| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 201 |
|
RVI SHARE & SECURITIES PVT.LTD.
(Sub-Broker of EVERGREEN BROKING 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
|
|
| 202 |
|
|
RVI SHARE & SECURITIES PVT.LTD.
|
|
|
|
VIRENDRA G.JARIWALA
|
|
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
|
|
| 203 |
|
|
S S R INVESTMENTS
|
|
|
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
|
DISMISSED
|
| 204 |
|
|
S.K.JHUNJHUNWALA,M/S
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
15-DEC-2010
|
|
| 205 |
|
|
S.M.SAMANY (SAMANT)
|
|
|
|
S.M.SAMANY (SAMANT),M/S
|
|
VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED SECTION 17 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
|
| 206 |
|
|
S.M.SAMANY (SAMANT)
(Sub-Broker of JITENDRA VITHALDAS MARTHAK, Member : BSE, RAKESH R.JHUNJHUNWALA, Member : BSE)
|
|
|
|
S.M.SAMANY (SAMANT),M/S
(Sub-Broker of JITENDRA VITHALDAS MARTHAK, Member : BSE, RAKESH R.JHUNJHUNWALA, 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
|
|
| 207 |
|
|
S.M.SAMANY (SAMANT),M/S
(Sub-Broker of JITENDRA VITHALDAS MARTHAK, Member : BSE, RAKESH R.JHUNJHUNWALA, Member : BSE)
|
|
|
|
S.M.SAMANY (SAMANT)
|
|
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
|
|
| 208 |
|
|
S.M.SAMANY (SAMANT),M/S
|
|
|
|
S.M.SAMANY (SAMANT)
|
|
VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED SECTION 17 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
|
| 209 |
|
|
S.PATWA & ASSOCIATES
(Sub-Broker of JCP SHARE & 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
|
|
| 210 |
|
|
S.PATWA & ASSOCIATES
|
|
|
VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.100000.00 TO SEBI
|
| 211 |
|
|
S.R.R.INVESTMENTS
(Sub-Broker of IKM INVESTORS SERVICES LTD., Member : NSE)
|
|
|
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
|
|
| 212 |
|
|
S.S.FINANCIAL SERVICES
|
|
|
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
|
| 213 |
|
|
SAGAR KAJBAJE
|
|
|
|
BHUPALI SECURITIES
|
|
ACTED AS SUB-BROKER TO DANGI FINANCE & MANAGEMENT CONSULTANCY LTD. AND LIBORD SECURITIES LTD. WITHOUT SEBI REGISTRATION
MADE FALSE REPRESENTATION IN NEWSPAPERS TO MISLEAD/INDUCE INVESTORS
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 26-AUG-2003 TO 25-AUG-2006
26-AUG-2003
|
|
| 214 |
|
|
SAGAR KAJBAJE
|
|
|
|
BHUPALI SECURITIES
|
|
VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED REGULATION 5 SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 215 |
|
|
SAGAR SECURITIES
|
|
|
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
|
| 216 |
|
|
SAIDATA SECURITIES PVT.LTD.
|
|
|
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
|
|
| 217 |
|
|
SAILESH M.DOSHI
|
|
|
|
SAILESH M.DOSHI,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
|
ACCUSED CONVICTED AND SENTENCED TO IMPRISONMENT FOR A TERM OF ONE YEAR AND FINE OF RS.5000
|
| 218 |
|
|
SAILESH M.DOSHI,M/S
|
|
|
|
SAILESH M.DOSHI
|
|
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
|
ACCUSED CONVICTED AND SENTENCED TO IMPRISONMENT FOR A TERM OF ONE YEAR AND FINE OF RS.5000
|
| 219 |
|
|
SANDHYA AGGARWAL
|
|
|
|
PRASNEETA CONSTRUCTIONS PVT.LTD.
|
|
AIDED AND ABETED ITS CLIENTS IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SHAMKEN MULTIFAB LTD.
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-DEC-2014 TO 08-DEC-2015
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-DEC-2014 TO 08-DEC-2015
09-DEC-2014
|
|
| 220 |
|
|
SANJEEV JAIN
|
|
|
|
NIPPIN INVESTMENTS
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
19-JUL-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 14
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