| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 521 |
|
VICTORY FINANCIAL SERVICES LTD.
(PAN:AAACV3362P)
(Member : NSE)
|
|
|
|
AJAY
|
|
|
V.K.AHUJA
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF INFORMATION TECHNOLOGIES (INDIA) LTD.
VIOLATED SEBI CODE OF CONDUCT
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 28-JUN-2007 TO 27-AUG-2007
07-JUN-2007
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.9,00,000, LEGAL EXPENSES RS.1,00,000 VIDE CONSENT ORDER)
30-APR-2008
|
SAT: APPEAL STAND DISPOSED OFF, AS APPLICANT AGREED TO PAY RS. 10,00,000 AS PER CONSENT ORDER
|
| 522 |
|
|
VIJETA BROKING INDIA PVT.LTD.
(PAN:AACCV6700F)
(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
|
|
| 523 |
|
|
VIMAL P.KHANDWALA
|
|
|
|
ACTIVE FINSTOCK PVT.LTD.
(Member : BSE)
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE
DEALT WITH UN-REGISTERED SUB-BROKERS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-JAN-2009 TO 27-JAN-2009
06-JAN-2009
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000, LEGAL EXPENSES RS.60,000 VIDE CONSENT ORDER)
07-JAN-2010
|
SAT: ORDER DATED 06/01/2009 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.2,00,000 TOWARDS SETTLEMENT CHARGES AND RS.60,000 TOWARDS LEGAL EXPSNES , AS PER CONSENT ORDER
|
| 524 |
|
|
VIMAL P.KHANDWALA
|
|
|
|
KHANDWALA FINSTOCK PVT.LTD.
(Member : ASE)
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
DID NOT EXERCISE DUE SKILL AND DILIGENCE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 04-FEB-2009 TO 10-FEB-2009
14-JAN-2009
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000, LEGAL EXPENSES RS.50,000 VIDE CONSENT ORDER)
07-JAN-2010
|
SAT: ORDER DATED 14/01/2009 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.2,50,000 TOWARDS SETTLEMENT AND LEGAL CHARGES, AS PER CONSENT ORDER
|
| 525 |
|
|
VINOD SHARES LTD.
(PAN:AACCV2842G)
(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
|
|
| 526 |
|
|
VISHWAS FINCAP SERVICES PVT.LTD.
(PAN:AAACV4205D)
(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
|
|
| 527 |
|
|
VRIDDHI ENTERPRISES
(Member : LSE)
|
|
|
|
KESHAV KUMAR
|
|
ALLEGED FAILURE TO PAY FEES TO SEBI
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,000 VIDE CONSENT ORDER)
03-FEB-2009
|
|
| 528 |
|
|
VYOMIT SHARES STOCKS & INVESTMENTS PVT.LTD.
(PAN:AAACV3499H)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIPS OF HIMACHAL FUTURISTIC COMMUNICATIONS LTD. AND GLOBAL TELESYSTEMS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER) FROM 09-APR-2009 TO 08-APR-2010
09-APR-2009
|
|
| 529 |
|
|
WALLFORT SHARE & STOCK BROKERS PVT.LTD.
(PAN:AAACW0750G)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN BAILING OUT PUBLIC ISSUE OF MAZDA FABRICS & PROCESSORS LTD. THROUGH FICTITIOUS SUBSCRIPTION
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 12-AUG-2010 TO 11-AUG-2011
12-AUG-2010
|
|
| 530 |
|
|
WELLWORTH SHARE & STOCK BROKING LTD.
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN MANIPULATION IN SCRIP OF KOSIAN INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)
18-MAR-2009
|
|
| 531 |
|
|
WOODSTOCK BROKING PVT.LTD.
(Member : NSE)
|
|
|
INDULGED IN SYNCHRONIZED TRANSACTIONS IN SCRIP OF DSQ SOFTWARE LTD.
VIOLATED SEBI CODE OF CONDUCT
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-JUN-2007 TO 26-JUN-2008
06-JUN-2007
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,00,000 VIDE CONSENT ORDER)
17-OCT-2008
|
SAT: ORDER DATED 06/06/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.3,00,00,000 AS PER CONSENT ORDER DATED 17/10/2008
|
| 532 |
|
|
WOODSTOCK SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
INDULGED IN SYNCHRONIZED TRANSACTIONS IN SCRIP OF DSQ SOFTWARE LTD.
VIOLATED SEBI CODE OF CONDUCT
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-JUN-2007 TO 26-JUN-2008
06-JUN-2007
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,00,000 VIDE CONSENT ORDER)
17-OCT-2008
|
SAT: ORDER DATED 06/06/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.50,00,000 AS PER CONSENT ORDER DATED 17/10/2008
|
| 533 |
|
|
YASHWI SECURITIES PVT.LTD.
(PAN:AAACY2134J)
(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
|
|
| 534 |
|
|
YOKE SECURITIES LTD.
(Member : NSE/BSE/OTC)
|
|
|
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
ALLEGED VIOLATION OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
ALLEGED VIOLATION OF SEBI ACT, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
20-MAY-2009
|
|
| 535 |
|
|
ZERODHA BROKING LTD.
(PAN:AABCZ2616B)
(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
|
|
| 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 27 of 27
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