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SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – CONSENT ORDERS/ PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS
PERIOD COVERED : 30-OCT-2007 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: VIOLATED SEBI PUBLIC ISSUE DIRECTIVES/INSTRUCTIONS/GUIDELINES

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

(Member : ASE)
  ALLEGED FINANCING OF KEY OPERATORS WHO HAD OPENED MANY DEMAT ACCOUNTS IN FICTITIOUS AND BENAMI NAMES  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,000 VIDE CONSENT ORDER)

21-JUL-2008
2 
History of entity/person ANAGRAM SECURITIES LTD.  

(Member : NSE)
  ALLEGED FINANCING OF KEY OPERATORS WHO HAD OPENED MANY DEMAT ACCOUNTS IN FICTITIOUS AND BENAMI NAMES  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,000 VIDE CONSENT ORDER)

21-JUL-2008
3 
History of entity/person JYOTISH BHOGILAL STOCK BROKERS PVT.LTD.  

(Member : ASE)
  ALLEGED NON-EXERCISE OF DUE CARE & DILIGENCE IN CASE OF MANNA GLASS TECH INDUSTRIES LTD.  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)

20-NOV-2007
4 
History of entity/person WALLFORT SHARE & STOCK BROKERS PVT.LTD.  

(Member : BSE)
  ALLEGED INDULGENCE IN BAILING OUT PUBLIC ISSUE OF MAZDA FABRICS & PROCESSORS LTD. THROUGH FICTITIOUS SUBSCRIPTION  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)

REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-AUG-2010 TO 11-AUG-2011 VIDE CONSENT ORDER)

12-AUG-2010
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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