| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 381 |
|
PUNE E-STOCK BROKING PVT.LTD.
(PAN:AAECP2962K)
(Member : BSE/NSE/MCX)
|
|
|
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(3) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.12,51,200 VIDE CONSENT ORDER)
11-JUL-2014
|
|
| 382 |
|
|
QUANTUM SECURITIES PVT.LTD.
(PAN:AAACQ0160C)
(Member : BSE/NSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET THROUGH CROSS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF GHCL 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 GHCL LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000, DISGORGEMENT AMOUNT RS.33,41,000 VIDE CONSENT ORDER)
14-JAN-2013
|
|
| 383 |
|
|
R K GLOBAL SHARES & SECURITIES LTD.
(PAN:AAACR5786P)
(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
|
|
| 384 |
|
|
R.J.STOCK BROKING PVT.LTD.
(PAN:AAACP8295M)
(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
|
|
| 385 |
|
|
R.K.STOCK HOLDING PVT.LTD.
(PAN:AACCR0011K)
(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
|
|
| 386 |
|
|
R.P.MEHTA
|
|
|
|
RELIANCE SHARE & STOCK BROKERS PVT.LTD.
(Member : BSE/NSE/CSE/VSE/BGSE/ASE/OTC)
|
|
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DEFAULTED IN MAINTENANCE OF SAUDA BOOK
DID NOT ISSUE CONTRACT NOTES
DID NOT MENTION CLIENT NUMBERS ON CONTRACT NOTES
CARRIED OUT TRANSACTION IN ITS OWN NAME INSTEAD OF CLIENTS NAME
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
PAN NO. OF CLIENTS NOT APPEARING ON CONTRACT NOTES
SEBI REGISTRATION NO., TRADE NO. AND ORDER NO. NOT INDICATED ON CONTRACT NOTES
PENDING EXECUTION OF THE ORDER AS MANDATORY ACCORDING TO THE REGULATIONS 6(B) OF PFUTP
VIOLATED REGULATION 7 READ WITH CODE OF CONDUCT AS SPECIFIED IN SCHEDULE 11 OF STOCK BROKER REGULATION
EXCEEDED INTRA DAY TRADING LIMITS
DID NOT MAINTAIN RECORD OF CLIENT'S ORDER
DID NOT ACCOUNT FOR MISSING CONTRACT NOTES
DID NOT KEEP PROPER PROPORTION OF CASH & FIXED DEPOSITS FOR CAPITAL ADEQUACY
VIOLATED CODE OF CONDUCT AS PRESCRIBED UNDER STOCK BROKER REGULATIONS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENTS' SECURITIES AND OWN SECURITIES
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-JAN-2007 TO 30-APR-2007
11-DEC-2006
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.48,00,000, LEGAL EXPENSES RS.2,00,000 VIDE CONSENT ORDER)
07-DEC-2007
|
SAT: IMPUGNED ORDER SHALL REMAIN STAYED DURING PENDENCY OF THE APPEAL
SAT: ORDER SET ASIDE AS APPLICANT PAID RS.48,00,000 TOWARDS SETTLEMENT CHARGES AND RS.2,00,000 TOWARDS LEGAL EXPENSES AS PER CONSENT ORDER DATED 07/12/2007
|
| 387 |
|
|
RAGHUNANDAN CAPITAL PVT.LTD.
(PAN:AADCR7430F)
(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
|
|
| 388 |
|
|
RAIMA EQUITIES PVT.LTD.
(PAN:AABCE2177Q)
(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
|
|
| 389 |
|
|
RAJENDRA MODI SHARE BROKERS PVT.LTD.
(PAN:AADCR4907R)
(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
|
|
| 390 |
|
|
RAJESH JHAVERI STOCK BROKERS PVT.LTD.
(CIN:U67120GJ1995PTC024321)
(Member : ASE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF MONALISA INFOTECH LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER) FROM 15-JUN-2009 TO 14-JUL-2009
15-JUN-2009
|
|
| 391 |
|
|
RAJESH JHAVERI STOCK BROKERS PVT.LTD.
(CIN:U67120GJ1995PTC024321)
(Member : ASE,Sub-Broker of ASE CAPITAL MARKETS LTD., Member : BSE/NSE)
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DIRECTED NOT TO BUY, SELL OR DEAL IN THE SECURITIES MARKET INCLUDING IPOS DIRECTLY OR INDIRECTLY ON PROPRIETORY BASIS
27-APR-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,05,395, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.5,26,975 VIDE CONSENT ORDER)
29-MAY-2009
|
AD INTERIM EX-PARTE ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.5,26,975 TOWARDS DISGORGEMENT OF UNLAWFUL GAIN AND RS.1,05,395 TOWARDS SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 29/05/2009
|
| 392 |
|
|
RAJESH NANUBHAI JHAVERI
(PAN:ADAPJ5993J)
|
|
|
|
GAUTAMBHAI NANUBHAI JHAVERI,M/S
PAN:ADAPJ5993J
(Member : ASE)
|
|
ALLEGED ENGAGEMENT IN MANIPULATIVE TRADES TO ASSIST VARIOUS PREFERENTIAL ALLOTTEES TO OFF-LOAD THEIR HOLDINGS AT JACKED UP PRICE IN SCRIP OF SWACA COMMUNICATIONS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
SUSPENDED REGISTRATION AS STOCK BROKER FROM 04-SEP-2008 TO 03-SEP-2009
04-SEP-2008
|
|
| 393 |
|
|
RAM MOHAN SARDA
|
|
|
|
RAM MOHAN SARDA,M/S
(Member : CSE)
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF S.T.SERVICES LTD.
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(4) AND B(4)(A) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF S.T.SERVICES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
03-DEC-2009
|
|
| 394 |
|
|
RAM MOHAN SARDA,M/S
(Member : CSE)
|
|
|
|
RAM MOHAN SARDA
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF S.T.SERVICES LTD.
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(4) AND B(4)(A) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF S.T.SERVICES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
03-DEC-2009
|
|
| 395 |
|
|
RAMABEN SAMANI FINANCE PVT.LTD.
(Sub-Broker of ISE SECURITIES & SERVICES LTD., Member : NSE,Member : ICSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIPS OF OASIS MEDIA MATRIX LTD.,GRANULES INDIA LTD.,WELLWORTH OVERSEAS LTD.,GG AUTOMOTIVE LTD.,T.SPIRITUAL WORLD LTD. AND RASHEL AGROTECH LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.18,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER) FROM 01-JAN-2010 TO 31-MAY-2010
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS SUB-BROKER) FROM 01-JAN-2010 TO 31-MAY-2010
24-DEC-2009
|
|
| 396 |
|
|
RAMABEN SAMANI FINANCE PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIPS OF OASIS MEDIA MATRIX LTD.,GRANULES INDIA LTD.,WELLWORTH OVERSEAS LTD.,GG AUTOMOTIVE LTD.,T.SPIRITUAL WORLD LTD. AND RASHEL AGROTECH LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.18,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER) FROM 01-JAN-2010 TO 31-MAY-2010
24-DEC-2009
|
|
| 397 |
|
|
RAMANLAL D.SHAH
|
|
|
|
RAMANLAL D.SHAH,M/S
(Member : BSE)
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF MALVICA ENGINEERING LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE IN CONDUCT OF ITS BUSINESS AS A BROKER
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 17-JAN-2007 TO 16-JUL-2007
27-DEC-2006
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
07-DEC-2007
|
SAT: ORDER SET ASIDE AS APPLICANT PAID RS.5,00,000 AS PER CONSENT ORDER
|
| 398 |
|
|
RAMANLAL D.SHAH,M/S
(Member : BSE)
|
|
|
|
RAMANLAL D.SHAH
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF MALVICA ENGINEERING LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE IN CONDUCT OF ITS BUSINESS AS A BROKER
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 17-JAN-2007 TO 16-JUL-2007
27-DEC-2006
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
07-DEC-2007
|
SAT: ORDER SET ASIDE AS APPLICANT PAID RS.5,00,000 AS PER CONSENT ORDER
|
| 399 |
|
|
RATNAKAR FINSTOCK PVT.LTD.
(Member : ASE)
|
|
|
ALLEGED INVOLVEMENT IN STRUCTURED DEALS IN FORM OF CROSS DEALS AND SELF TRADE IN SCRIP OF PRIYANS SAREE INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
20-NOV-2007
|
|
| 400 |
|
|
RELIANCE SECURITIES LTD.
(PAN:AADCR0260P)
(Member : BSE/NSE/MCX)
|
|
|
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
ALLEGED VIOLATION OF CODE OF CONDUCT PRESCRIBED FOR STOCK BROKERS IN SCHEDULE II UNDER REGULATION 7 OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO REGISTER NEW CLIENTS FOR A PERIOD OF 45 DAYS) FROM 16-JUN-2011
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO SPEND A SUM OF RS.1 CRORE ON INVESTOR EDUCATION AND AWARENESS PROGRAMME AND ON DEVELOPMENT OF METERIALS FOCUSING ON MAKING INVESTORS MORE AWARE OF THEIR RIGHTS IN CONNECTION WITH INTERNET BASED TRADING IN SECURITIES MARKET WITHIN 6 MONTHS FROM DATE OF RECEIPT OF THIS CONSENT ORDER) FROM 16-JUN-2011
09-JUN-2011
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 20 of 27
|
