| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 101 |
|
JATIN J.SHAH,M/S
(Sub-Broker of KIRTIKUMAR FULCHAND VORA, Member : BSE)
|
|
|
|
JATIN J.SHAH
|
|
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
|
|
| 102 |
|
|
JEEV NARAIN MISHRA
|
|
|
|
DHANVARSHA INVESTMENTS
|
|
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
|
|
| 103 |
|
|
JIGNESH SHETH
|
|
|
|
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
|
|
| 104 |
|
|
JOGLEKAR INVESTMENTS PVT.LTD.
(CIN:U65993PN1997PTC106626)
|
|
|
|
MADHAV PRASAD JOGLEKAR
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-OCT-2007 TILL COMPLETION OF INQUIRY
17-OCT-2007
|
WITHDRAWN INTERIM ORDER DATED 17/10/2007
|
| 105 |
|
|
JYOTISH B.SHAH
|
|
|
|
JYOTISH B.SHAH,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
|
|
| 106 |
|
|
JYOTISH B.SHAH,M/S
|
|
|
|
JYOTISH B.SHAH
|
|
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
|
|
| 107 |
|
|
K.C.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
|
| 108 |
|
|
KIRAN PARASRAMPURIA
|
|
|
|
KIRAN PARASRAMPURIA,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
|
DISMISSED
|
| 109 |
|
|
KIRAN PARASRAMPURIA
(Sub-Broker of HEM SECURITIES LTD., Member : BSE)
|
|
|
|
KIRAN PARASRAMPURIA,M/S
(Sub-Broker of HEM SECURITIES 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
|
|
| 110 |
|
|
KIRAN PARASRAMPURIA,M/S
|
|
|
|
KIRAN PARASRAMPURIA
|
|
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
|
DISMISSED
|
| 111 |
|
|
KIRAN PARASRAMPURIA,M/S
(Sub-Broker of HEM SECURITIES LTD., Member : BSE)
|
|
|
|
KIRAN PARASRAMPURIA
|
|
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
|
|
| 112 |
|
|
KRISHNA HULLATI
|
|
|
|
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
|
|
| 113 |
|
|
KRISHNA INVESTMENT & FINANCE CO.
|
|
|
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
|
| 114 |
|
|
KRISHNAMURTHY VIJAYA BHARATHI
(PAN:ABZPV9915D)
|
|
|
|
SRI GANESH STOCKS & SHARES
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-AUG-2017 TO 21-AUG-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-AUG-2017 TO 21-AUG-2027
DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 22-AUG-2017 TO 21-AUG-2027
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET FROM 22-AUG-2017 TO 21-AUG-2027
PROHIBITED FROM MOBILIZING OR POOLING FUNDS FROM PUBLIC OR FROM OFFERING ANY UNREGISTERED SERVICE, IN WHATEVER FORM FROM 22-AUG-2017 TO 21-AUG-2027
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC OR OFFER ANY PORTFOLIO MANAGEMENT SERVICES FROM 22-AUG-2017 TO 21-AUG-2027
DIRECTED TO REFUND ALL THE MONIES TO INVESTORS ALONG WITH INCOME, PROFITS OR RETURNS PROMISED UNDER THE SCHEMES
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
RESTRAINED FROM ASSOCIATING WITH ANY INTERMEDIARY REGISTERED WITH SEBI IN ANY OFFICIAL CAPACITY FROM 22-AUG-2017 TO 21-AUG-2027
08-APR-2015
|
SEBI VIDE ITS ORDER DATED 22/08/2017 1) REFUND THE MONIES SO COLLECTED FROM INVESTORS IN VARIOUS SCHEMES ALONG WITH INCOME, PROFITS OR RETURNS PROMISED TO INVESTORS UNDER SUCH SCHEMES OR INTEREST AT RATE OF 10% PER ANNUM, WHICHEVER IS HIGHER, FROM DATE OF INVESTMENT TILL DATE OF REFUND, WITHIN A PERIOD OF NINETY (90) DAYS FROM DATE OF THIS ORDER AND SUBMIT A REPAYMENT REPORT TO SEBI CERTIFIED BY TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS WHO ARE IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION 2) DIRECTED TO PROVIDE A FULL INVENTORY OF THEIR ASSETS & PROPERTIES AND DETAILS OF ALL BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES
|
| 115 |
|
|
KRISHNARAJ
|
|
|
|
MATRIX WEB
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
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
|
|
| 116 |
|
|
KSHITIZ 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
|
|
| 117 |
|
|
KUBER FINSTOCK PVT.LTD.
(PAN:AACCK2685A)
|
|
|
|
CHANDRESH P.LOTIA
|
|
|
JIGNESH SHETH
|
|
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
|
|
| 118 |
|
|
KUNAL ASSOCIATES
|
|
|
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
|
DISMISSED
|
| 119 |
|
|
KUNAL ASSOCIATES
(Sub-Broker of ASHVIN M.SHAH, 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
|
|
| 120 |
|
|
KUSHMEGH 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 regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
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| Page 6 of 14
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