| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 121 |
|
KUSHMEGH INVESTMENT
(Sub-Broker of PAWAN KUMAR AGGARWAL, Member : DSE)
|
|
|
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
|
|
| 122 |
|
|
LOKO SECURITIES PVT.LTD.
|
|
|
|
YATIN B.SHAH
|
|
VIOLATED REGULATION 3 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
PROSECUTION LAUNCHED
15-MAY-2006
|
CHIEF METROPOLITAN MAGISTRATE ESPLANADE COURT MUMBAI VIDE ITS ORDER DATED 12/02/2014 DISPOSED OFF THE CASE
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.1,00,000 BY THE ACCUSED TO SEBI
|
| 123 |
|
|
LOKO SECURITIES PVT.LTD.
(Sub-Broker of KAUSHIK SHAH SHARES & 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
|
|
| 124 |
|
|
M S 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
|
|
| 125 |
|
|
M.P.RAWAT
|
|
|
|
PCS STOCK BROKING PVT.LTD.
|
|
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
|
|
| 126 |
|
|
MADHAV PRASAD JOGLEKAR
|
|
|
|
JOGLEKAR INVESTMENTS PVT.LTD.
CIN:U65993PN1997PTC106626
|
|
|
PRATHMESH SECURITIES PVT.LTD.
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
DIRECTED NOT TO UNDERTAKE ANY PROPRIETARY TRADES IN SECURITIES
17-OCT-2007
|
WITHDRAWN INTERIM ORDER DATED 17/10/2007
|
| 127 |
|
|
MALAR SHARESHOPPE LTD.
|
|
|
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
|
|
| 128 |
|
|
MANISH IMPEX
|
|
|
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
|
|
| 129 |
|
|
MANISH SAIGAL
|
|
|
|
D D 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
|
DISMISSED
|
| 130 |
|
|
MATRIX WEB
|
|
|
|
HULLATI KRISHNA B.
|
|
|
KRISHNA HULLATI
|
|
|
KRISHNARAJ
|
|
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
|
|
| 131 |
|
|
MAZHAR ALI KHAN
|
|
|
|
OPEN LEAF STOCK & SHARES PVT.LTD.
|
|
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
|
|
| 132 |
|
|
MCX BIZ SOLUTIONS
(PAN:BACPS3885C)
|
|
|
|
SYED SADAQ
PAN:BACPS3885C
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-JUL-2017 TO 19-JUL-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-JUL-2017 TO 19-JUL-2027
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO THOSE SCHEMES / ACTIVITIES (INVESTMENT ADVISER AND ALTERNATIVE INVESTMENT FUND, AND/OR RESEARCH ANALYST) OR ANY UNREGISTERED ACTIVITIES FROM 20-JUL-2017 TO 19-JUL-2027
RESTRAINED FROM MOBILIZING FUNDS FROM 20-JUL-2017 TO 19-JUL-2027
DIRECTED TO KEEP MONEY COLLECTED FROM INVESTORS IN ESCROW ACCOUNT OPENED WITH NATIONALISED BANK AND FILE A REPORT WITH SEBI WITHIN 7 DAYS FROM DATE OF ORDER
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
18-NOV-2013
|
SEBI VIDE ITS ORDER DATED 27/02/2015 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 18/11/2013
SEBI VIDE ITS ORDER DATED 20/07/2017 1) PROHIBITED FROM MOBILIZING OR POOLING ANY FRESH FUNDS FROM THEIR CLIENTS, OTHER GENERAL INVESTORS OR MEMBERS OF PUBLIC IN WHATEVER FORM 2) DIRECTED TO REFUND THE MONIES 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 THIRTY (30) 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 3) DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS & PROPERTIES AND DETAILS OF ALL BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, IF HELD IN PHYSICAL FORM 4) NOT TO ACCESS SECURITIES MARKET DIRECTLY OR INDIRECTLY AND ARE FURTHER RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY FOR A PERIOD OF TEN YEARS FROM DATE OF THIS ORDER
SEBI VIDE ITS NOTICE DATED 04/06/2019 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS ORDER DATED 02/02/2021 DIRECTED ALL THE BANKS TO REMIT RS.35,47,600.00 TO THE EXTENT LYING IN THE ACCOUNT OF MCX BIZ SOLUTIONS & MR. SYED SADAQ BY WAY OF EFT/NEFT/RTGS
|
| 133 |
|
|
MEGA MILLENNIUM SECURITIES PVT.LTD.
(PAN:AACCM2293E)
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ACTED AS INTERMEDIARY WITHOUT SEBI REGISTRATION UNDER SECURITIES LENDING SCHEME, 1997
|
IMPOSED PENALTY RS.4,50,000
18-FEB-2010
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 25/05/2015 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS , DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS ORDER DATED 12/12/2022 DIRECTED ALL THE BANKS TO REMIT RS.10,36,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF MEGA MILLENNIUM SECURITIES PVT.LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 134 |
|
|
MEGHA 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
|
|
| 135 |
|
|
MERCHANT 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
|
|
| 136 |
|
|
MILAN J.MITHANI
|
|
|
|
MITHANI INVESTMENTS
|
|
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
|
SAT: PART OF ORDER SET ASIDE
|
| 137 |
|
|
MINESH PATEL
|
|
|
|
MIRAL FINANCIAL CONSULTANCY
|
|
ACTED IN CONCERT WITH ASSOCIATED ENTITIES/BROKERS TO CREATE ARTIFICIAL MARKET/PRICE RISE THROUGH CIRCULAR TRADING AND TO SELL THEIR HOLDINGS AT AN ARTIFICIALLY CREATED PRICE IN THE CASE OF MANNA GLASS TECH INDUSTRIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 23-OCT-2008 TO 22-OCT-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-OCT-2008 TO 22-OCT-2009
23-OCT-2008
|
|
| 138 |
|
|
MIRAL FINANCIAL CONSULTANCY
|
|
|
|
MINESH PATEL
|
|
ACTED IN CONCERT WITH ASSOCIATED ENTITIES/BROKERS TO CREATE ARTIFICIAL MARKET/PRICE RISE THROUGH CIRCULAR TRADING AND TO SELL THEIR HOLDINGS AT AN ARTIFICIALLY CREATED PRICE IN THE CASE OF MANNA GLASS TECH INDUSTRIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 23-OCT-2008 TO 22-OCT-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-OCT-2008 TO 22-OCT-2009
23-OCT-2008
|
|
| 139 |
|
|
MITHANI INVESTMENTS
|
|
|
|
MILAN J.MITHANI
|
|
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
|
SAT: PART OF ORDER SET ASIDE
|
| 140 |
|
|
MONEY MANAGEMENT SERVICES PVT.LTD.
|
|
|
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 regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
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| Page 7 of 14
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