| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 401 |
|
RELIANCE SHARE & STOCK BROKERS PVT.LTD.
(Member : BSE/NSE/CSE/VSE/BGSE/ASE/OTC)
|
|
|
|
AMITABH JHUNJHUNWALA
|
|
|
D.H.SHAH
|
|
|
R.P.MEHTA
|
|
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
|
| 402 |
|
|
RELIGARE SECURITIES LTD.
(PAN:AAACF1952D)
(Member : BSE/NSE/OTC)
|
|
|
ALLEGED VIOLATION OF CODE OF CONDUCT FOR STOCK BROKERS
ALLEGED VIOLATION OF REGULATION 4(1),4(2) (A),(B),(E),(G) & (N) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF MEGA CORP.LTD. AND KARUNA CABLES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
19-MAR-2009
|
|
| 403 |
|
|
RELIGARE SECURITIES LTD.
(PAN:AAACF1952D)
(Member : BSE/NSE/OTC)
|
|
|
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
|
| 404 |
|
|
RESHAD CHESSON
|
|
|
|
SVS SECURITIES PVT.LTD.
PAN:AABCS5982K
(Member : BSE/NSE/OTC)
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE WHILE DEALING WITH HIS CLIENTS IN SCRIP OF MAZDA FABRICS PROCESSORS LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 22-FEB-2007 TO 28-FEB-2007
02-FEB-2007
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
10-NOV-2008
|
SAT: ORDER DISPOSED OFF AS APPLICANT DEPOSITED RS.10,00,000 TOWARDS SETTLEMENT CHARGES AS PER CONSENT ORDER DATED 10/11/2008 WITH NO ORDER AS TO COSTS
|
| 405 |
|
|
RIKHAV SECURITIES LTD.
(PAN:AADCR3067Q)
(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
|
|
| 406 |
|
|
RKSV SECURITIES INDIA PVT.LTD.
(Member : NSE/BSE)
|
|
|
ALLEGED FAILURE TO MAINTAIN ROBUST CYBER SECURITY AND CYBER RESILIENCE FRAMEWORK TO PROTECT INTEGRITY OF DATA AND PRIVACY VIOLATING CLAUSES 3, 7, 11, 14, 17, 29, 36, 37, 45 AND 46 OF ANNEXURE OF SEBI CIRCULAR SEBI/HO/MIRSD/CIR/PB/2018/147 DATED 03/12/2018
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,13,75,000 VIDE CONSENT ORDER)
03-NOV-2023
|
|
| 407 |
|
|
ROSY BLUE SECURITIES PVT.LTD.
(PAN:AAACR4082Q)
(Member : NSE)
|
|
|
|
BIMAL PAREKH
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE EXECUTING TRANSACTIONS ON BEHALF OF CLIENTS IN SCRIP OF DCM SHRIRAM CONSOLIDATED LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 11-NOV-2008 TO 25-NOV-2008
21-OCT-2008
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
15-JUN-2009
|
SAT: IMPUGNED ORDER DATED 21/10/2008 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.10,00,000 AS PER CONSENT ORDER. ORDER STANDS MODIFIED ACCORDINGLY. NO ORDER AS TO COSTS
|
| 408 |
|
|
RSS INVESTMENTS PVT.LTD.
(PAN:AACCR0364F)
(Member : 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
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
28-NOV-2008
|
AD INTERIM EX-PARTE ORDERS DATED 17/01/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.2,00,000.00 AS PER CONSENT ORDER DATED 28/11/2008
|
| 409 |
|
|
RSS INVESTMENTS PVT.LTD.
(PAN:AACCR0364F)
(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
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
28-NOV-2008
|
AD INTERIM EX-PARTE ORDERS DATED 26/04/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.2,00,000.00 AS PER CONSENT ORDER DATED 28/11/2008
|
| 410 |
|
|
RUCHIRAJ SHARES & STOCK BROKERS PVT.LTD.
(PAN:AABCR4896H)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF IFSL LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-SEP-2005 TILL FURTHER ORDERS
28-SEP-2005
|
CONFIRMED INTERIM ORDER DATED 28/09/2005
|
| 411 |
|
|
RUDRA SHARES & STOCK BROKERS LTD.
(PAN:AADCG1458J)
(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
|
|
| 412 |
|
|
S.L.GUPTA & CO.
(Member : DSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIPS OF SKYWEB INFOTECH LTD. AND SUNSHINE CAPITAL LTD.
ALLEGED VIOLATION OF CLAUSES A(1) , (3) AND (4) OF CODE OF CONDUCT FOR STOCK BROKERS AS CONTAINED IN SCHEDULE II READ WITH REGULATION 7 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
|
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 20-MAY-2009 TO 19-SEP-2009
19-MAY-2009
|
|
| 413 |
|
|
S.P.GOEL
|
|
|
|
BONANZA PORTFOLIO LTD.
CIN:U65991DL1993PLC052280
PAN:AAACB0764B
(Member : NSE)
|
|
ACTED IN CONCERT WITH BROKERS/CLIENTS TO CREATE ARTIFICIAL MARKET/PRICE RISE THROUGH STRUCTURED DEALS/MATCHING BUY AND SELL ORDERS/REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF RADAAN MEDIAWORKS INDIA LTD.
ATTEMPTED TO INDUCE PUBLIC TO DEAL BY CREATING MISLEADING APPEARANCE OF TRADING IN THE SCRIP OF RADAAN MEDIAWORKS INDIA LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE IN CONDUCT OF ITS BUSINESS AS A BROKER
|
IMPOSED PENALTY RS.10,00,000
17-MAY-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.14,75,000, LEGAL EXPENSES RS.75,000 VIDE CONSENT ORDER)
14-DEC-2009
|
SAT: AO ORDER DATED 17/05/2006 DISPOSED OFF. AS APPLICANT AGREED TO DEPOSIT RS.15,50,000 AS PER CONSENT ORDER. NO ORDER AS TO COSTS
|
| 414 |
|
|
S.P.J.STOCK BROKERS PVT.LTD.
(PAN:AAHCS8124R)
(Member : BSE)
|
|
|
ALLEGED VIOLATION OF REGULATION 4(1),4(2) (A),(B),(G) AND (N) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF VIJAY TEXTILES LTD.
ALLEGED VIOLATION OF CLAUSES A (1), (2), (3), (4) AND (5) OF CODE OF CONDUCT OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 WHILE DEALING IN SCRIP OF VIJAY TEXTILES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
27-JUL-2009
|
|
| 415 |
|
|
S.P.J.STOCK BROKERS PVT.LTD.
(PAN:AAHCS8124R)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR TRANSACTIONS/REVERSAL OF TRADE TRASACTIONS IN SCRIP OF KARUNA CABLES LTD.
|
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER) FROM 03-AUG-2009 TO 02-DEC-2009
29-JUL-2009
|
|
| 416 |
|
|
S.P.J.STOCK BROKERS PVT.LTD.
(PAN:AAHCS8124R)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR TRANSACTIONS/REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF SUN INFOWAYS 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 SUN INFOWAYS LTD.
|
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER) FROM 03-DEC-2009 TO 02-FEB-2010
04-AUG-2009
|
|
| 417 |
|
|
SAI BROKING
(PAN:ACKPN1415A)
(Member : ICSE)
|
|
|
|
ANANDHI P.NAIG
|
|
ALLEGED INDULGENCE 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.
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 15 READ WITH CLAUSES A(1),A(2),D(1),D(4) AND D(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF BSEL INFRASTRUCTURE REALTY LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
03-JUN-2011
|
|
| 418 |
|
|
SAM GLOBAL SECURITIES LTD.
(Member : BSE)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE AND DILIGENCE WHILE DEALING IN SECURITIES MARKET
DEALT WITH UN-REGISTERED SUB-BROKERS
ALLEGED FAILURE IN REDRESSAL OF INVESTOR GRIEVANCE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,50,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
31-JUL-2009
|
|
| 419 |
|
|
SAM GLOBAL SECURITIES LTD.
(Member : BSE)
|
|
|
ALLEGED DISCREPANCIES IN KNOW YOUR CLIENT FORMS
DEALT WITH UN-REGISTERED SUB-BROKERS
ALLEGED INSTALLATION OF TERMINALS AT UNAUTHORIZED PLACES
ALLEGED INDULGENCE IN SENDING SMS AND EMAILS OF BEARISH OUTLOOK TO CLIENTS
ALLEGED VIOLATION OF CODE OF CONDUCT FOR STOCK BROKERS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,00,000 VIDE CONSENT ORDER)
22-DEC-2008
|
|
| 420 |
|
|
SAMINDRA RATILAL SHAH
|
|
|
|
SAMINDRA RATILAL SHAH,M/S
(Member : ASE)
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
02-SEP-2009
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 21 of 27
|
