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SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
PERIOD COVERED : 01-JAN-1997 TO 21-NOV-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: RESTRAINED FROM ACTING AS SYNDICATE / SUB-SYNDICATE MEMBER

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person RIKHAV SECURITIES LTD.  

(Member : BSE)
  INDULGED IN IRREGULARITIES IN SUBSCRIPTIONS IN PUBLIC ISSUE OF VASWANI INDUSTRIES LTD.  PROHIBITED TO ACT AS SYNDICATE MEMBER/SUB-SYNDICATE MEMBER FOR ALL FORTHCOMING ISSUES

RESTRAINED FROM ACTING AS SYNDICATE / SUB-SYNDICATE MEMBER

11-JUL-2011 		SEBI VIDE ITS ORDER DATED 11/07/2011 DIRECTED 1.VASWANI INDUSTRIES LTD. TO GIVE WITHDRAWAL OPTION TO ALL INVESTORS IN NON-INSTITUTIONAL (NII) AND RETAIL INDIVIDUAL INVESTORS (RII) CATEGORY FOR SUCH NUMBER OF SHARES BY WHICH ALLOTMENT RATIO WAS IMPACTED. 2. ON CLOSURE OF WITHDRAWAL OPTION, IF SUBSCRIPTION LEVEL AFTER SUCH WITHDRAWALS FALLS BELOW MINIMUM LEVEL OF SUBSCRIPTION , BRLM, MAY PURCHASE OR ARRANGE PURCHASE THROUGH ANY INVESTOR(S) SO AS TO ENSURE THAT SUBSCRIPTION DOES NOT FALL BELOW MINIMUM LEVEL OF SUBSCRIPTION.3.RIKHAV SECURITIES LTD. IS PROHIBITED TO ACT AS A SYNDICATE MEMBER/SUB-SYNDICATE MEMBER FOR ALL FORTHCOMING ISSUES TILL FURTHER DIRECTIONS 4.BAJAJ CONSULTANTS PVT LTD. AND ITS GROUP ENTITIES, NAMELY, BAJAJ COMMODITIES TRADING PVT.LTD., BAJAJ SHARE AND STOCK BROKERS PVT.LTD., VINODKUMAR BAJAJ & COMPANY HUF, BAJAJ CONSULTANTS PVT.LTD., BAJAJ RETAIL INDIA VENTURES PVT.LTD., BAJCO CONSULTANTS PVT.LTD., MR. RAJKAMAL RAMNIWAS BAJAJ, RAMNIWAS BAJAJ & COMPANY AND MR. VINODKUMAR RAMNIWAS BAJAJ ARE DIRECTED TO CEASE AND DESIST FROM BIDDING IN AN OBJECTIONABLE MANNER

SAT: SAT VIDE ITS ORDER DATED 16/11/2011 DIRECTED SEBI TO HEAR THE APPELLANT WITHIN NEXT TWO WEEKS AND PASS INTERIM OR FINAL ORDER WITHIN A PERIOD OF FOUR WEEKS THEREAFTER, WITH NO ORDER AS TO COSTS

SEBI VIDE ITS ORDER DATED 11/01/2012 CONFIRMED ITS DIRECTIONS ISSUED VIDE AD-INTERIM EX-PARTE ORDER DATED 11/07/2011 AND WILL CONTINUE TO REMAIN IN FORCE TILL FURTHER ORDER

SAT: APPEAL DISMISSED WITH NO ORDER AS TO COSTS

SAT: APPEAL DISMISSED AS WITHDRAWN

SAT: APPEAL DISPOSED OFF WITH A DIRECTION TO THE BOARD TO COMPLETE THE INVESTIGATION WITHIN A PERIOD OF THREE MONTHS FROM THE DATE OF THIS ORDER AND ISSUE A SHOW-CAUSE NOTICE WITHIN ONE MONTH THEREAFTER

SEBI VIDE ITS ORDER DATED 13/03/2015 RESTRAINED RIKHAV SECURITIES LTD. FROM ACTING AS A SYNDICATE / SUB-SYNDICATE MEMBER FOR A PERIOD OF 4 YEARS
2 
History of entity/person RIKHAV SECURITIES LTD.  

(Member : NSE)
  INDULGED IN IRREGULARITIES IN SUBSCRIPTIONS IN PUBLIC ISSUE OF VASWANI INDUSTRIES LTD.  PROHIBITED TO ACT AS SYNDICATE MEMBER/SUB-SYNDICATE MEMBER FOR ALL FORTHCOMING ISSUES

RESTRAINED FROM ACTING AS SYNDICATE / SUB-SYNDICATE MEMBER

11-JUL-2011 		SEBI VIDE ITS ORDER DATED 11/07/2011 DIRECTED 1.VASWANI INDUSTRIES LTD. TO GIVE WITHDRAWAL OPTION TO ALL INVESTORS IN NON-INSTITUTIONAL (NII) AND RETAIL INDIVIDUAL INVESTORS (RII) CATEGORY FOR SUCH NUMBER OF SHARES BY WHICH ALLOTMENT RATIO WAS IMPACTED. 2. ON CLOSURE OF WITHDRAWAL OPTION, IF SUBSCRIPTION LEVEL AFTER SUCH WITHDRAWALS FALLS BELOW MINIMUM LEVEL OF SUBSCRIPTION , BRLM, MAY PURCHASE OR ARRANGE PURCHASE THROUGH ANY INVESTOR(S) SO AS TO ENSURE THAT SUBSCRIPTION DOES NOT FALL BELOW MINIMUM LEVEL OF SUBSCRIPTION.3.RIKHAV SECURITIES LTD. IS PROHIBITED TO ACT AS A SYNDICATE MEMBER/SUB-SYNDICATE MEMBER FOR ALL FORTHCOMING ISSUES TILL FURTHER DIRECTIONS 4.BAJAJ CONSULTANTS PVT LTD. AND ITS GROUP ENTITIES, NAMELY, BAJAJ COMMODITIES TRADING PVT.LTD., BAJAJ SHARE AND STOCK BROKERS PVT.LTD., VINODKUMAR BAJAJ & COMPANY HUF, BAJAJ CONSULTANTS PVT.LTD., BAJAJ RETAIL INDIA VENTURES PVT.LTD., BAJCO CONSULTANTS PVT.LTD., MR. RAJKAMAL RAMNIWAS BAJAJ, RAMNIWAS BAJAJ & COMPANY AND MR. VINODKUMAR RAMNIWAS BAJAJ ARE DIRECTED TO CEASE AND DESIST FROM BIDDING IN AN OBJECTIONABLE MANNER

SAT: SAT VIDE ITS ORDER DATED 16/11/2011 DIRECTED SEBI TO HEAR THE APPELLANT WITHIN NEXT TWO WEEKS AND PASS INTERIM OR FINAL ORDER WITHIN A PERIOD OF FOUR WEEKS THEREAFTER, WITH NO ORDER AS TO COSTS

SEBI VIDE ITS ORDER DATED 11/01/2012 CONFIRMED ITS DIRECTIONS ISSUED VIDE AD-INTERIM EX-PARTE ORDER DATED 11/07/2011 AND WILL CONTINUE TO REMAIN IN FORCE TILL FURTHER ORDER

SAT: APPEAL DISMISSED WITH NO ORDER AS TO COSTS

SAT: APPEAL DISMISSED AS WITHDRAWN

SAT: APPEAL DISPOSED OFF WITH A DIRECTION TO THE BOARD TO COMPLETE THE INVESTIGATION WITHIN A PERIOD OF THREE MONTHS FROM THE DATE OF THIS ORDER AND ISSUE A SHOW-CAUSE NOTICE WITHIN ONE MONTH THEREAFTER

SEBI VIDE ITS ORDER DATED 13/03/2015 RESTRAINED RIKHAV SECURITIES LTD. FROM ACTING AS A SYNDICATE / SUB-SYNDICATE MEMBER FOR A PERIOD OF 4 YEARS
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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