| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 481 |
|
STEEL CITY SECURITIES LTD.
(PAN:AAECS0970L)
(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
|
|
| 482 |
|
|
SUNFLOWER BROKING PVT.LTD.
(PAN:AAACN5165E)
(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
|
|
| 483 |
|
|
SUNGLOW CAPITAL SERVICES LTD.
(PAN:AABCS8877R)
(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
|
|
| 484 |
|
|
SUNIDHI SECURITIES & FINANCE LTD.
(PAN:AADCS1657D)
(Member : BSE/NSE/OTC)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE AND DILIGENCE AS A STOCK BROKER
ALLEGED INDULGENCE IN PRICE MANIPULATION IN SCRIP OF SOFTBPO GLOBAL SERVICES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
17-MAR-2009
|
|
| 485 |
|
|
SUNIL KUMAR KAYAN & CO.
(PAN:AGDPK5151F)
(Member : CSE)
|
|
|
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES, DID NOT ADHERE TO STATUTORY REQUIREMENTS, DEFAULTED IN EXECUTION OF ORDERS AND IN ISSUANCE OF CONTRACT NOTES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5),B(1),B(2) AND B(4) (A) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)
28-MAY-2010
|
|
| 486 |
|
|
SUPER FINVEST SERVICES PVT.LTD.
(Member : LSE)
|
|
|
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF CLASSIC GLOBAL IMPEX LTD.(NOW KNOWN AS DEVINE IMPEX LTD.)
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
03-FEB-2011
|
|
| 487 |
|
|
SURAJ SARAGI
|
|
|
|
KEYNOTE CAPITALS LTD.
CIN:U67120MH1995PLC088172
PAN:AAACK2618R
(Member : BSE)
|
|
INDULGED IN SYNCHRONIZED TRANSACTIONS WITH KP ENTITIES IN SCRIP OF HIMACHAL FUTURISTICS COMMUNICATIONS LTD. AND ADANI EXPORTS LTD. (NOW KNOWN AS ADANI ENTERPRISES LTD.)
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-JUL-2008 TO 30-JUL-2008
09-JUL-2008
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000, LEGAL EXPENSES RS.92,500 VIDE CONSENT ORDER)
15-OCT-2009
|
SAT: APPLICANT AGREED TO PAY RS.3,92,500 TOWARDS SETTLEMENT CHARGES INCLUDING LEGAL CHARGES, AS PER CONSENT ORDER
|
| 488 |
|
|
SUSHIL FINANCIAL SERVICES PVT.LTD.
(PAN:AAACS8454K)
(Depository Participants : CDSL,Member : NSE/BSE)
|
|
|
ALLEGED DEALING WITH A CLIENT WHO WAS RESTRAINED FROM DEALING IN SECURITIES MARKET BY SEBI VIOLATING REGULATIONS 27(XV) AND 27(XVII) OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 READ WITH CLAUSES A(1) A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II UNDER REGULATION 7 OF STOCK BROKER REGULATIONS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
24-NOV-2010
|
|
| 489 |
|
|
SVS SECURITIES PVT.LTD.
(PAN:AABCS5982K)
(Member : BSE/NSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE IN RESPECT OF TRANSACTIONS EXECUTED BY ITS SUB BROKER VIOLATING REGULATION 7 READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF HARITA SEATING SYSTEMS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-APR-2014 TO 16-APR-2015
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-APR-2014 TO 16-APR-2015
27-MAR-2014
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.27,19,165, LEGAL EXPENSES RS.3,54,000 VIDE CONSENT ORDER)
02-JUL-2015
|
SEBI ORDER DATED 27/03/2014 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.27,19,164.65.00 TOWARDS SETTLEMENT CHARGES AND RS.3,54,000.00 TOWARDS LEGAL EXPENSES AS PER CONSENT ORDER DATED 02/07/2015
|
| 490 |
|
|
SVS SECURITIES PVT.LTD.
(PAN:AABCS5982K)
(Member : BSE/NSE/OTC)
|
|
|
|
RESHAD CHESSON
|
|
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: SINCE APPLICANT FILED APPLICATION WITH SEBI TO PASS CONSENT ORDER TO DISPOSE OFF ORDER DATED 02/02/2007, ORDER ACCORDINGLY DISPOSED OFF WITH NO ORDER AS TO COSTS
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
|
| 491 |
|
|
SWASTIKA INVESTMART LTD.
(PAN:AABCS6585J)
(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.6,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 492 |
|
|
SYSTEMATIX SHARES & STOCKS (INDIA) LTD.
(PAN:AAECS8827N)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR/SYNCHRONIZED TRANSACTIONS IN SCRIP OF JINDAL POLYESTER LTD.
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, NOT EXERCISED 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 JINDAL POLYESTER LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
11-SEP-2009
|
|
| 493 |
|
|
SYSTEMATIX SHARES & STOCKS (INDIA) LTD.
(PAN:AAECS8827N)
(Member : BSE/NSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, CIRCULAR AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF KRBL LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
20-MAR-2009
|
|
| 494 |
|
|
SYSTEMATIX SHARES & STOCKS (INDIA) LTD.
(PAN:AAECS8827N)
(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
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.4,00,000 VIDE CONSENT ORDER)
07-OCT-2008
|
AD INTERIM EX-PARTE CEASE AND DESIST ORDER DATED 18/06/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.4,00,000 AS PER CONSENT ORDER DATED 07/10/2008
|
| 495 |
|
|
SYSTEMATIX SHARES & STOCKS (INDIA) LTD.
(PAN:AAECS8827N)
(Member : BSE/NSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF TODAY’S WRITING PRODUCTS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
03-JUN-2009
|
|
| 496 |
|
|
SYSTEMATIX SHARES & STOCKS (INDIA) LTD.
(PAN:AAECS8827N)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN SYNCHRONIZED TRANSACTIONS IN SCRIP OF GRANULES INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
29-DEC-2008
|
|
| 497 |
|
|
SYSTEMATIX SHARES & STOCKS (INDIA) LTD.
(PAN:AAECS8827N)
(Member : BSE/NSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET THROUGH STRUCTURED, SELF AND CIRCULAR TRADES IN SCRIP OF TASC PHARMACEUTICALS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,50,000 VIDE CONSENT ORDER)
11-JAN-2011
|
|
| 498 |
|
|
SYSTEMATIX SHARES & STOCKS (INDIA) LTD.
(PAN:AAECS8827N)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR/REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF GRAVITY INDIA LTD.
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, 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 GRAVITY INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)
09-OCT-2009
|
|
| 499 |
|
|
TATA SECURITIES LTD.
(Member : BSE/NSE)
|
|
|
ALLEGED PERMISSION TO CLIENTS TO TAKE HUGE POSITIONS WITHIN ONE MONTH OF REGISTRATION VIOLATING REGULATION 7 READ WITH CLAUSES A(1),A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF RTS POWER CORP.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
06-JUL-2011
|
|
| 500 |
|
|
TAUGA PVT.LTD.
(PAN:AADCO0353Q)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN ILLEGAL ACTIVITIES BY PROVIDING UNREGULATED ONLINE TRADING PLATFORM FOR TRADING IN FOREX DERIVATIVES
ALLEGED FAILURE IN INFORMING EITHER SEBI OR BSE ABOUT SEARCHES CONDUCTED BY ENFORCEMENT DIRECTORATE AT SEVERAL OF ITS PREMISES
|
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS OR ACCESS SECURITIES MARKET DIRECTLY/INDIRECTLY IN PROPRIETARY ACCOUNT) FROM 18-JUL-2025 TO 17-JUL-2026
18-JUL-2025
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 25 of 27
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