWARE LTD.
VIOLATED SEBI CODE OF CONDUCT
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-JUN-2007 TO 26-JUN-2008
06-JUN-2007
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,00,00,000 VIDE CONSENT ORDER)
17-OCT-2008
|
SAT: ORDER DATED 06/06/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.3,00,00,000 AS PER CONSENT ORDER DATED 17/10/2008
|
| 206 |
|
|
WOODSTOCK SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
INDULGED IN SYNCHRONIZED TRANSACTIONS IN SCRIP OF DSQ SOFTWARE LTD.
VIOLATED SEBI CODE OF CONDUCT
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-JUN-2007 TO 26-JUN-2008
06-JUN-2007
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.50,00,000 VIDE CONSENT ORDER)
17-OCT-2008
|
SAT: ORDER DATED 06/06/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.50,00,000 AS PER CONSENT ORDER DATED 17/10/2008
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
| |
| Page 11 of 11
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