| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
HASMUKH SHAH
|
|
|
|
HEM ENTERPRISES
|
|
MANIPULATED MARKET PRICE IN SCRIP OF MANU FINLEASE LTD.
INDUCED SALE AND PURCHASE OF SHARES OF MANU FINLEASE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-NOV-2002 TO 28-NOV-2007
29-NOV-2002
|
|
| 22 |
|
|
HEM ENTERPRISES
|
|
|
|
HASMUKH SHAH
|
|
MANIPULATED MARKET PRICE IN SCRIP OF MANU FINLEASE LTD.
INDUCED SALE AND PURCHASE OF SHARES OF MANU FINLEASE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-NOV-2002 TO 28-NOV-2007
29-NOV-2002
|
|
| 23 |
|
|
HULLATI KRISHNA B.
|
|
|
|
MATRIX WEB
|
|
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-SEP-2004 TILL FURTHER ORDER
RESTRAINED FROM ACCEPTING LOANS/DEPOSITS FROM PUBLIC FOR SECURITIES MARKET FROM 10-SEP-2004 TILL FURTHER ORDER
10-SEP-2004
|
|
| 24 |
|
|
INDUMATI N.SHAH
|
|
|
|
BIJAL SECURITIES PVT.LTD.
|
|
VIOLATED SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.1,00,000 BY THE ACCUSED TO SEBI
|
| 25 |
|
|
JOGLEKAR INVESTMENTS PVT.LTD.
(CIN:U65993PN1997PTC106626)
|
|
|
|
MADHAV PRASAD JOGLEKAR
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-OCT-2007 TILL COMPLETION OF INQUIRY
17-OCT-2007
|
WITHDRAWN INTERIM ORDER DATED 17/10/2007
|
| 26 |
|
|
KAREENA INFOTECH
|
|
|
|
MANOHAR PILLAI
|
|
ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-DEC-2018 TO 19-JAN-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-DEC-2018 TO 19-JAN-2021
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 20-DEC-2018 TO 19-JAN-2021
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET FROM 20-DEC-2018 TO 19-JAN-2021
RESTRAINED FROM MOBILIZING FUNDS FROM 20-DEC-2018 TO 19-JAN-2021
12-JAN-2016
|
SEBI VIDE ITS ORDER DATED 20/12/2018 DISPOSED OFF INTERIM ORDER DATED 12/01/2016 AND DIRECTED NOTICEES TO 1) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY FOR THREE YEARS FROM DATE OF THIS ORDER 2) CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FOR THREE YEARS FROM DATE OF THIS ORDER 3) PROHIBITED FROM MOBILIZING FUNDS FROM PUBLIC, IN WHATEVER FORM, FOR THREE YEARS FROM DATE OF THIS ORDER
|
| 27 |
|
|
KRISHNA HULLATI
|
|
|
|
MATRIX WEB
|
|
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-SEP-2004 TILL FURTHER ORDER
RESTRAINED FROM ACCEPTING LOANS/DEPOSITS FROM PUBLIC FOR SECURITIES MARKET FROM 10-SEP-2004 TILL FURTHER ORDER
10-SEP-2004
|
|
| 28 |
|
|
KRISHNARAJ
|
|
|
|
MATRIX WEB
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-SEP-2004 TILL FURTHER ORDER
RESTRAINED FROM ACCEPTING LOANS/DEPOSITS FROM PUBLIC FOR SECURITIES MARKET FROM 10-SEP-2004 TILL FURTHER ORDER
10-SEP-2004
|
|
| 29 |
|
|
MANOHAR PILLAI
|
|
|
|
KAREENA INFOTECH
|
|
ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-DEC-2018 TO 19-JAN-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-DEC-2018 TO 19-JAN-2021
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 20-DEC-2018 TO 19-JAN-2021
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET FROM 20-DEC-2018 TO 19-JAN-2021
RESTRAINED FROM MOBILIZING FUNDS FROM 20-DEC-2018 TO 19-JAN-2021
12-JAN-2016
|
SEBI VIDE ITS ORDER DATED 20/12/2018 DISPOSED OFF INTERIM ORDER DATED 12/01/2016 AND DIRECTED NOTICEES TO 1) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY FOR THREE YEARS FROM DATE OF THIS ORDER 2) CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FOR THREE YEARS FROM DATE OF THIS ORDER 3) PROHIBITED FROM MOBILIZING FUNDS FROM PUBLIC, IN WHATEVER FORM, FOR THREE YEARS FROM DATE OF THIS ORDER
|
| 30 |
|
|
MATRIX WEB
|
|
|
|
HULLATI KRISHNA B.
|
|
|
KRISHNA HULLATI
|
|
|
KRISHNARAJ
|
|
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-SEP-2004 TILL FURTHER ORDER
RESTRAINED FROM ACCEPTING LOANS/DEPOSITS FROM PUBLIC FOR SECURITIES MARKET FROM 10-SEP-2004 TILL FURTHER ORDER
10-SEP-2004
|
|
| 31 |
|
|
MAX PORTFOLIOS
|
|
|
|
SANJEEV KAPOOR
|
|
SOLICITED INVESTMENTS FROM PUBLIC IN THE FORM OF LOANS, ASSURING HIGH MONTHLY INTEREST
CLAIMED TO HAVE ITS OWN NSE TERMINAL
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
HAD NO LEGAL ACCESS TO A TRADING TERMINAL OF ANY EXCHANGE
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-JAN-2004 TILL FURTHER ORDER
RESTRAINED FROM ACCEPTING LOANS/DEPOSITS FROM PUBLIC FOR SECURITIES MARKET FROM 02-JAN-2004 TILL FURTHER ORDER
02-JAN-2004
|
|
| 32 |
|
|
NARENDRA T.SHAH
|
|
|
|
BIJAL SECURITIES PVT.LTD.
|
|
VIOLATED SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.1,00,000 BY THE ACCUSED TO SEBI
|
| 33 |
|
|
PRAVEEN KUMAR AGARWAL
|
|
|
|
TRIPOLI CONSULTANCY SERVICES PVT.LTD.
|
|
VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED RULE 4 OF SEBI (STOCK BROKERS & SUB BROKERS) RULES, 1992
VIOLATED REGULATION 7 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED SECTION 24 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 34 |
|
|
PREMA PODDAR
|
|
|
|
PREMA PODDAR,M/S
|
|
VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED RULE 4 OF SEBI (STOCK BROKERS & SUB BROKERS) RULES, 1992
VIOLATED REGULATION 7 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED SECTION 24 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 35 |
|
|
PREMA PODDAR,M/S
|
|
|
|
PREMA PODDAR
|
|
VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED RULE 4 OF SEBI (STOCK BROKERS & SUB BROKERS) RULES, 1992
VIOLATED REGULATION 7 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED SECTION 24 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 36 |
|
|
RAJ KUMAR JAIN
|
|
|
|
DOE JONES INVESTMENTS & CONSULTANTS PVT.LTD.
|
|
VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED RULE 4 OF SEBI (STOCK BROKERS & SUB BROKERS) RULES, 1992
VIOLATED REGULATION 7 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED SECTION 24 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 37 |
|
|
RAJ KUMAR PATNI
|
|
|
|
DOE JONES INVESTMENTS & CONSULTANTS PVT.LTD.
|
|
VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED RULE 4 OF SEBI (STOCK BROKERS & SUB BROKERS) RULES, 1992
VIOLATED REGULATION 7 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED SECTION 24 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 38 |
|
|
RAJ KUMAR PODDAR
|
|
|
|
RAJ KUMAR PODDAR,M/S
|
|
VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED RULE 4 OF SEBI (STOCK BROKERS & SUB BROKERS) RULES, 1992
VIOLATED REGULATION 7 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED SECTION 24 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 39 |
|
|
RAJ KUMAR PODDAR,M/S
|
|
|
|
RAJ KUMAR PODDAR
|
|
VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED RULE 4 OF SEBI (STOCK BROKERS & SUB BROKERS) RULES, 1992
VIOLATED REGULATION 7 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED SECTION 24 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 40 |
|
|
RATAN LAL PODDAR
|
|
|
|
RATAN LAL PODDAR,M/S
|
|
VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED RULE 4 OF SEBI (STOCK BROKERS & SUB BROKERS) RULES, 1992
VIOLATED REGULATION 7 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED SECTION 24 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 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 2 of 3
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