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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
UPDATED TILL : 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.

MERCHANT BANKERS: EXECUTED FICTITIOUS/FRAUDULENT/STRUCTURED/UNAUTHORISED TRANSACTIONS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person PANTHER FINCAP & MANAGEMENT SERVICES LTD.  
  MANIPULATED PRICE IN SCRIP OF LUPIN LABORATORIES LTD.

INDULGED IN MANIPULATIVE ACTIVITIES LIKE SYNCHRONIZED TRADING

FINANCED TRANSACTIONS TO GIVE SEMBLANCE OF PURCHASE AND SALE OF SHARES AT THE EXCHANGES

INDULGED IN CIRCULAR TRADING

CREATED ARTIFICIAL MARKET

BENCHMARKED PRICES OF CERTAIN SCRIPS BY EXECUTING NON-GENUINE TRANSACTIONS  		DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-DEC-2003 TO 11-DEC-2017

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-DEC-2003 TO 11-DEC-2017

12-DEC-2003 		SAT: APPEAL DISMISSED
2 
History of entity/person PANTHER FINCAP & MANAGEMENT SERVICES LTD.  
  INDULGED IN PRICE MANIPULATION IN SCRIP OF HFCL, ZEE, ADANI, GTL, RANBAXY, SAB TV, SHONKH, PADMINI (FORMERLY PADMINI POLYMERS LTD.) AND AFTEK WITH KP ENTITIES

INDULGED IN MANIPULATIVE ACTIVITIES LIKE SYNCHRONIZED TRADING

FINANCED TRANSACTIONS TO GIVE SEMBLANCE OF PURCHASE AND SALE OF SHARES AT THE EXCHANGES

INDULGED IN CIRCULAR TRADING

CREATED ARTIFICIAL MARKET

BENCHMARKED PRICES OF CERTAIN SCRIPS BY EXECUTING NON-GENUINE TRANSACTIONS  		DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-DEC-2003 TO 11-DEC-2017

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-DEC-2003 TO 11-DEC-2017

12-DEC-2003
3 
History of entity/person TRIUMPH INTERNATIONAL FINANCE INDIA LTD.  
  INDULGED IN PRICE MANIPULATION IN SCRIP OF HFCL, ZEE, ADANI, GTL, RANBAXY, SAB TV, SHONKH, PADMINI (FORMERLY PADMINI POLYMERS LTD.) AND AFTEK WITH KP ENTITIES

INDULGED IN MANIPULATIVE ACTIVITIES LIKE SYNCHRONIZED TRADING

FINANCED TRANSACTIONS TO GIVE SEMBLANCE OF PURCHASE AND SALE OF SHARES AT THE EXCHANGES

INDULGED IN CIRCULAR TRADING

CREATED ARTIFICIAL MARKET

BENCHMARKED PRICES OF CERTAIN SCRIPS BY EXECUTING NON-GENUINE TRANSACTIONS  		DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-NOV-2007 TO 11-NOV-2012

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-NOV-2007 TO 11-NOV-2012

12-NOV-2007 		SAT: APPEAL DISMISSED AS INFRUCTUOUS
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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