| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 181 |
|
RAJEEV & CO.
|
|
|
VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED SECTION 12 OF SEBI ACT, 1992
VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 182 |
|
|
RAJEEV MEHTA
|
|
|
|
RAJEEV MEHTA,M/S
|
|
VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 183 |
|
|
RAJEEV MEHTA
(Sub-Broker of SSKI INVESTORS SERVICES PVT.LTD., Member : BSE)
|
|
|
|
RAJEEV MEHTA,M/S
(Sub-Broker of SSKI INVESTORS SERVICES PVT.LTD., Member : BSE)
|
|
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-JUL-2003
07-JUL-2003
|
|
| 184 |
|
|
RAJEEV MEHTA,M/S
(Sub-Broker of SSKI INVESTORS SERVICES PVT.LTD., Member : BSE)
|
|
|
|
RAJEEV MEHTA
|
|
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-JUL-2003
07-JUL-2003
|
|
| 185 |
|
|
RAJEEV MEHTA,M/S
|
|
|
|
RAJEEV MEHTA
|
|
VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 186 |
|
|
RAJENDRA SECLEASE LTD.
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF SAI INFO LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-MAR-2010 TO 18-SEP-2010
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-MAR-2010 TO 18-SEP-2010
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
19-MAR-2010
|
|
| 187 |
|
|
RAJNI & CO.
|
|
|
|
RAJNI KHANEJA
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ALLEGED INDULGENCE IN PRICE RIGGING, SIPHONING OF ISSUE PROCEEDS, LIQUIDATION OF NOMINEE HOLDINGS AT RIGGED PRICES AND MIS-STATEMENTS & DISCLOSURES IN PROSPECTUS AND LETTER OF OFFER IRREGULAR TRANSACTIONS IN SCRIP OF GLOBAL TELESYSTEMS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
26-APR-2010
|
|
| 188 |
|
|
RAJNI KHANEJA
|
|
|
|
RAJNI & CO.
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ALLEGED INDULGENCE IN PRICE RIGGING, SIPHONING OF ISSUE PROCEEDS, LIQUIDATION OF NOMINEE HOLDINGS AT RIGGED PRICES AND MIS-STATEMENTS & DISCLOSURES IN PROSPECTUS AND LETTER OF OFFER IRREGULAR TRANSACTIONS IN SCRIP OF GLOBAL TELESYSTEMS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
26-APR-2010
|
|
| 189 |
|
|
RAM SAGAR SINHA
|
|
|
|
RAM SAGAR SINHA,M/S
|
|
VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED SECTION 12 OF SEBI ACT, 1992
VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
PROSECUTION LAUNCHED
15-MAY-2006
|
DISMISSED
|
| 190 |
|
|
RAM SAGAR SINHA,M/S
|
|
|
|
RAM SAGAR SINHA
|
|
VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED SECTION 12 OF SEBI ACT, 1992
VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
PROSECUTION LAUNCHED
15-MAY-2006
|
DISMISSED
|
| 191 |
|
|
RAMESH GOEL
|
|
|
|
BALAJI & CO.
PAN:AAMFB5175B
|
|
VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED SECTION 12 OF SEBI ACT, 1992
VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 192 |
|
|
REACH HIGH INVESTMENTS
|
|
|
VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED SECTION 12 OF SEBI ACT, 1992
VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 193 |
|
|
REENA BANSAL
|
|
|
|
REENA BANSAL,M/S
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 21-APR-2011 TO 20-APR-2016
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-APR-2011 TO 20-APR-2016
DIRECTED NSDL AND CDSL NOT TO GIVE EFFECT TO ANY DEBIT INSTRUCTION IN DEMAT ACCOUNTS OF SUB BROKER OR OF ANY BENEFICIAL OWNER ON AUTHORITY OF POWER OF ATTORNEY
21-APR-2011
|
SEBI VIDE ITS ORDER DATED 09/06/2014 CONFIRMED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 21/04/2011
SEBI VIDE ITS ORDER DATED 22/04/2015 RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET WHATSOEVER OR ACCESSING SECURITIES MARKET, DIRECTLY OR INDIRECTLY, FOR A PERIOD OF 5 YEARS FORM 21/04/2011 TO 20/04.2016
|
| 194 |
|
|
REENA BANSAL,M/S
|
|
|
|
REENA BANSAL
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 21-APR-2011 TO 20-APR-2016
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-APR-2011 TO 20-APR-2016
DIRECTED NSDL AND CDSL NOT TO GIVE EFFECT TO ANY DEBIT INSTRUCTION IN DEMAT ACCOUNTS OF SUB BROKER OR OF ANY BENEFICIAL OWNER ON AUTHORITY OF POWER OF ATTORNEY
21-APR-2011
|
SEBI VIDE ITS ORDER DATED 09/06/2014 CONFIRMED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 21/04/2011
SEBI VIDE ITS ORDER DATED 22/04/2015 RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET WHATSOEVER OR ACCESSING SECURITIES MARKET, DIRECTLY OR INDIRECTLY, FOR A PERIOD OF 5 YEARS FORM 21/04/2011 TO 20/04.2016
|
| 195 |
|
|
RITU MITTAL
(Sub-Broker of SAM GLOBAL SECURITIES LTD., Member : BSE)
|
|
|
|
GANPATI FINSEC PVT.LTD.
(Sub-Broker of SAM GLOBAL SECURITIES LTD., Member : BSE)
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-OCT-2005 TILL FURTHER ORDERS
05-OCT-2005
|
SEBI VIDE ORDER DATED 28/09/2007 REDUCED THE DEBARED PERIOD FOR 3 YEARS I.E. FROM 05/10/2005 TO 04/10/2008
SEBI VIDE ORDER DATED 28/09/2007 DIRECTED CDSL TO VERIFY OWNERSHIP OF SHARES AND ENSURE TRANSFER OF SHARES IN THE RESPECTIVE DEMAT ACCOUNT
SAT: ORDER MODIFIED BY REDUCING PERIOD OF DEBARMENT FROM 3 YEARS TO 6 MONTHS, AS APPELLANT HAVE ALREADY UNDERGONE PUNISHMENT MORE THAN THIS, APPEAL DISPOSED OF
|
| 196 |
|
|
ROHIT JAIN
|
|
|
|
NIPPIN INVESTMENTS
|
|
ALLEGED INDULGENCE IN PRICE MANIPULATION THROUGH IRREGULAR TRANSACTIONS IN SCRIP OF KARISHMA FLORICULTURE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 18-FEB-2010 TO 17-AUG-2010
15-FEB-2010
|
|
| 197 |
|
|
ROOP CHAND VASWANI
|
|
|
|
ROOP CHAND VASWANI,M/S
|
|
VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED SECTION 12 OF SEBI ACT, 1992
VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
PROSECUTION LAUNCHED
15-MAY-2006
|
DISMISSED
|
| 198 |
|
|
ROOP CHAND VASWANI,M/S
|
|
|
|
ROOP CHAND VASWANI
|
|
VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED SECTION 12 OF SEBI ACT, 1992
VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
PROSECUTION LAUNCHED
15-MAY-2006
|
DISMISSED
|
| 199 |
|
|
RUPANI ENTERPRISES
|
|
|
VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.1,00,000 BY THE ACCUSED TO SEBI
|
| 200 |
|
|
RUPANI ENTERPRISES
(Sub-Broker of SOVEREIGN SECURITIES PVT.LTD., Member : BSE)
|
|
|
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-JUL-2003
07-JUL-2003
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
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| Page 10 of 14
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