| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 201 |
|
JAYSUKHLAL JAGJIVAN STOCK BROKING PVT.LTD.
(Member : BSE)
|
|
|
|
NITIN JAYSUKHLAL DOSHI
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF INDUSTRIAL & PRUDENTIAL INVESTMENT CO.LTD.
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGENCE 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 INDUSTRIAL & PRUDENTIAL INVESTMENT CO.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,93,457 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
31-AUG-2009
|
|
| 202 |
|
|
JBS SECURITIES PVT.LTD.
(PAN:AAACJ5485F)
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET BY STRUCTURED DEALS IN SCRIP OF ADANI EXPORTS LTD.
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE AND DILIGENCE WHILE TRADING IN SCRIP OF ADANI EXPORTS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,00,000 VIDE CONSENT ORDER)
08-OCT-2008
|
|
| 203 |
|
|
JCL SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING IN SCRIP OF SUN INFOWAY LTD.
ALLEGED INDULGENCE IN MATCHED TRADES AND CROSS DEALS IN SCRIP OF SUN INFOWAYS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,50,000 VIDE CONSENT ORDER)
20-APR-2009
|
|
| 204 |
|
|
JCP SHARES & SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
17-FEB-2009
|
|
| 205 |
|
|
JCP SHARES & SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN CASE OF ASIAN CERC INFORMATION TECHNOLOGIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
10-OCT-2008
|
|
| 206 |
|
|
JHAVERI SECURITIES LTD.
(PAN:AAACJ4727A)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 207 |
|
|
JHAVERI SECURITIES LTD.
(PAN:AAACJ4727A)
(Member : NSE/BSE)
|
|
|
|
KAMLESH JHAVERI
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPOS OF VARIOUS COMPANIES
|
DIRECTED NOT TO BUY, SELL OR DEAL IN THE SECURITIES MARKET INCLUDING IPOS DIRECTLY OR INDIRECTLY ON PROPRIETORY BASIS
27-APR-2006
|
REVOKED PROHIBITION IMPOSED FOR DEALING IN CAPITAL MARKET
|
| 208 |
|
|
JM FINANCIAL SERVICES LTD.
(PAN:AAACJ5977A)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 209 |
|
|
JMP SECURITIES PVT.LTD.
(PAN:AAACJ8850C)
(Member : BSE/NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH SELF-TRADES IN SCRIP OF VERTEX SPINNING LTD.
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 7 READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF VERTEX SPINNING LTD.
|
IMPOSED PENALTY RS.25,00,000
31-JAN-2018
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.39,73,750 VIDE CONSENT ORDER)
16-JAN-2019
|
SAT: SAT VIDE ITS ORDER DATED 07/12/2018 CONDONED THE DELAY OF 21 DAYS IN FILING OF APPEAL. APPEAL AND MISC.APPLICATION DISPOSED OFF IN TERMS OF SETTLEMENT. NO COSTS
SEBI VIDE ITS CONSENT ORDER DATED 16/01/2019 DISPOSED OFF THE CASE AS THE APPLICANT HAS PAID RS.39,73,750.00 VIDE DEMAND DRAFT NO 048121 DATED 30/11/2018 TOWARDS SETTLEMENT CHARGES
|
| 210 |
|
|
JMP SECURITIES PVT.LTD.
(PAN:AAACJ8850C)
(Member : BSE)
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ALLEGED FAILURE IN COLLECTION OF ADEQUATE MARGIN
DID NOT REFUND MONEY COLLECTED UNDER CIS
ALLEGED FAILURE IN SEGREGATING CLIENTS FUNDS AND SECURITIES
ALLEGED MISUTILISATION OF CLIENTS FUNDS
ALLEGED DELAY IN DELIVERY OF SECURITIES WITHIN STIPULATED TIME
ALLEGED NON-COMPLIANCE OF REQUIREMENTS OF UNIQUE CLIENT CODE
ALLEGED DISCREPANCIES IN MAINTENANCE OF CLIENT REGISTRATION FORMS & CLIENT AGREEMENT
ALLEGED FAILURE IN ENTERING INTO SEPARATE AGREEMENTS WITH JOBBERS
ALLEGED FAILURE IN EXECUTING AGREEMENTS ON STAMP PAPER
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.8,50,000 VIDE CONSENT ORDER)
28-JUL-2010
|
|
| 211 |
|
|
JOINDRE CAPITAL SERVICES LTD.
(PAN:AAACJ1480E)
(Member : BSE/COCSE/SKSE/NSE/CMBSE/VSE/BGSE/ICSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF IFSL LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-SEP-2005 TILL FURTHER ORDERS
28-SEP-2005
|
CONFIRMED INTERIM ORDER DATED 28/09/2005
|
| 212 |
|
|
JOINDRE CAPITAL SERVICES LTD.
(PAN:AAACJ1480E)
(Member : BSE/BGSE/COCSE/CMBSE/NSE/SKSE/VSE/ICSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR TRADES IN SCRIP OF PARSOLI CORP.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 PARSOLI CORP.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,00,000 VIDE CONSENT ORDER)
08-MAR-2011
|
|
| 213 |
|
|
JOINDRE CAPITAL SERVICES LTD.
(PAN:AAACJ1480E)
(Member : BSE/BGSE/COCSE/CMBSE/NSE/SKSE/VSE/ICSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SAYAJI HOTELS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
14-MAR-2011
|
|
| 214 |
|
|
JOINDRE CAPITAL SERVICES LTD.
(PAN:AAACJ1480E)
(Member : BSE/BGSE/COCSE/SKSE/VSE/CMBSE/NSE/ICSE)
|
|
|
ALLEGED VIOLATION OF REGULATIONS 4(1),4(2) (A),(B),(E),(G) AND (N) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ADANI EXPORTS LTD.
ALLEGED VIOLATION OF REGULATIONS 7(A) (1) TO (5) OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992 IN MATTER OF ADANI EXPORTS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,50,000 VIDE CONSENT ORDER)
26-DEC-2008
|
|
| 215 |
|
|
JRK STOCK BROKING PVT.LTD.
(PAN:AABCJ8648K)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 216 |
|
|
JSEL SECURITIES LTD.
(Member : BSE)
|
|
|
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE AND FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, DID NOT ADHERE TO STATUTORY REQUIREMENTS AND DID NOT HAVE ADEQUATE STAFF & ARRANGEMENTS TO RENDER FAIR, PROMPT & COMPETENT SERVICES TO CLIENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1),A(2),A(5) AND PARA B(8) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,00,000 VIDE CONSENT ORDER)
12-MAY-2011
|
|
| 217 |
|
|
JYOTISH BHOGILAL STOCK BROKERS PVT.LTD.
(PAN:AAACJ5486G)
(Member : ASE)
|
|
|
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS AND DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 7 READ WITH CLAUSES A(1),A(2),D(4) AND D(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF MOH LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
28-MAR-2011
|
|
| 218 |
|
|
JYOTISH BHOGILAL STOCK BROKERS PVT.LTD.
(PAN:AAACJ5486G)
(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
|
|
| 219 |
|
|
JYOTISH BHOGILAL STOCK BROKERS PVT.LTD.
(PAN:AAACJ5486G)
(Member : ASE)
|
|
|
ALLEGED INDULGENCE IN PRICE MANIPULATION AND IRREGULAR TRANSACTIONS IN SCRIP OF OJAS TECHNOCHEM PRODUCTS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,50,000 VIDE CONSENT ORDER)
20-NOV-2007
|
|
| 220 |
|
|
JYOTISH BHOGILAL STOCK BROKERS PVT.LTD.
(PAN:AAACJ5486G)
(Member : ASE)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE AND DILIGENCE WHILE DEALING IN SCRIP OF MONALISA INFOTECH LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
19-OCT-2011
|
|
| 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 11 of 27
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