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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: DIRECTED TO CEASE & DESIST FROM COMMITTING VIOLATIONS OF CODE OF CONDUCT FRAMED FOR STOCK BROKERS

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

(Member : NSE)
History of entity/person ANSHUL MEHRA
History of entity/person KAMAL GOEL
History of entity/person P.N.PANDA
History of entity/person SIDDARTH BAGRI
History of entity/person UTTAM SHARMA
History of entity/person VIKAS RAWAL
  		MISLED INVESTORS BY PUBLISHING POSITIVE NEWS ABOUT A PROJECT OF VBC FERRO ALLOYS LTD. WHICH IS YET TO BE OPERATED BY COMPANY

INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION BY MAKING POSITIVE ANNOUNCEMENTS ABOUT COMPANY AND SOLD THEIR OWN HOLDINGS AT AN INCREASED PRICE TO MAKE UNJUST ENRICHMENT IN SCRIP OF VBC FERRO ALLOYS LTD.

DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY IN MATTER OF VBC FERRO ALLOYS LTD.  		DIRECTED TO CEASE & DESIST FROM COMMITTING VIOLATIONS OF CODE OF CONDUCT FRAMED FOR STOCK BROKERS

DIRECTED TO CEASE & DESIST FROM GIVING MISLEADING RECOMMENDATIONS IN ANY PUBLIC ACCESSIBLE MEDIA

10-FEB-2006 		VACATED INTERIM EX-PARTE ORDER DATED 10/02/2006
2 
History of entity/person BLB LTD.  

(Member : BSE)
History of entity/person ANSHUL MEHRA
History of entity/person KAMAL GOEL
History of entity/person P.N.PANDA
History of entity/person SIDDARTH BAGRI
History of entity/person UTTAM SHARMA
History of entity/person VIKAS RAWAL
  		MISLED INVESTORS BY PUBLISHING POSITIVE NEWS ABOUT A PROJECT OF VBC FERRO ALLOYS LTD. WHICH IS YET TO BE OPERATED BY COMPANY

INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION BY MAKING POSITIVE ANNOUNCEMENTS ABOUT COMPANY AND SOLD THEIR OWN HOLDINGS AT AN INCREASED PRICE TO MAKE UNJUST ENRICHMENT IN SCRIP OF VBC FERRO ALLOYS LTD.

DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY IN MATTER OF VBC FERRO ALLOYS LTD.  		DIRECTED TO CEASE & DESIST FROM COMMITTING VIOLATIONS OF CODE OF CONDUCT FRAMED FOR STOCK BROKERS

DIRECTED TO CEASE & DESIST FROM GIVING MISLEADING RECOMMENDATIONS IN ANY PUBLIC ACCESSIBLE MEDIA

10-FEB-2006 		VACATED INTERIM EX-PARTE ORDER DATED 10/02/2006
3 
History of entity/person MATHEW EASOW FISCAL SERVICES LTD.  

(Member : OTC)
History of entity/person MATHEW EASOW
  		FAILURE ON PART OF EMPLOYEE/REPRESENTATIVES IN DISCLOSING SELF INTEREST AND POSITIONS IN SECURITIES WHILE MAKING INVESTMENT RECOMMENDATIONS ON PUBLICLY ACCESSIBLE MEDIA  DIRECTED TO CEASE & DESIST FROM COMMITTING VIOLATIONS OF CODE OF CONDUCT FRAMED FOR STOCK BROKERS

19-JAN-2006 		SEBI DECIDED, NO NEED TO CONTINUE DIRECTIONS PASSED VIDE INTERIM ORDER DATED 19/01/2006
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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