| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 161 |
|
P.S.AGGARWAL,M/S
|
|
|
|
P.S.AGGARWAL
|
|
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
|
|
| 162 |
|
|
PADMAVATHI CONSULTANCY
(Sub-Broker of SVS SECURITIES PVT.LTD.)
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
09-JAN-2009
|
|
| 163 |
|
|
PARIKH 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
|
| 164 |
|
|
PATNI SHARES & DERIVATIVES CO.
(Along with : APPOLLO SINDHOORI CAPITAL INVESTMENT LTD.)
|
|
|
|
ASHISH PATNI
|
|
|
UJWAL PATNI
|
|
ALLEGED NOT RESPONDING TO LETTERS/SUMMONS ISSUED BY SEBI
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-JUL-2007 TO 05-JUL-2009
06-JUL-2007
|
|
| 165 |
|
|
PCS STOCK BROKING PVT.LTD.
(Sub-Broker of R.K.GLOBAL SHARES & SECURITIES 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
|
|
| 166 |
|
|
PCS STOCK BROKING PVT.LTD.
|
|
|
|
M.P.RAWAT
|
|
|
P.C.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
|
|
| 167 |
|
|
PMJ PROPERTIES PVT.LTD.
(PAN:AABCP6791K)
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
IMPOSED PENALTY RS.2,00,000
03-OCT-2012
|
|
| 168 |
|
|
PRABHAT KUMAR JHUNJHUNWALA
|
|
|
|
PRABHAT KUMAR JHUNJHUNWALA,M/S
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
15-DEC-2010
|
|
| 169 |
|
|
PRABHAT KUMAR JHUNJHUNWALA,M/S
|
|
|
|
PRABHAT KUMAR JHUNJHUNWALA
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
15-DEC-2010
|
|
| 170 |
|
|
PRASHANT JAIDEV WASANKAR
(DIN:02222183
PAN:AAIPW1864A)
|
|
|
|
WASANKAR INVESTMENTS
PAN:AAIPW1864A
|
|
|
WASANKAR WEALTH MANAGEMENT LTD.
PAN:AAACW8073C
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
INDULGED IN FUND BASED ACTIVITIES INVOLVING PERSONAL FINANCIAL LIABILITY VIOLATING RULE 8(3) (F) OF SECURITIES CONTRACTS (REGULATIONS) RULES, 1957
DEALT WITH OTHER STOCK BROKERS FOR PROPRIETARY TRADING WITHOUT OBTAINING PRIOR PERMISSION FROM STOCK EXCHANGES VIOLATING SEBI CIRCULAR NO.SEBI/MIRSD/CIR-06/2004 DATED 13/01/2004
DID NOT FURNISH CORRECT INFORMATION TO INSPECTING TEAM REGARDING BANK ACCOUNTS
|
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 27-AUG-2014 TO 26-AUG-2024
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 27-AUG-2014 TO 26-AUG-2024
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC OR OFFER ANY PORTFOLIO MANAGEMENT SERVICES FROM 27-AUG-2014 TO 26-AUG-2024
DIRECTED TO REFUND ALL THE MONIES TO INVESTORS ALONG WITH INCOME, PROFITS OR RETURNS PROMISED UNDER THE SCHEMES
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-AUG-2014 TO 26-AUG-2024
PROHIBITED FROM TRANSFERRING FUNDS / DEPOSITS MOBILISED FROM THE CLIENTS OR OTHER INVESTORS OR FROM DISPOSING OF OR ALIENATING ANY ASSET THAT HAS BEEN CREATED FROM THE FUNDS/DEPOSITS RECEIVED FROM THEIR CLIENTS OR OTHER INVESTORS
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 27-AUG-2014 TO 26-AUG-2024
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-AUG-2014 TO 26-AUG-2024
27-AUG-2014
|
SEBI VIDE ITS ORDER DATED 10/12/2014 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 27/08/2014
SEBI VIDE ITS NOTICE DATED 14/01/2015 DIRECTED ALL THE BANKS 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 21/09/2022 DIRECTED TO A) COMPLY WITH THE DIRECTION OF REFUND VIDE INTERIM ORDER DATED 17/08/2014 WITHIN 45 DAYS FROM DATE OF THIS ORDER B) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING MODALITIES FOR REFUND INCLUDING DETAILS OF CONTACT PERSON NAMES, ADDRESSES AND CONTACT DETAILS WITHIN 15 DAYS OF COMING FORCE OF THIS ORDER C) REPAYMENTS TO INVESTORS/CLIENTS, TO BE EFFECTED ONLY THROUGH BANK DEMAND DRAFT OR PAY ORDER OR ELECTRONICS FUND TRANSFER D) PREVENTED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM EXCEPT FOR THE SOLE PURPOSE OF MAKING THE REFUNDS AS DIRECTED. FURTHER, DIRECTED BANK TO ALLOW DEBIT ONLY FOR THE PURPOSE OF MAKING REFUNDS TO THE INVESTORS/CLIENTS, WHO WERE AVAILING PORTFOLIO MANAGER SERVICES E) FILE REPORT OF SUCH COMPLETION WITH SEBI DULY CERTIFIED FROM INDEPENDENT CHARTERED ACCOUNTANT F) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER FOR TEN YEARS
SEBI VIDE ITS ORDER DATED 25/02/2022 DIRECTED ALL THE BANKS TO REMIT RS. 89,89,90,708.00 TO THE EXTENT LYING IN THE ACCOUNT OF WASANKAR WEALTH MANAGEMENT LTD., MR.PRASHANT JAIDEV WASANKAR, MR.ABHIJEET JAYANT CHAUDHARI, MR.VINAY JAIDEV WASANKAR, MS.MITHILA VINAY WASANKAR & MS.BHAGYASHREE PRASHANT WASANKAR TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 171 |
|
|
PRASNEETA CONSTRUCTIONS PVT.LTD.
|
|
|
|
AJAY AGGARWAL
|
|
|
GAJANAND AGGARWAL
|
|
|
SANDHYA AGGARWAL
|
|
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
|
|
| 172 |
|
|
PRATHMESH SECURITIES PVT.LTD.
|
|
|
|
MADHAV PRASAD JOGLEKAR
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
DIRECTED NOT TO UNDERTAKE ANY PROPRIETARY TRADES IN SECURITIES
17-OCT-2007
|
WITHDRAWN INTERIM ORDER DATED 17/10/2007
|
| 173 |
|
|
PRATIBHA CONSULTANCY
|
|
|
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
|
|
| 174 |
|
|
PVR 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
|
|
| 175 |
|
|
R.G.INVESTMENTS
(Sub-Broker of BABUBHAI PURSHOTTAMDAS 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
|
|
| 176 |
|
|
R.G.INVESTMENTS
|
|
|
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.1,00,000 BY THE ACCUSED TO SEBI
|
| 177 |
|
|
R.K.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
|
|
| 178 |
|
|
R.R.FINANCIALS
|
|
|
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
|
| 179 |
|
|
R.V.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
|
|
| 180 |
|
|
RAC 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 regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 9 of 14
|
