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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: RESTRAINED FROM EXECUTING TRADES IN PROPRIETARY ACCOUNT

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

(PAN:AAACF7530K)  

(Member : BSE)
  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PFL INFOTECH LTD.  RESTRAINED FROM EXECUTING TRADES IN PROPRIETARY ACCOUNT

WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS

28-NOV-2022 		SAT: SAT VIDE ITS ORDER DATED 07/06/2023 DISMISSED THE APPEAL. NO COSTS
2 
History of entity/person KOTAK COMMODITY SERVICES PVT.LTD.  

(Member : NSEL)
  NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER  DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 22-DEC-2023 TO 05-JAN-2024

RESTRAINED FROM EXECUTING TRADES IN PROPRIETARY ACCOUNT

22-DEC-2023 		SAT: SAT VIDE ITS ORDER DATED 16/02/2024 STAYED EFFECT AND OPERATION OF IMPUGNED ORDER TILL FURTHER ORDERS

SAT: SAT VIDE ITS ORDER DATED 12/07/2024 GRANTED EXTENSION OF SIX MONTHS TO COMPLETE THE ENTIRE PROCEEDINGS AND COME OUT WITH A SCHEME UNDER THE SETTLEMENT REGULATIONS
3 
History of entity/person STEEL CITY COMMODITIES PVT.LTD.  

(Member : NSEL)
  NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER  DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 22-DEC-2023 TO 05-JAN-2024

RESTRAINED FROM EXECUTING TRADES IN PROPRIETARY ACCOUNT

22-DEC-2023 		SAT: SAT VIDE ITS ORDER DATED 05/01/2024 STAYED THE EFFECT AND OPERATION OF IMPUGNED ORDER TILL FURTHER ORDERS

SAT: SAT VIDE ITS ORDER DATED 20/06/2024 STAYED THE IMPUGNED ORDER 22/12/2023

SAT: SAT VIDE ITS ORDER DATED 12/07/2024 GRANTED EXTENSION OF SIX MONTHS TO COMPLETE THE ENTIRE PROCEEDINGS AND COME OUT WITH A SCHEME UNDER THE SETTLEMENT REGULATIONS
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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