| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 441 |
|
SHAILESH M.NISSAR
|
|
|
|
SHAILESH M.NISSAR,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.8,00,000 VIDE CONSENT ORDER)
29-OCT-2008
|
|
| 442 |
|
|
SHAILESH M.NISSAR,M/S
(Member : BSE)
|
|
|
|
SHAILESH M.NISSAR
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF ADVIK LOBORATORIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.8,00,000 VIDE CONSENT ORDER)
29-OCT-2008
|
|
| 443 |
|
|
SHAREKHAN LTD.
(PAN:AAECS5096H)
(Member : BSE/NSE)
|
|
|
ALLEGED INDULGENCE IN FRONT RUNNING ACTIVITIES THROUGH ITS PROPRIETARY TRADING ACCOUNT AND MADE PERSONAL GAINS VIOLATING SECTION 12A(A) TO (C) READ WITH REGULATIONS 3(A) TO (D) AND 4(1) AND 4(2) (Q) OF SEBI (PFUTP) REGULATIONS, 2003
ALLEGED FACILITATE CERTAIN FRONTRUNNERS TO CARRY OUT FRONT-RUNNING ACTIVITY DISREGARDING ALERTS RECEIVED FROM STOCK EXCHANGE AND ALLOWED IMPROPER USE OF INFORMATION OF CONFIDENTIAL NATURE OF CLIENTS BY DEALERS VIOLATING REGULATION 9 READ WITH CLAUSES A(3), A(4) AND B(3) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,93,25,000 VIDE CONSENT ORDER)
23-APR-2019
|
SEBI VIDE ITS ADDENDUM ORDER DATED 04/06/2019 CONFIRMED THAT SHAREKHAN LTD. HAS DEPOSITED RS.50,93,894.00 (ILLEGAL GAINS OF RS.30,83,807 AND INTEREST OF RS.20,10,087) IN ESCROW ACCOUNT WITH PUNJAB NATIONAL BANK ON 01/08/2015
|
| 444 |
|
|
SHAVETA STOCK & SECURITIES PVT.LTD.
(PAN:AAOCS3376A)
(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
|
|
| 445 |
|
|
SHILPA STOCK BROKER PVT.LTD.
(PAN:AAECS9799R)
(Member : NSE)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE AND DILIGENCE WHILE DEALING IN FUTURE AND OPTIONS IN F&O SEGMENT OF NATIONAL STOCK EXCHANGE
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN F&O SEGMENT OF NATIONAL STOCK EXCHANGE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,00,000 VIDE CONSENT ORDER)
23-OCT-2008
|
|
| 446 |
|
|
SHILPA STOCK BROKER PVT.LTD.
(PAN:AAECS9799R)
(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
|
|
| 447 |
|
|
SHILPA STOCK BROKER PVT.LTD.
(PAN:AAECS9799R)
(Depository Participants : CDSL,Member : BSE/NSE)
|
|
|
ALLEGED FAILURE IN FURNISHING OF INFORMATION , DELAY IN DEMATERIALISATION OR ISSUE OF CERTIFICATE OF SECURITIES VIOLATING REGULATION 19A, 19D AND 19G OF SEBI DEPOSITORIES ACT, 1996
ALLEGED FAILURE IN OPENING OF SEPARATE ACCOUNTS IN NAME OF EACH BENEFICIAL OWNER AND DID NOT FURNISH DETAILS OF SURRENDER OF SECURITIES TO ISSUER ALONGWITH CERTIFICATE OF SECURITY VIOLATING REGULATION 42(1) AND 54(4) OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
10-FEB-2010
|
|
| 448 |
|
|
SHREE BAHUBALI INTERNATIONAL LTD.
(PAN:AAECS4019E)
(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
|
|
| 449 |
|
|
SHRI PARASRAM HOLDINGS PVT.LTD.
(PAN:AAACS4487J)
(Depository Participants : NSDL,Member : NSE/BSE)
|
|
|
ALLEGED FAILURE IN PROVIDING INFORMATION/COOPERATION WITH PROCEEDINGS
ALLEGED SUBMISSION OF FALSE INFORMATION TO INSPECTION OFFICIALS
ALLEGED NON-SEGREGATION OF CLIENTS ACCOUNT
ALLEGED NON-DISCLOSURE OF PROPRIETARY TRADING TO CLIENTS
DEALT WITH UN-REGISTERED SUB-BROKERS
ALLEGED TRANSFER OF TRADES FROM ONE PRO-ACCOUNT TO ANOTHER PRO-ACCOUNT
ALLEGED FAILURE IN MAINTAINING DUE DILIGENCE IN MAINTENANCE OF DETAILS OF BRANCHES AND TRADING TERMINALS
ALLEGED FAILURE IN MAINTAINING DUE DILIGENCE WHILE OPENING BENEFICIAL OWNER ACCOUNTS
ALLEGED INDULGENCE IN WITHDRAWAL OF LARGE CASH AND DEPOSIT IN GROUP COMPANY
ALLEGED FAILURE IN FRAMING ANY POLICY FRAMEWORK AND DID NOT APPOINT ANY PRINCIPAL OFFICER UNDER ANTI MONEY LAUNDERING STANDARDS
ALLEGED DISCREPANCIES IN DISTRIBUTION OF NEAT/CTSL TERMINALS AND ILLEGAL DISTRIBUTION OF TRADING TERMINALS AT BRANCHES
ALLEGED OPERATING TERMINALS FROM UNDISCLOSED PREMISES AND BY UNAUTHORISED USERS AT BRANCHES
ALLEGED PERMISSION TO DEALERS WITHOUT NCFM CERTIFICATION TO DEAL IN DERIVATIVE TRADING
ALLEGED FAILURE IN REDRESSAL OF INVESTOR COMPLAINTS IN STIPULATED PERIOD
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.53,00,000 VIDE CONSENT ORDER)
06-SEP-2010
|
|
| 450 |
|
|
SHRI PARASRAM HOLDINGS PVT.LTD.
(PAN:AAACS4487J)
(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
|
|
| 451 |
|
|
SHRIKANT G.MANTRI
|
|
|
|
SHRIKANT G.MANTRI,M/S
(Member : BSE)
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF NEDUNGADI BANK LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE DURING TRADE IN SCRIP OF NEDUNGADI BANK LTD.
VIOLATED CODE OF CONDUCT AS PRESCRIBED UNDER STOCK BROKER REGULATIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-MAY-2007 TO 06-AUG-2007
16-APR-2007
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,50,000, LEGAL EXPENSES RS.25,000 VIDE CONSENT ORDER)
26-MAY-2008
|
SAT: AGREED TO PAY RS.7,75,000 AS PER CONSENT ORDER DATED 26/05/2008
|
| 452 |
|
|
SHRIKANT G.MANTRI
|
|
|
|
SHRIKANT G.MANTRI,M/S
(Member : BSE)
|
|
ALLEGED IRREGULAR TRANSACTIONS IN SCRIP OF BLUE INFORMATION TECHNOLOGY LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
20-NOV-2007
|
|
| 453 |
|
|
SHRIKANT G.MANTRI
|
|
|
|
SHRIKANT G.MANTRI,M/S
(Member : BSE)
|
|
ALLEGED NON-MAINTENANCE OF CONSENT OF CLIENTS IN RESPECT OF CONTRACTS
ALLEGED FAILURE IN ISSUANCE OF CONTRACT NOTES
ALLEGED DELAY IN ISSUANCE OF CONTRACT NOTES
ALLEGED FAILURE TO REPORT OFF-THE-FLOOR TRANSACTIONS
ALLEGED NON-SEGREGATION OF CLIENTS ACCOUNT
ALLEGED FAILURE IN MAINTENANCE OF CERTAIN BOOKS OF ACCOUNTS AND RECORDS SUCH AS ORDER BOOK, MARGIN DEPOSIT BOOK, REGISTER OF ACCOUNT OF SUB BROKER
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
05-FEB-2008
|
|
| 454 |
|
|
SHRIKANT G.MANTRI
|
|
|
|
SHRIKANT G.MANTRI,M/S
(Member : BSE)
|
|
ALLEGED INDULGENCE IN PRICE MANIPULATION AND IRREGULAR TRANSACTIONS IN SCRIP OF OJAS TECHNOCHEM PRODUCTS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
03-MAR-2008
|
|
| 455 |
|
|
SHRIKANT G.MANTRI
|
|
|
|
SHRIKANT G.MANTRI,M/S
(Member : BSE)
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SAWACA COMMUNICATIONS LTD.
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE IN CONDUCT OF BUSINESS IN MATTER OF SAWACA COMMUNICATIONS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,50,000 VIDE CONSENT ORDER)
10-AUG-2010
|
|
| 456 |
|
|
SHRIKANT G.MANTRI,M/S
(Member : BSE)
|
|
|
|
SHRIKANT G.MANTRI
|
|
ALLEGED IRREGULAR TRANSACTIONS IN SCRIP OF BLUE INFORMATION TECHNOLOGY LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
20-NOV-2007
|
|
| 457 |
|
|
SHRIKANT G.MANTRI,M/S
(Member : BSE)
|
|
|
|
SHRIKANT G.MANTRI
|
|
ALLEGED INDULGENCE IN PRICE MANIPULATION AND IRREGULAR TRANSACTIONS IN SCRIP OF OJAS TECHNOCHEM PRODUCTS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
03-MAR-2008
|
|
| 458 |
|
|
SHRIKANT G.MANTRI,M/S
(Member : BSE)
|
|
|
|
SHRIKANT G.MANTRI
|
|
ALLEGED NON-MAINTENANCE OF CONSENT OF CLIENTS IN RESPECT OF CONTRACTS
ALLEGED FAILURE IN ISSUANCE OF CONTRACT NOTES
ALLEGED DELAY IN ISSUANCE OF CONTRACT NOTES
ALLEGED FAILURE TO REPORT OFF-THE-FLOOR TRANSACTIONS
ALLEGED NON-SEGREGATION OF CLIENTS ACCOUNT
ALLEGED FAILURE IN MAINTENANCE OF CERTAIN BOOKS OF ACCOUNTS AND RECORDS SUCH AS ORDER BOOK, MARGIN DEPOSIT BOOK, REGISTER OF ACCOUNT OF SUB BROKER
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
05-FEB-2008
|
|
| 459 |
|
|
SHRIKANT G.MANTRI,M/S
(Member : BSE)
|
|
|
|
SHRIKANT G.MANTRI
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SAWACA COMMUNICATIONS LTD.
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE IN CONDUCT OF BUSINESS IN MATTER OF SAWACA COMMUNICATIONS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,50,000 VIDE CONSENT ORDER)
10-AUG-2010
|
|
| 460 |
|
|
SHRIKANT G.MANTRI,M/S
(Member : BSE)
|
|
|
|
SHRIKANT G.MANTRI
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF NEDUNGADI BANK LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE DURING TRADE IN SCRIP OF NEDUNGADI BANK LTD.
VIOLATED CODE OF CONDUCT AS PRESCRIBED UNDER STOCK BROKER REGULATIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-MAY-2007 TO 06-AUG-2007
16-APR-2007
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,50,000, LEGAL EXPENSES RS.25,000 VIDE CONSENT ORDER)
26-MAY-2008
|
SAT: AGREED TO PAY RS.7,75,000 AS PER CONSENT ORDER DATED 26/05/2008
|
| 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 23 of 27
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