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SOURCE OF INFORMATION

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 : 30-NOV-2007 TO 27-FEB-2026

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: REACHED SETTLEMENT (CONSENT ORDER)

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
261
History of entity/person MANGAL KESHAV SECURITIES LTD.

(PAN:AAECM6524C)

(Member : BSE/NSE)  
  ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET THROUGH CIRCULAR TRANSACTIONS IN SCRIP OF DATABASE FINANCE LTD.

ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE AND DILIGENCE WHILE EXECUTING TRANSACTIONS IN SCRIP OF DATABASE FINANCE LTD.   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)

30-SEP-2008 		 
262
History of entity/person MANGAL KESHAV SECURITIES LTD.

(PAN:AAECM6524C)

(Member : BSE/NSE)  
  ALLEGED INDULGENCE IN AIDING AND ABETTING FINCARE FINANCIAL CONSULTANCY SERVICES PVT.LTD. IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIPS OF BSEL INFRASTRUCTURE REALTY LTD. AND MAHARASHTRA SEAMLESS LTD.

ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLIED WITH 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 BSEL INFRASTRUCTURE REALTY LTD. AND MAHARASHTRA SEAMLESS LTD.   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,00,000 VIDE CONSENT ORDER)

19-FEB-2010 		 
263
History of entity/person MANIPUT INVESTMENTS PVT.LTD.

(Member : NSE)  
  INDULGED IN CREATION OF FALSE & MISLEADING APPEARANCE OF TRADING BY PUTTING ABNORMALLY LARGE ORDERS OF SHARES AT MUCH BELOW PREVAILING MARKET PRICES IN SCRIPS OF POCHIRAJU INDUSTRIES LTD.,CAMBRIDGE TECHNOLOGY ENTERPRISES LTD.,MINDTREE CONSULTING LTD.,SHREE ASHTAVINAYAK CINE VISION LTD.,PYRAMID SAIMIRA THEATRE LTD. & AL CHAMPDANY INDUSTRIES LTD. ON THE LISTING DATE   DIRECTED TO BE CAUTIOUS AND EXERCISE DUE DILIGENCE WHILE DEALING ON BEHALF OF THEIR CLIENTS AS A STOCK BROKER

26-APR-2007 		 
264
History of entity/person MANISHA P.NAIK  
Click here to view complete history of this specific entity/person MANISHA P.NAIK,M/S

(Member : VSE)
  		ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

ALLEGED INDULGENCE IN CREATION OF FALSE MARKET IN SCRIP OF AXEL POLYMERS LTD.   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)

31-MAR-2009 		 
265
History of entity/person MANISHA P.NAIK,M/S

(Member : VSE)  
Click here to view complete history of this specific entity/person MANISHA P.NAIK
  		ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

ALLEGED INDULGENCE IN CREATION OF FALSE MARKET IN SCRIP OF AXEL POLYMERS LTD.   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)

31-MAR-2009 		 
266
History of entity/person MANOJ SARNA & CO.

(Member : LSE)  
  ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF CLASSIC GLOBAL IMPEX LTD.(NOW KNOWN AS DEVINE IMPEX LTD.)   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)

04-MAY-2010 		 
267
History of entity/person MANSUKHLAL MANILAL UPADHYAY  
Click here to view complete history of this specific entity/person MANSUKHLAL MANILAL UPADHYAY,M/S

(Member : BSE)
  		ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR TRANSACTIONS IN SCRIP OF K SERA SERA PRODUCTIONS LTD.

ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS AND INDULGED IN PRICE MANIPULATION VIOLATING REGULATION 7 READ WITH CLAUSES A(1) AND A(3) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF K SERA SERA PRODUCTIONS LTD.   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,00,000 VIDE CONSENT ORDER)

24-FEB-2010 		 
268
History of entity/person MANSUKHLAL MANILAL UPADHYAY  
Click here to view complete history of this specific entity/person MANSUKHLAL MANILAL UPADHYAY,M/S

(Member : BSE)
  		ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLIED WITH 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 GRAVITY INDIA LTD.

ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED/MATCHED TRADES IN SCRIP OF GRAVITY INDIA LTD.   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,00,000 VIDE CONSENT ORDER)

23-OCT-2009 		 
269
History of entity/person MANSUKHLAL MANILAL UPADHYAY  
Click here to view complete history of this specific entity/person MANSUKHLAL MANILAL UPADHYAY,M/S

(Member : BSE)
  		ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF ADVIK LOBORATORIES LTD.   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,00,000 VIDE CONSENT ORDER)

14-JAN-2009 		 
270
History of entity/person MANSUKHLAL MANILAL UPADHYAY,M/S

(Member : BSE)  
Click here to view complete history of this specific entity/person MANSUKHLAL MANILAL UPADHYAY
  		ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR TRANSACTIONS IN SCRIP OF K SERA SERA PRODUCTIONS LTD.

ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS AND INDULGED IN PRICE MANIPULATION VIOLATING REGULATION 7 READ WITH CLAUSES A(1) AND A(3) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF K SERA SERA PRODUCTIONS LTD.   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,00,000 VIDE CONSENT ORDER)

24-FEB-2010 		 
271
History of entity/person MANSUKHLAL MANILAL UPADHYAY,M/S

(Member : BSE)  
Click here to view complete history of this specific entity/person MANSUKHLAL MANILAL UPADHYAY
  		ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLIED WITH 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 GRAVITY INDIA LTD.

ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED/MATCHED TRADES IN SCRIP OF GRAVITY INDIA LTD.   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,00,000 VIDE CONSENT ORDER)

23-OCT-2009 		 
272
History of entity/person MANSUKHLAL MANILAL UPADHYAY,M/S

(Member : BSE)  
Click here to view complete history of this specific entity/person MANSUKHLAL MANILAL UPADHYAY
  		ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF ADVIK LOBORATORIES LTD.   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,00,000 VIDE CONSENT ORDER)

14-JAN-2009 		 
273
History of entity/person MANU STOCK BROKING (P) LTD.

(Member : NSE)  
  INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT   CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS FROM 18-JUN-2007 TILL FURTHER ORDERS

18-JUN-2007

REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)

20-APR-2009 		AD-INTERIM EX-PARTE ORDER DATED 18/06/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.5,00,000 TOWARDS SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 20/04/2009  
274
History of entity/person MANU STOCK BROKING PVT.LTD.

(PAN:AAECM3713B)

(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 		 
275
History of entity/person MARCK SECURITIES PVT.LTD.

(PAN:AACCM5188N)

(Member : NSE)  
  DEALT WITH UN-REGISTERED SUB-BROKERS   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.90,000, ADMINISTRATION CHARGES RS.10,000 VIDE CONSENT ORDER)

27-APR-2009 		 
276
History of entity/person MARCK SECURITIES PVT.LTD.

(PAN:AACCM5188N)

(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.5,00,000 VIDE CONSENT ORDER)

14-MAR-2023 		 
277
History of entity/person MARFATIA STOCK BROKING PVT.LTD.

(PAN:AADCM6730B)

(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 		 
278
History of entity/person MARKET HUB STOCK BROKING IFSC PVT.LTD.

(PAN:AAFCM6417R)

(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 		 
279
History of entity/person MARWADI SHARES & FINANCE LTD.

(CIN:U65910GJ1992PLC017544
PAN:AABCM5192K)

(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 		 
280
History of entity/person MASTER CAPITAL SERVICES LTD.

(PAN:AABCM1406A)

(Member : BSE/NSE/OTC/LSE)  
  ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 9(F) READ WITH CLAUSES A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992

ALLEGED VIOLATION OF SEBI CIRCULARS NO.MRD/DOP/SE/CIR-20/2005 DATED 08/09/2005 AND MIRSD/SE/CIR-19/2009 DATED 03/12/2009   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,65,000 VIDE CONSENT ORDER)

06-SEP-2017 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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