| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
BHARAT H.BHAVSAR
|
|
|
|
BHARAT H.BHAVSAR,M/S
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
IMPOSED PENALTY RS.15,000
05-JAN-2009
|
|
| 42 |
|
|
BHARAT H.BHAVSAR,M/S
|
|
|
|
BHARAT H.BHAVSAR
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
IMPOSED PENALTY RS.15,000
05-JAN-2009
|
|
| 43 |
|
|
BHUPALI SECURITIES
|
|
|
|
SAGAR KAJBAJE
|
|
|
SMITA KAJBAJE
|
|
VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED REGULATION 5 SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 44 |
|
|
BHUPALI SECURITIES
|
|
|
|
SAGAR KAJBAJE
|
|
|
SMITA KAJBAJE
|
|
ACTED AS SUB-BROKER TO DANGI FINANCE & MANAGEMENT CONSULTANCY LTD. AND LIBORD SECURITIES LTD. WITHOUT SEBI REGISTRATION
MADE FALSE REPRESENTATION IN NEWSPAPERS TO MISLEAD/INDUCE INVESTORS
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 26-AUG-2003 TO 25-AUG-2006
26-AUG-2003
|
|
| 45 |
|
|
C.SEENU
|
|
|
|
UMA SHARES
|
|
VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED SECTION 12 OF SEBI ACT, 1992
VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 46 |
|
|
CAPITAL STOCKS & SHARES
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,10,000 VIDE CONSENT ORDER)
10-NOV-2009
|
|
| 47 |
|
|
CHANDRESH P.LOTIA
|
|
|
|
KUBER FINSTOCK PVT.LTD.
PAN:AACCK2685A
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ALLEGED INDULGENCE IN CREATION OF CROSS DEALS IN SCRIP OF AXEL POLYMERS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,25,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-APR-2009
|
|
| 48 |
|
|
CHIRAG INVESTMENT
|
|
|
VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED SECTION 12 OF SEBI ACT, 1992
VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED RS.10,40,000.00
|
| 49 |
|
|
CHITHRA JAGANNATHAN
(Sub-Broker of RAJNARAYAN CAPITAL MARKET SERVICES LTD., Member : CMBSE)
|
|
|
|
CHITHRA JAGANNATHAN,M/S
(Sub-Broker of RAJNARAYAN CAPITAL MARKET SERVICES LTD., Member : CMBSE)
|
|
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-JUL-2003
07-JUL-2003
|
|
| 50 |
|
|
CHITHRA JAGANNATHAN,M/S
(Sub-Broker of RAJNARAYAN CAPITAL MARKET SERVICES LTD., Member : CMBSE)
|
|
|
|
CHITHRA JAGANNATHAN
|
|
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-JUL-2003
07-JUL-2003
|
|
| 51 |
|
|
CHITRA R.JAGANNATHAN
|
|
|
|
CHITRA R.JAGANNATHAN,M/S
|
|
VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 52 |
|
|
CHITRA R.JAGANNATHAN,M/S
|
|
|
|
CHITRA R.JAGANNATHAN
|
|
VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 53 |
|
|
CHITRAL VINIMAY PVT.LTD.
(Sub-Broker of GATEWAY FINANCIAL SERVICES LTD., Member : NSE)
|
|
|
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-JUL-2003
07-JUL-2003
|
|
| 54 |
|
|
CITI SECURITIES
|
|
|
VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED SECTION 12 OF SEBI ACT, 1992
VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 55 |
|
|
D D SECURITIES
|
|
|
|
MANISH SAIGAL
|
|
VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED SECTION 12 OF SEBI ACT, 1992
VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
PROSECUTION LAUNCHED
15-MAY-2006
|
DISMISSED
|
| 56 |
|
|
DEVENDER MITTAL
(Sub-Broker of SAM GLOBAL SECURITIES LTD., Member : BSE)
|
|
|
|
GANPATI FINSEC PVT.LTD.
(Sub-Broker of SAM GLOBAL SECURITIES LTD., Member : BSE)
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-OCT-2005 TILL FURTHER ORDERS
05-OCT-2005
|
SEBI VIDE ORDER DATED 28/09/2007 REDUCED THE DEBARED PERIOD FOR 3 YEARS I.E. FROM 05/10/2005 TO 04/10/2008
SEBI VIDE ORDER DATED 28/09/2007 DIRECTED CDSL TO VERIFY OWNERSHIP OF SHARES AND ENSURE TRANSFER OF SHARES IN THE RESPECTIVE DEMAT ACCOUNT
SAT: ORDER MODIFIED BY REDUCING PERIOD OF DEBARMENT FROM 3 YEARS TO 6 MONTHS, AS APPELLANT HAVE ALREADY UNDERGONE PUNISHMENT MORE THAN THIS, APPEAL DISPOSED OF
|
| 57 |
|
|
DHANLAXMI CAPITAL SERVICES
(Sub-Broker of S.S.KANTILAL ISHWARLAL SECURITIES PVT.LTD., Member : BSE)
|
|
|
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-JUL-2003
07-JUL-2003
|
|
| 58 |
|
|
DHANVARSHA INVESTMENTS
|
|
|
|
JEEV NARAIN MISHRA
|
|
AIDED AND ABETED ITS CLIENTS IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SHAMKEN MULTIFAB LTD.
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-DEC-2014 TO 08-DEC-2015
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-DEC-2014 TO 08-DEC-2015
09-DEC-2014
|
|
| 59 |
|
|
DHEERAJ KUMAR MADAAN
(Sub-Broker of SAM GLOBAL SECURITIES LTD.)
|
|
|
|
DIGITAL STOCKS
(Sub-Broker of SAM GLOBAL SECURITIES LTD.)
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
DEFRAUDED SMALL INVESTORS OF THEIR MONEY AND SHARES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-OCT-2005 TILL FURTHER ORDERS
05-OCT-2005
|
SEBI VIDE ORDER DATED 28/09/2007 REDUCED THE DEBARED PERIOD FOR 3 YEARS I.E. FROM 05/10/2005 TO 04/10/2008
SEBI VIDE ORDER DATED 28/09/2007 DIRECTED NSE TO SETTLE CLAIMS OF INVESTORS BY UTILISING FUNDS AND/OR SECURITIES OF DEFAULTERS
|
| 60 |
|
|
DIGITAL STOCKS
(Sub-Broker of SAM GLOBAL SECURITIES LTD.)
|
|
|
|
DHEERAJ KUMAR MADAAN
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
DEFRAUDED SMALL INVESTORS OF THEIR MONEY AND SHARES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-OCT-2005 TILL FURTHER ORDERS
05-OCT-2005
|
SEBI VIDE ORDER DATED 28/09/2007 REDUCED THE DEBARED PERIOD FOR 3 YEARS I.E. FROM 05/10/2005 TO 04/10/2008
SEBI VIDE ORDER DATED 28/09/2007 DIRECTED NSE TO SETTLE CLAIMS OF INVESTORS BY UTILISING FUNDS AND/OR SECURITIES OF DEFAULTERS
|
| 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 3 of 14
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