| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ARJ SHARES & STOCK BROKERS PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(3) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF GLOBAL TELESYSTEMS LTD.
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF GLOBAL TELESYSTEMS LTD.
ALLEGED VIOLATION OF SECTION 13 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 26-APR-2010 TO 25-APR-2011 VIDE CONSENT ORDER)
26-APR-2010
|
|
| 2 |
|
|
MITESH MANUBHAI SHETH,M/S
(Member : ASE)
|
|
|
|
MITESH MANUBHAI SHETH
|
|
ALLEGED VIOLATION OF REGULATION 17,17(1)(I),21(4) AND 26(1),30(1) AND CLAUSE B(2) OF CODE OF CONDUCT UNDER SCHEDULE II TO REGULATION 7 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
ALLEGED VIOLATION OF RULE 15(1),15(2) (C) OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
ALLEGED VIOLATION OF RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-APR-1995
24-APR-1995
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000, LEGAL EXPENSES RS.1,00,000 VIDE CONSENT ORDER)
22-MAR-2010
|
ORDER DATED 24/04/1995 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.2,00,000 TOWARDS SETTLEMENT CHARGES AND RS.1,00,000 TOWARDS LEGAL EXPENSES, AS PER CONSENT ORDER DATED 22/03/2010
|
| 3 |
|
|
O.P.GUPTA & CO.
(Member : LSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR AND FICTITIOUS TRADING VIOLATING SECTION 16 OF SECURITES CONTRACTS (REGULATION) ACT, 1956 IN SCRIP OF SRU SHARE BROKERS LTD.
ALLEGED INDULGENCE IN IRREGULAR AND FICTITIOUS TRANSACTIONS IN SCRIPS OF SG GLOBAL EXPORTS LTD. AND SRU SHARE BROKERS LTD.
ALLEGED NON COMPLIANCE WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSE A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SG GLOBAL EXPORTS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-DEC-2009 TO 08-DEC-2010 VIDE CONSENT ORDER)
06-DEC-2009
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
