| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
PARK LIGHT INVESTMENT PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF WELLWORTH OVERSEAS LTD.
ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.4,00,000 VIDE CONSENT ORDER)
09-APR-2009
|
|
| 22 |
|
|
PAWAN J.CHAUDHARY,M/S
(Member : BSE)
|
|
|
|
PAWAN J.CHAUDHARY
|
|
ALLEGED VIOLATION OF REGULATION 4(1),4(2) (A),(B),(G) AND (N) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF VIJAY TEXTILES LTD.
ALLEGED VIOLATION OF REGULATION 7 OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992 IN MATTER OF VIJAY TEXTILES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,50,000 VIDE CONSENT ORDER)
05-JAN-2009
|
|
| 23 |
|
|
SKSE SECURITIES LTD.
(Member : BSE)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE AND DEAFULT IN ISSUANCE OF CONTRACT NOTE VIOLATING REGULATION 7 READ WITH CLAUSES A(2) AND B(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
ALLEGED FAILURE IN MAINTAINING UNIFORMITY IN DOCUMENTS REQUIRED FOR TRADING VIOLATING SEBI CIRCULAR NO.SEBI/MIRSD/DPS-1/CIR31/2004 DATED 26/08/2004
ALLEGED VIOLATION OF REGULATIONS 26(III),(V),(VII),(XII),(XIII) AND (XX) OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,50,000 VIDE CONSENT ORDER)
12-APR-2010
|
|
| 24 |
|
|
SKSE SECURITIES LTD.
(Member : NSE)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE AND DEAFULT IN ISSUANCE OF CONTRACT NOTE VIOLATING REGULATION 7 READ WITH CLAUSES A(2) AND B(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
ALLEGED FAILURE IN MAINTAINING UNIFORMITY IN DOCUMENTS REQUIRED FOR TRADING VIOLATING SEBI CIRCULAR NO.SEBI/MIRSD/DPS-1/CIR31/2004 DATED 26/08/2004
ALLEGED VIOLATION OF REGULATIONS 26(III),(V),(VII),(XII),(XIII) AND (XX) OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,50,000 VIDE CONSENT ORDER)
12-APR-2010
|
|
| 25 |
|
|
UNICON SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.7,00,000 VIDE CONSENT ORDER)
23-MAY-2011
|
|
| 26 |
|
|
UNICON SECURITIES PVT.LTD.
(Member : NSE)
|
|
|
ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.7,00,000 VIDE CONSENT ORDER)
23-MAY-2011
|
|
| 27 |
|
|
YOKE SECURITIES LTD.
(Member : NSE)
|
|
|
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
ALLEGED VIOLATION OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
ALLEGED VIOLATION OF SEBI ACT, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
20-MAY-2009
|
|
| 28 |
|
|
YOKE SECURITIES LTD.
(Member : BSE)
|
|
|
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
ALLEGED VIOLATION OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
ALLEGED VIOLATION OF SEBI ACT, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
20-MAY-2009
|
|
| 29 |
|
|
YOKE SECURITIES LTD.
(Member : OTC)
|
|
|
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
ALLEGED VIOLATION OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
ALLEGED VIOLATION OF SEBI ACT, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
20-MAY-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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