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SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – CONSENT ORDERS/ PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS
PERIOD COVERED : 30-OCT-2007 TO 13-JUL-2024

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

STOCK BROKERS: VIOLATED SEBI PREFERENTIAL ISSUE DIRECTIVES/INSTRUCTIONS/GUIDELINES

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person RAJESH N.JHAVERI,M/S  

(Member : ASE)
History of entity/person RAJESH NANUBHAI JHAVERI
  		ALLEGED ENGAGEMENT IN MANIPULATIVE TRADES TO ASSIST VARIOUS PREFERENTIAL ALLOTTEES TO OFF-LOAD THEIR HOLDINGS AT JACKED UP PRICE IN SCRIP OF SWACA COMMUNICATIONS LTD.  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)

04-SEP-2008

SUSPENDED REGISTRATION AS STOCK BROKER FROM 04-SEP-2008 TO 03-SEP-2009

04-SEP-2008
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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