| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
GS INVESTMENT
|
|
|
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
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.4,37,500.00
|
| 82 |
|
|
GS INVESTMENT
(Sub-Broker of NAVKAR SHARES & STOCK BROKERS 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
|
|
| 83 |
|
|
HASMUKH SHAH
|
|
|
|
HEM ENTERPRISES
|
|
COMMITTED IRREGULARITIES IN PUBLIC ISSUE OF BHARTHARI FINANCIAL SERVICES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-DEC-2002 TO 11-DEC-2007
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-DEC-2002 TO 11-DEC-2007
12-DEC-2002
|
|
| 84 |
|
|
HEM ENTERPRISES
|
|
|
|
HASMUKH SHAH
|
|
COMMITTED IRREGULARITIES IN PUBLIC ISSUE OF BHARTHARI FINANCIAL SERVICES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-DEC-2002 TO 11-DEC-2007
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-DEC-2002 TO 11-DEC-2007
12-DEC-2002
|
|
| 85 |
|
|
HPG FINANCIAL SERVICES PVT.LTD.
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
IMPOSED PENALTY RS.20,000
27-JUL-2010
|
|
| 86 |
|
|
HPG FINANCIAL SERVICES PVT.LTD.
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
IMPOSED PENALTY RS.1,00,000
31-JAN-2011
|
|
| 87 |
|
|
HPG FINANCIAL SERVICES PVT.LTD.
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
IMPOSED PENALTY RS.5,00,000
12-MAY-2010
|
SAT: APPEAL FAILED AND DISMISSED. NO ORDER AS TO COSTS
|
| 88 |
|
|
HULLATI KRISHNA B.
|
|
|
|
MATRIX WEB
|
|
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-SEP-2004 TILL FURTHER ORDER
RESTRAINED FROM ACCEPTING LOANS/DEPOSITS FROM PUBLIC FOR SECURITIES MARKET FROM 10-SEP-2004 TILL FURTHER ORDER
10-SEP-2004
|
|
| 89 |
|
|
INDER MAL SOLANKI
|
|
|
|
SHUBH SHANTI INVESTMENT
|
|
VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED SECTION 12 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ACQUITTED
|
| 90 |
|
|
INDIAN COUNTER EQUITY DEALER
|
|
|
|
NIKHIL DALAL
|
|
|
SHOBHNA DALAL
|
|
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
|
|
| 91 |
|
|
INDUS PORTFOLIO
|
|
|
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
|
|
| 92 |
|
|
INTEGRATED ENTERPRISES
|
|
|
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 ON PAYMENT OF RS.1,00,000 BY THE ACCUSED TO SEBI
|
| 93 |
|
|
ISHITA INVESTMENTS
|
|
|
|
ASHISH DHIRAWANI
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
29-APR-2009
|
|
| 94 |
|
|
J D 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
|
|
| 95 |
|
|
J.M.KARIA
|
|
|
|
J.M.KARIA,M/S
|
|
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
|
|
| 96 |
|
|
J.M.KARIA,M/S
|
|
|
|
J.M.KARIA
|
|
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
|
|
| 97 |
|
|
JAGDIP SUTARIA
|
|
|
|
SRIKANTKUMAR RAMESHCHANDRA,M/S
|
|
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
|
|
| 98 |
|
|
JATIN J.SHAH
(Sub-Broker of KIRTIKUMAR FULCHAND VORA, Member : BSE)
|
|
|
|
JATIN J.SHAH,M/S
(Sub-Broker of KIRTIKUMAR FULCHAND VORA, 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
|
|
| 99 |
|
|
JATIN J.SHAH
|
|
|
|
JATIN J.SHAH,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
|
THE OFFENCE WAS COMPOUNDED RS.11,96,000.00
|
| 100 |
|
|
JATIN J.SHAH,M/S
|
|
|
|
JATIN J.SHAH
|
|
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
|
THE OFFENCE WAS COMPOUNDED RS.11,96,000.00
|
| 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 5 of 14
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