| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 281 |
|
MATALIA STOCK BROKING PVT.LTD.
(PAN:AADCM9097M)
(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
|
|
| 282 |
|
|
MATRI MANGAL TRADING PVT.LTD.
(PAN:AAFCM9370H)
(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.2,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 283 |
|
|
MATRIX EQUITRADE PVT.LTD.
(Member : BSE/NSE)
|
|
|
ALLEGED VIOLATION OF REGULATION 4(2) (A) OF SEBI (PFUTP) REGULATIONS, 2003 AND CLAUSE A(1),(2),(3) AND (5) OF CODE OF CONDUCT OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992 IN MATTER OF NISSAN COPPER LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
18-NOV-2008
|
|
| 284 |
|
|
MATRIX EQUITRADE PVT.LTD.
(Member : BSE/NSE)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-JAN-2007 TILL FURTHER ORDERS
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
REVOKED EARLIER DIRECTION ISSUED VIDE AD-INTERIM EX-PARTE ORDER DATED 17/01/2007 WITH IMMEDIATE EFFECT
|
| 285 |
|
|
MAUZAMPURIA SECURITIES BROKING PVT.LTD.
(PAN:AAFCM7214E)
(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
|
|
| 286 |
|
|
MAVERICK SHARE BROKERS LTD.
(PAN:AAECM8942N)
(Member : BSE/NSE/MCX)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL & CARE AS A STOCK BROKER VIOLATING CLAUSE A(2) OF CODE OF CONDUCT FOR STOCK BROKERS AS SPECIFIED UNDER SCHEDULE II OF REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.23,80,166 VIDE CONSENT ORDER)
25-OCT-2017
|
|
| 287 |
|
|
MAVERICK SHARE BROKERS LTD.
(PAN:AAECM8942N)
(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
|
|
| 288 |
|
|
MAVERICK SHARE BROKERS LTD.
(PAN:AAECM8942N)
(Member : BSE/NSE)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL & CARE AS A STOCK BROKER VIOLATING CLAUSE A(2) OF CODE OF CONDUCT FOR STOCK BROKERS AS SPECIFIED UNDER SCHEDULE II OF REGULATION 7/REGULATION 9(F) OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN THE SCRIP OF BYKE HOSPITALITY LTD.,THE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
29-JAN-2018
|
|
| 289 |
|
|
MG CAPITAL SERVICES LTD.
(CIN:U74899DL1994PLC061509
PAN:AAACM6670R)
(Member : NSE)
|
|
|
ALLEGED DISCREPANCY IN ISSUANCE OF CONTRACT NOTES
ALLEGED FAILURE IN MAINTENANCE OF CLIENT DATABASE
ALLEGED NON-COMPLIANCE OF REQUIREMENTS OF UNIQUE CLIENT CODE
ALLEGED DELAY IN DELIVERY OF SECURITIES WITHIN STIPULATED TIME
ALLEGED NON-SEGREGATION OF CLIENT FUNDS FROM BROKERS FUNDS
ALLEGED DEFAULT IN MAINTENANCE OF BOOK OF ACCOUNTS AND RECORDS
ALLEGED DELAY IN MAKING PAYMENT TO CLIENTS
ALLEGED INDULGENCE IN PRO ACCOUNT TRADING
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,35,000 VIDE CONSENT ORDER)
31-OCT-2008
|
|
| 290 |
|
|
MI STOCK BROKING PVT.LTD.
(PAN:AAGCM3006K)
(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
|
|
| 291 |
|
|
MILLENNIUM STOCK BROKING PVT.LTD.
(PAN:AACCM2853Q)
(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
|
|
| 292 |
|
|
MITESH MANUBHAI SHETH
|
|
|
|
MITESH MANUBHAI SHETH,M/S
(Member : ASE)
|
|
ALLEGED VIOLATION OF REGULATION 17,17(1)(I),21(4) AND 26(1),30(1) AND CLAUSE B(2) OF CODE OF CONDUCT UNDER SCHEDULE II TO REGULATION 7 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
ALLEGED VIOLATION OF RULE 15(1),15(2) (C) OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
ALLEGED VIOLATION OF RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-APR-1995
24-APR-1995
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000, LEGAL EXPENSES RS.1,00,000 VIDE CONSENT ORDER)
22-MAR-2010
|
ORDER DATED 24/04/1995 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.2,00,000 TOWARDS SETTLEMENT CHARGES AND RS.1,00,000 TOWARDS LEGAL EXPENSES, AS PER CONSENT ORDER DATED 22/03/2010
|
| 293 |
|
|
MITESH MANUBHAI SHETH,M/S
(Member : ASE)
|
|
|
|
MITESH MANUBHAI SHETH
|
|
ALLEGED VIOLATION OF REGULATION 17,17(1)(I),21(4) AND 26(1),30(1) AND CLAUSE B(2) OF CODE OF CONDUCT UNDER SCHEDULE II TO REGULATION 7 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
ALLEGED VIOLATION OF RULE 15(1),15(2) (C) OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
ALLEGED VIOLATION OF RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-APR-1995
24-APR-1995
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000, LEGAL EXPENSES RS.1,00,000 VIDE CONSENT ORDER)
22-MAR-2010
|
ORDER DATED 24/04/1995 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.2,00,000 TOWARDS SETTLEMENT CHARGES AND RS.1,00,000 TOWARDS LEGAL EXPENSES, AS PER CONSENT ORDER DATED 22/03/2010
|
| 294 |
|
|
MITHUN SECURITIES PVT.LTD.
(PAN:AAACM5632M)
(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
|
|
| 295 |
|
|
MITTAL SECURITIES PVT.LTD.
(PAN:AAECM8498D)
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH MATCHED AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF DSQ SOFTWARE LTD.
VIOLATED SEBI CODE OF CONDUCT
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-JUN-2007 TO 19-OCT-2007
30-MAY-2007
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.20,00,000, LEGAL EXPENSES RS.50,000 VIDE CONSENT ORDER)
17-OCT-2008
|
SAT: IMPUGNED ORDER DATED 30/05/2007 MODIFIED, AS APPLICANT AGREED TO PAY RS.20,50,000 AS PER CONSENT ORDER DATED 17/10/2008
|
| 296 |
|
|
MKB SECURITIES PVT.LTD.
(PAN:AACCB7074J)
(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
|
|
| 297 |
|
|
MLB CAPITAL PVT.LTD.
(PAN:AABCM3390D)
(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
|
|
| 298 |
|
|
MONARCH NETWORTH CAPITAL LTD.
(PAN:AAACN1184F)
(Member : BSE/OTC/NSE)
|
|
|
ALLEGED VIOLATION OF REGULATION 7A (2) OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992 IN MATTER OF FAST TRACK ENTERTAINMENT LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,50,000 VIDE CONSENT ORDER)
28-JAN-2009
|
|
| 299 |
|
|
MONARCH NETWORTH CAPITAL LTD.
(PAN:AAACN1184F)
(Member : BSE/OTC/NSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF G-TECH INFO TRAINING LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,00,000 VIDE CONSENT ORDER)
03-FEB-2009
|
|
| 300 |
|
|
MONARCH NETWORTH CAPITAL LTD.
(PAN:AAACN1184F)
(Member : BSE/NSE)
|
|
|
ALLEGED ENGAGE IN A CO-ORDINATED SCHEME TO INDUCE INVESTORS TO ACQUIRE SECURITIES OF ATLANTAA LTD. BY UPLOADING FALSE & MISLEADING VIDEOS ON CERTAIN YOUTUBE CHANNELS
ALLEGED FAILURE IN CARRYING OUT NECESSARY DUE DILIGENCE AND DID NOT ADHERE TO STATUTORY REQUIREMENTS WHILE DEALING WITH CLIENTS VIOLATING CLAUSES A(2) AND A(5) OF CODE OF CONDUCT AS SPECIFIED IN SCHEDULE II UNDER REGULATION 9(F) OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF ATLANTAA LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.11,37,500 VIDE CONSENT ORDER)
21-FEB-2025
|
|
| 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 15 of 27
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