| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
BANSAL SHAREVEST SERVICES LTD.
(Member : NSE)
|
|
|
|
SONU AGARWAL
|
|
EXECUTED SINGLE TRADES AT EXCHANGE TO ASCERTAIN PRICES FOR EXECUTING BULK ORDERS ILLEGALLY OUTSIDE THE EXCHANGE MECHANISM
OFFERED ILLEGAL TRADING FACILITIES
ISSUED ADVERTISEMENTS RELATING TO BUSINESS IN VIOLATION OF CODE OF CONDUCT
ALLOWED TERMINALS TO UNREGISTERED SUB-BROKERS
INSTALLED UNAUTHORIZED TRADING TERMINALS IN EXCESS OF NSE ALLOTTED TERMINALS
DEALT WITH UN-REGISTERED SUB-BROKERS
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
DID NOT ISSUE CONTRACT NOTES
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
DID NOT COLLECT UPFRONT MARGINS
DEFAULTED IN DEPOSITING MARGIN AMOUNT WITH THE EXCHANGE
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 23-JUL-2003 TO 22-JUL-2008
28-JUN-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.50,00,000, LEGAL EXPENSES RS.2,50,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER FROM 23-JUL-2003 TO 22-JUL-2008 VIDE CONSENT ORDER)
09-JUN-2008
|
SAT: APPLICANT AGREED TO PAY A SUM OF RS.50,00,000 TOWARDS SETTLEMENT CHARGES AND RS.2,50,000 TOWARDS LEGAL EXPENSES AS PER CONSENT ORDER DATED 09/06/2008 AND VOLUNTARILY UNDERTAKEN TO REMAIN SUSPENDED FOR A PERIOD OF 5 YEARS COMMENCING FROM 23/07/2003. ORDER DATED 28/06/2006 SET ASIDE
|
| 2 |
|
|
BANSAL SHAREVEST SERVICES LTD.
(Member : UPSE)
|
|
|
|
SONU AGARWAL
|
|
EXECUTED SINGLE TRADES AT EXCHANGE TO ASCERTAIN PRICES FOR EXECUTING BULK ORDERS ILLEGALLY OUTSIDE THE EXCHANGE MECHANISM
OFFERED ILLEGAL TRADING FACILITIES
ISSUED ADVERTISEMENTS RELATING TO BUSINESS IN VIOLATION OF CODE OF CONDUCT
ALLOWED TERMINALS TO UNREGISTERED SUB-BROKERS
INSTALLED UNAUTHORIZED TRADING TERMINALS IN EXCESS OF NSE ALLOTTED TERMINALS
DEALT WITH UN-REGISTERED SUB-BROKERS
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
DID NOT ISSUE CONTRACT NOTES
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
DID NOT COLLECT UPFRONT MARGINS
DEFAULTED IN DEPOSITING MARGIN AMOUNT WITH THE EXCHANGE
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 23-JUL-2003 TO 22-JUL-2008
28-JUN-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.50,00,000, LEGAL EXPENSES RS.2,50,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER FROM 23-JUL-2003 TO 22-JUL-2008 VIDE CONSENT ORDER)
09-JUN-2008
|
SAT: APPLICANT AGREED TO PAY A SUM OF RS.50,00,000 TOWARDS SETTLEMENT CHARGES AND RS.2,50,000 TOWARDS LEGAL EXPENSES AS PER CONSENT ORDER DATED 09/06/2008 AND VOLUNTARILY UNDERTAKEN TO REMAIN SUSPENDED FOR A PERIOD OF 5 YEARS COMMENCING FROM 23/07/2003. ORDER DATED 28/06/2006 SET ASIDE
|
| 3 |
|
|
EXPRESS SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF ROOFIT INDUSTRIES LTD.
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF ROOFIT INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER FROM 21-DEC-2009 TO 20-JAN-2010 VIDE CONSENT ORDER)
15-DEC-2009
|
|
| 4 |
|
|
HARVESTDEAL SECURITIES LTD.
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF NEDUNGADI BANK LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE DURING TRADE IN SCRIP OF NEDUNGADI BANK LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 26-MAY-2008 TO 25-NOV-2008
17-APR-2007
REACHED SETTLEMENT (LEGAL EXPENSES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER FROM 26-MAY-2008 TO 25-NOV-2008 VIDE CONSENT ORDER)
26-MAY-2008
|
SAT: APPLICANT AGREED TO REMAIN OUT OF MARKET FOR A PERIOD OF 6 MONTHS AND TO PAY RS.25000 AS PER CONSENT ORDER DATED 26/05/2008
|
| 5 |
|
|
JAICO SECURITIES PVT.LTD.
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIPS OF JINDAL STAINLESS LTD.,BSEL INFRASTRUCTURE REALTY LTD. ,MAHARASHTRA SEAMLESS LTD.AND COSMO FILMS LTD.
ALLEGED INDULGENCE IN VIOLATION OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF JINDAL STAINLESS LTD.,BSEL INFRASTRUCTURE REALTY LTD. ,MAHARASHTRA SEAMLESS LTD.AND COSMO FILMS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.20,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER FROM 26-OCT-2009 TO 25-DEC-2009 VIDE CONSENT ORDER)
23-OCT-2009
|
|
| 6 |
|
|
OMEGA EQUITIES PVT.LTD.
(Member : BSE)
|
|
|
INDULGED IN SYNCHRONIZED TRANSACTIONS IN SCRIP OF DSQ SOFTWARE LTD.
VIOLATED SEBI CODE OF CONDUCT
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 17-OCT-2008 TO 16-OCT-2009
06-JUN-2007
REACHED SETTLEMENT (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER FROM 17-OCT-2008 TO 16-OCT-2009 VIDE CONSENT ORDER)
17-OCT-2008
|
SAT: ORDER DATED 06/06/2007 DISPOSED OFF, AS APPLICANT VOLUNTARILY OFFERED TO SUSPEND ITS OPERATIONS AS A STOCK BROKER FOR A PERIOD OF ONE YEAR AS PER CONSENT ORDER DATED 17/10/2008
|
| 7 |
|
|
PADMAKANT DEVIDAS SECURITIES LTD.
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF WELLWORTH OVERSEAS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER FROM 06-MAR-2009 TO 05-JUN-2009 VIDE CONSENT ORDER)
06-MAR-2009
|
|
| 8 |
|
|
PARKLIGHT SECURITIES LTD.
(Member : CSE)
|
|
|
ALLEGED INDULGENCE IN PRICE MANIPULATION IN SCRIPS OF ETP CORP.LTD.,E-STAR INFOTECH LTD., SMR UNIVERSAL SOFTECH LTD.,RANSI SOFTWARE LTD.,ACCURATE EXPORTS LTD.,BLUE COAST HOTELS & RESORTS PVT.LTD.,BIRMINGHAM THERMOTECH LTD.,SOMPLAST LEATHER INDUSTRIES LTD.,GENUS COMMU-TRADE LTD.,SOUNDCRAFT INDUSTRIES LTD.,TOP MEDIA ENTERTAINMENT LTD. AND UNIVERSAL MEDIA NETWORK LTD.
|
REACHED SETTLEMENT (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER FROM 22-SEP-2008 TO 21-DEC-2008 VIDE CONSENT ORDER)
22-SEP-2008
|
|
| 9 |
|
|
PARKLIGHT SECURITIES LTD.
(Member : ASE)
|
|
|
ALLEGED INDULGENCE IN PRICE MANIPULATION IN SCRIPS OF ETP CORP.LTD.,E-STAR INFOTECH LTD., SMR UNIVERSAL SOFTECH LTD.,RANSI SOFTWARE LTD.,ACCURATE EXPORTS LTD.,BLUE COAST HOTELS & RESORTS PVT.LTD.,BIRMINGHAM THERMOTECH LTD.,SOMPLAST LEATHER INDUSTRIES LTD.,GENUS COMMU-TRADE LTD.,SOUNDCRAFT INDUSTRIES LTD.,TOP MEDIA ENTERTAINMENT LTD. AND UNIVERSAL MEDIA NETWORK LTD.
|
REACHED SETTLEMENT (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER FROM 22-SEP-2008 TO 21-DEC-2008 VIDE CONSENT ORDER)
22-SEP-2008
|
|
| 10 |
|
|
PRADEEP KUMAR BANSAL,M/S
(Member : ICSE)
|
|
|
|
PRADEEP KUMAR BANSAL
|
|
EXECUTED SINGLE TRADES AT EXCHANGE TO ASCERTAIN PRICES FOR EXECUTING BULK ORDERS ILLEGALLY OUTSIDE THE EXCHANGE MECHANISM
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT FURNISH CORRECT INFORMATION TO INSPECTING TEAM REGARDING BANK ACCOUNTS
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF AURANGABAD CRYOGENICS LTD. (NOW KNOWN AS BANSAL NATUREVEST LTD.)
DEFICIENCIES IN MEMBER-CLIENT AGREEMENTS
DEFICIENCIES IN REGISTRATION FORMS
DID NOT ISSUE CONTRACT NOTES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT COLLECT MARGINS FROM CLIENTS
DID NOT RECORD TIME OF PLACEMENT OF ORDERS ON CONTRACT NOTES
DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
EXECUTED TRADES FOR CLIENTS THROUGH PROPRIETARY ACCOUNT TO EVADE COLLECTION OF MARGINS
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 23-JUL-2003 TO 22-JUL-2008
28-JUN-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,00,000, LEGAL EXPENSES RS.2,50,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER FROM 23-JUL-2003 TO 22-JUL-2008 VIDE CONSENT ORDER)
09-JUN-2008
|
SAT: APPLICANT AGREED TO PAY A SUM OF RS.25,00,000 TOWARDS SETTLEMENT CHARGES AND RS.2,50,000 TOWARDS LEGAL EXPENSES AS PER CONSENT ORDER DATED 09/06/2008 AND VOLUNTARILY UNDERTAKEN TO REMAIN SUSPENDED FOR A PERIOD OF 5 YEARS COMMENCING FROM 23/07/2003. ORDER DATED 28/06/2006 SET ASIDE
|
| 11 |
|
|
PRADEEP KUMAR BANSAL,M/S
(Member : CSE)
|
|
|
|
PRADEEP KUMAR BANSAL
|
|
EXECUTED SINGLE TRADES AT EXCHANGE TO ASCERTAIN PRICES FOR EXECUTING BULK ORDERS ILLEGALLY OUTSIDE THE EXCHANGE MECHANISM
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT FURNISH CORRECT INFORMATION TO INSPECTING TEAM REGARDING BANK ACCOUNTS
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF AURANGABAD CRYOGENICS LTD. (NOW KNOWN AS BANSAL NATUREVEST LTD.)
DEFICIENCIES IN MEMBER-CLIENT AGREEMENTS
DEFICIENCIES IN REGISTRATION FORMS
DID NOT ISSUE CONTRACT NOTES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT COLLECT MARGINS FROM CLIENTS
DID NOT RECORD TIME OF PLACEMENT OF ORDERS ON CONTRACT NOTES
DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
EXECUTED TRADES FOR CLIENTS THROUGH PROPRIETARY ACCOUNT TO EVADE COLLECTION OF MARGINS
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 23-JUL-2003 TO 22-JUL-2008
28-JUN-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,00,000, LEGAL EXPENSES RS.2,50,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER FROM 23-JUL-2003 TO 22-JUL-2008 VIDE CONSENT ORDER)
09-JUN-2008
|
SAT: APPLICANT AGREED TO PAY A SUM OF RS.25,00,000 TOWARDS SETTLEMENT CHARGES AND RS.2,50,000 TOWARDS LEGAL EXPENSES AS PER CONSENT ORDER DATED 09/06/2008 AND VOLUNTARILY UNDERTAKEN TO REMAIN SUSPENDED FOR A PERIOD OF 5 YEARS COMMENCING FROM 23/07/2003. ORDER DATED 28/06/2006 SET ASIDE
|
| 12 |
|
|
PRADEEP KUMAR BANSAL,M/S
(Member : UPSE)
|
|
|
|
PRADEEP KUMAR BANSAL
|
|
EXECUTED SINGLE TRADES AT EXCHANGE TO ASCERTAIN PRICES FOR EXECUTING BULK ORDERS ILLEGALLY OUTSIDE THE EXCHANGE MECHANISM
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT FURNISH CORRECT INFORMATION TO INSPECTING TEAM REGARDING BANK ACCOUNTS
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF AURANGABAD CRYOGENICS LTD. (NOW KNOWN AS BANSAL NATUREVEST LTD.)
DEFICIENCIES IN MEMBER-CLIENT AGREEMENTS
DEFICIENCIES IN REGISTRATION FORMS
DID NOT ISSUE CONTRACT NOTES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT COLLECT MARGINS FROM CLIENTS
DID NOT RECORD TIME OF PLACEMENT OF ORDERS ON CONTRACT NOTES
DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
EXECUTED TRADES FOR CLIENTS THROUGH PROPRIETARY ACCOUNT TO EVADE COLLECTION OF MARGINS
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 23-JUL-2003 TO 22-JUL-2008
28-JUN-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,00,000, LEGAL EXPENSES RS.2,50,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER FROM 23-JUL-2003 TO 22-JUL-2008 VIDE CONSENT ORDER)
09-JUN-2008
|
SAT: APPLICANT AGREED TO PAY A SUM OF RS.25,00,000 TOWARDS SETTLEMENT CHARGES AND RS.2,50,000 TOWARDS LEGAL EXPENSES AS PER CONSENT ORDER DATED 09/06/2008 AND VOLUNTARILY UNDERTAKEN TO REMAIN SUSPENDED FOR A PERIOD OF 5 YEARS COMMENCING FROM 23/07/2003. ORDER DATED 28/06/2006 SET ASIDE
|
| 13 |
|
|
RAJESH JHAVERI STOCK BROKERS PVT.LTD.
(Member : ASE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF MONALISA INFOTECH LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER FROM 15-JUN-2009 TO 14-JUL-2009 VIDE CONSENT ORDER)
15-JUN-2009
|
|
| 14 |
|
|
RAMABEN SAMANI FINANCE PVT.LTD.
(Member : ICSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIPS OF OASIS MEDIA MATRIX LTD.,GRANULES INDIA LTD.,WELLWORTH OVERSEAS LTD.,GG AUTOMOTIVE LTD.,T.SPIRITUAL WORLD LTD. AND RASHEL AGROTECH LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.18,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER FROM 01-JAN-2010 TO 31-MAY-2010 VIDE CONSENT ORDER)
24-DEC-2009
|
|
| 15 |
|
|
RAMABEN SAMANI FINANCE PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIPS OF OASIS MEDIA MATRIX LTD.,GRANULES INDIA LTD.,WELLWORTH OVERSEAS LTD.,GG AUTOMOTIVE LTD.,T.SPIRITUAL WORLD LTD. AND RASHEL AGROTECH LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.18,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER FROM 01-JAN-2010 TO 31-MAY-2010 VIDE CONSENT ORDER)
24-DEC-2009
|
|
| 16 |
|
|
S.L.GUPTA & CO.
(Member : DSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIPS OF SKYWEB INFOTECH LTD. AND SUNSHINE CAPITAL LTD.
ALLEGED VIOLATION OF CLAUSES A(1) , (3) AND (4) OF CODE OF CONDUCT FOR STOCK BROKERS AS CONTAINED IN SCHEDULE II READ WITH REGULATION 7 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER FROM 20-MAY-2009 TO 19-SEP-2009 VIDE CONSENT ORDER)
19-MAY-2009
|
|
| 17 |
|
|
S.P.J.STOCK BROKERS PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR TRANSACTIONS/REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF SUN INFOWAYS LTD.
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SUN INFOWAYS LTD.
|
REACHED SETTLEMENT (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER FROM 03-DEC-2009 TO 02-FEB-2010 VIDE CONSENT ORDER)
04-AUG-2009
|
|
| 18 |
|
|
S.P.J.STOCK BROKERS PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR TRANSACTIONS/REVERSAL OF TRADE TRASACTIONS IN SCRIP OF KARUNA CABLES LTD.
|
REACHED SETTLEMENT (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER FROM 03-AUG-2009 TO 02-DEC-2009 VIDE CONSENT ORDER)
29-JUL-2009
|
|
| 19 |
|
|
SAV STOCK MANAGEMENT PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CIRCULAR TRADING IN SCRIP OF SOUNDCRAFT INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER FROM 23-JAN-2009 TO 22-FEB-2009 VIDE CONSENT ORDER)
23-JAN-2009
|
|
| 20 |
|
|
VYOMIT SHARES STOCKS & INVESTMENTS PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIPS OF HIMACHAL FUTURISTIC COMMUNICATIONS LTD. AND GLOBAL TELESYSTEMS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER FROM 09-APR-2009 TO 08-APR-2010 VIDE CONSENT ORDER)
09-APR-2009
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
