| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
ADROIT FINANCIAL SERVICES PVT.LTD.
(PAN:AABCA1156D)
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN MARKET MANIPULATION AND PRICE MANIPULATION THROUGH CROSS, STRUCTURED AND SYNCHRONIZED DEALS IN SCRIP OF SHAMKEN MULTIFAB LTD.
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(2), A(3) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SHAMKEN MULTIFAB LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
01-NOV-2012
|
|
| 22 |
|
|
AGROY FINANCE & INVESTMENT LTD.
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRNSACTIONS IN SCRIP OF KAJARIA CERAMICS LTD.
ALLEGED FAILURE IN MAINTENANCE OF 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 KAJARIA CERAMICS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
31-MAR-2010
|
|
| 23 |
|
|
ALANKIT ASSIGNMENTS LTD.
(Member : BSE)
|
|
|
ALLEGED FAILURE TO CARRY OUT ACTUAL SETTLEMENT OF FUNDS & SECURITIES OF ACTIVE AND INACTIVE CLIENTS DURING INSPECTION PERIOD VIOLATING SEBI CIRCULARS REF. NO.SEBI/MIRSD/SE/CIR-19/2009 DATED 03/12/2009 AND SEBI/MIRSD/SE/CIR/01/2011 DATED 13/05/2011
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 9 READ WITH CLAUSES A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.58,96,000 VIDE CONSENT ORDER)
31-OCT-2018
|
|
| 24 |
|
|
ALANKIT ASSIGNMENTS LTD.
(Member : NSE)
|
|
|
ALLEGED FAILURE TO CARRY OUT ACTUAL SETTLEMENT OF FUNDS & SECURITIES OF ACTIVE AND INACTIVE CLIENTS DURING INSPECTION PERIOD VIOLATING SEBI CIRCULARS REF. NO.SEBI/MIRSD/SE/CIR-19/2009 DATED 03/12/2009 AND SEBI/MIRSD/SE/CIR/01/2011 DATED 13/05/2011
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 9 READ WITH CLAUSES A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.58,96,000 VIDE CONSENT ORDER)
31-OCT-2018
|
|
| 25 |
|
|
ALLIED FINANCIAL SERVICES PVT.LTD.
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF AARTI DRUGS LTD.,HAVELLS INDIA LTD.AND LYKA LABS LTD.
ALLEGED FAILURE IN MAINTENANCE OF 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 AARTI DRUGS LTD.,HAVELLS INDIA LTD.AND LYKA LABS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,50,000 VIDE CONSENT ORDER)
22-JUN-2010
|
|
| 26 |
|
|
ALTIUS FINCAP MARKETS LTD.
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET THROUGH SYNCHRONIZED AND CIRCULAR TRANSACTIONS AND REVERSAL OF TRADE TRANSACTIONS IN SCRIPS OF AARTI DRUGS LTD.AND HAVELLS INDIA LTD.
ALLEGED FAILURE IN MAINTAINING 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 AARTI DRUGS LTD. AND HAVELLS INDIA LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
01-SEP-2010
|
|
| 27 |
|
|
AMRAPALI CAPITAL & FINANCE SERVICES LTD.
(Member : NSE)
|
|
|
ALLEGED VIOLATION OF REGULATIONS 4(1),4(2) (A),(B),(E),(G) AND (N) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ADANI EXPORTS LTD.
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, NOT EXERCISED 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 ADANI EXPORTS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,50,000 VIDE CONSENT ORDER)
08-SEP-2009
|
|
| 28 |
|
|
ANGEL ONE LTD.
(Member : BSE)
|
|
|
ALLEGED FAILURE IN MAINTAINING PROPER RECORD OF EXECUTION OF TRADES OF CLIENTS IN THE FORM OF VOICE RECORDING SYSTEM (VRS) TO RECORD PLACEMENT OF ORDERS BY THE CLIENTS THROUGH ITS AUTHORISED PERSONS VIOLATING PROVISIONS OF SEBI/HO/MIRSD/DOP1/CIR/P/2018/54 DATED 22/03/2018 AND MIRSD/ DR-1/CIR-16/09 DATED 06/11/2009 IN THE MATTER OF FRONT RUNNING OF ORDERS OF ITS BIG CLIENTS BY ITS AP MR.JITENDRA KEWALRAMANI
ALLEGED FAILURE IN MAINTAINING PROPER RECORD OF EXECUTION OF TRADES OF CLIENTS IN THE FORM OF VOICE RECORDING SYSTEM (VRS) TO RECORD PLACEMENT OF ORDERS BY THE CLIENTS THROUGH ITS AUTHORISED PERSONS VIOLATING CLAUSES A(2) AND A(5) OF CODE OF CONDUCT AS SPECIFIED UNDER SCHEDULE II OF THE SEBI (STOCK BROKERS) REGULATIONS, 1992 READ WITH REGULATION 9(F) IN THE MATTER OF FRONT RUNNING OF ORDERS OF ITS BIG CLIENTS BY ITS AP MR.JITENDRA KEWALRAMANI
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.21,64,500 VIDE CONSENT ORDER)
27-SEP-2024
|
|
| 29 |
|
|
ANGEL ONE LTD.
(Member : NSE)
|
|
|
ALLEGED FAILURE IN MAINTAINING PROPER RECORD OF EXECUTION OF TRADES OF CLIENTS IN THE FORM OF VOICE RECORDING SYSTEM (VRS) TO RECORD PLACEMENT OF ORDERS BY THE CLIENTS THROUGH ITS AUTHORISED PERSONS VIOLATING PROVISIONS OF SEBI/HO/MIRSD/DOP1/CIR/P/2018/54 DATED 22/03/2018 AND MIRSD/ DR-1/CIR-16/09 DATED 06/11/2009 IN THE MATTER OF FRONT RUNNING OF ORDERS OF ITS BIG CLIENTS BY ITS AP MR.JITENDRA KEWALRAMANI
ALLEGED FAILURE IN MAINTAINING PROPER RECORD OF EXECUTION OF TRADES OF CLIENTS IN THE FORM OF VOICE RECORDING SYSTEM (VRS) TO RECORD PLACEMENT OF ORDERS BY THE CLIENTS THROUGH ITS AUTHORISED PERSONS VIOLATING CLAUSES A(2) AND A(5) OF CODE OF CONDUCT AS SPECIFIED UNDER SCHEDULE II OF THE SEBI (STOCK BROKERS) REGULATIONS, 1992 READ WITH REGULATION 9(F) IN THE MATTER OF FRONT RUNNING OF ORDERS OF ITS BIG CLIENTS BY ITS AP MR.JITENDRA KEWALRAMANI
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.21,64,500 VIDE CONSENT ORDER)
27-SEP-2024
|
|
| 30 |
|
|
ANIKET N.AGGARWAL & CO.
(Member : LSE)
|
|
|
ALLEGED DISCREPANCY IN ISSUANCE OF CONTRACT NOTES
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF CLASSIC GLOBAL IMPEX LTD.(NOW KNOWN AS DEVINE IMPEX LTD.)
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
07-JAN-2011
|
|
| 31 |
|
|
ANUGRAH STOCK & BROKING PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED NON-SEGREGATION OF CLIENTS FUND AND SECURITIES FROM OWN FUNDS AND SECURITIES
ALLEGED PLEDGING SECURITIES OF CLIENTS EVEN THOUGH CREDIT BALANCE
ALLEGED FAILURE IN SENDING STATEMENT OF ACCOUNT TO CLIENTS
ALLEGED TRANSFERRING SECURITIES FROM CLIENT BENEFICIARY ACCOUNT TO POOL ACCOUNT TO MEET PROPRIETARY OBLIGATIONS
ALLEGED REPORTING WRONG MARGINS
ALLEGED FAILURE IN MAINTENANCE OF HIGH STANDARDS OF INTEGRITY, PROMPTITUDE & FAIRNESS IN CONDUCT OF BUSINESS AS A STOCK BROKER
ALLEGED DISCREPANCIES IN MAINTENANCE OF CLIENT REGISTRATION FORMS & CLIENT AGREEMENT
ALLEGED INDULGENCE IN FUND-BASED ACTIVITIES BY LENDING MONEY TO OTHER CLIENTS
ALLEGED INDULGENCE IN TRANSFER OF SECURITIES IN CONTRAVENTION OF SEBI’S ORDER DATED 22/05/2009
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.28,00,000 VIDE CONSENT ORDER)
18-OCT-2010
|
|
| 32 |
|
|
ANUGRAH STOCK & BROKING PVT.LTD.
(Member : NSE)
|
|
|
ALLEGED NON-SEGREGATION OF CLIENTS FUND AND SECURITIES FROM OWN FUNDS AND SECURITIES
ALLEGED PLEDGING SECURITIES OF CLIENTS EVEN THOUGH CREDIT BALANCE
ALLEGED FAILURE IN SENDING STATEMENT OF ACCOUNT TO CLIENTS
ALLEGED TRANSFERRING SECURITIES FROM CLIENT BENEFICIARY ACCOUNT TO POOL ACCOUNT TO MEET PROPRIETARY OBLIGATIONS
ALLEGED REPORTING WRONG MARGINS
ALLEGED FAILURE IN MAINTENANCE OF HIGH STANDARDS OF INTEGRITY, PROMPTITUDE & FAIRNESS IN CONDUCT OF BUSINESS AS A STOCK BROKER
ALLEGED DISCREPANCIES IN MAINTENANCE OF CLIENT REGISTRATION FORMS & CLIENT AGREEMENT
ALLEGED INDULGENCE IN FUND-BASED ACTIVITIES BY LENDING MONEY TO OTHER CLIENTS
ALLEGED INDULGENCE IN TRANSFER OF SECURITIES IN CONTRAVENTION OF SEBI’S ORDER DATED 22/05/2009
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.28,00,000 VIDE CONSENT ORDER)
18-OCT-2010
|
|
| 33 |
|
|
ARCADIA SHARE & STOCK BROKERS PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH IREGULAR TRANSACTINS AND SELF TRADES IN SCRIP OF VERITAS (INDIA) LTD.
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1), A(3) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF VERITAS (INDIA) LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000, LEGAL EXPENSES RS.86,375 VIDE CONSENT ORDER)
06-SEP-2017
|
|
| 34 |
|
|
ARCADIA SHARE & STOCK BROKERS PVT.LTD.
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH IREGULAR TRANSACTINS AND SELF TRADES IN SCRIP OF VERITAS (INDIA) LTD.
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1), A(3) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF VERITAS (INDIA) LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000, LEGAL EXPENSES RS.86,375 VIDE CONSENT ORDER)
06-SEP-2017
|
|
| 35 |
|
|
ARCADIA SHARE & STOCK BROKERS PVT.LTD.
(PAN:AAACA4562G)
(Member : NSE)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 7 READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992 IN MATTER OF KWALITY LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.65,507 VIDE CONSENT ORDER)
28-DEC-2017
|
|
| 36 |
|
|
ARCADIA SHARE & STOCK BROKERS PVT.LTD.
(PAN:AAACA4562G)
(Member : BSE)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 7 READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992 IN MATTER OF KWALITY LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.65,507 VIDE CONSENT ORDER)
28-DEC-2017
|
|
| 37 |
|
|
ARCADIA SHARE & STOCK BROKERS PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED VIOLATION OF REGULATIONS 3(A) TO (D), 4(1) AND 4(2) (G) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SHREE ASHTAVINAYAK CINE VISION LTD.
ALLEGED INDULGENCE IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 9 READ WITH CLAUSES A(3) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SHREE ASHTAVINAYAK CINE VISION LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
02-JAN-2018
|
|
| 38 |
|
|
ARCADIA SHARE & STOCK BROKERS PVT.LTD.
(Member : NSE)
|
|
|
ALLEGED VIOLATION OF REGULATIONS 3(A) TO (D), 4(1) AND 4(2) (G) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SHREE ASHTAVINAYAK CINE VISION LTD.
ALLEGED INDULGENCE IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 9 READ WITH CLAUSES A(3) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SHREE ASHTAVINAYAK CINE VISION LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
02-JAN-2018
|
|
| 39 |
|
|
ARCADIA SHARE & STOCK BROKERS PVT.LTD.
(PAN:AAACA4562G)
(Member : BSE)
|
|
|
ALLEGED FAILURE IN MAINTENANCE OF 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(3) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKER) REGULATIONS, 1992 IN MATTER OF LGS GLOBAL LTD. (NOW KNOWN AS YBRANT DIGITAL LTD.), SPECTACLE INFOTEK LTD., WELL PACK PAPERS & CONTAINERS LTD. AND GOLDSTONE TECHNOLOGIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.24,70,840 VIDE CONSENT ORDER)
16-OCT-2017
|
|
| 40 |
|
|
ARCADIA SHARE & STOCK BROKERS PVT.LTD.
(PAN:AAACA4562G)
(Member : NSE)
|
|
|
ALLEGED FAILURE IN MAINTENANCE OF 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(3) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKER) REGULATIONS, 1992 IN MATTER OF LGS GLOBAL LTD. (NOW KNOWN AS YBRANT DIGITAL LTD.), SPECTACLE INFOTEK LTD., WELL PACK PAPERS & CONTAINERS LTD. AND GOLDSTONE TECHNOLOGIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.24,70,840 VIDE CONSENT ORDER)
16-OCT-2017
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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