| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ANGEL CAPITAL & DEBT MARKET LTD.
(Member : NSE)
|
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
|
CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS FROM 18-JUN-2007 TILL FURTHER ORDERS
18-JUN-2007
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 18/06/2007 SET ASIDE WITH NO ORDER AS TO COSTS
|
| 2 |
|
|
ASHIKA STOCK BROKING LTD.
(PAN:AACCA7156Q)
(Member : NSE)
|
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
|
CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS FROM 18-JUN-2007 TILL FURTHER ORDERS
18-JUN-2007
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
22-DEC-2008
|
AD-INTERIM EX-PARTE ORDER DATED 18/06/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.5,00,000 TOWARDS SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 22/12/2008
|
| 3 |
|
|
BHAVESH R.MEHTA,M/S
(Member : SKSE,Sub-Broker of SKSE SECURITIES LTD., Member : BSE/NSE, SHREE NAVKAR INVESTMENTS, Member : NSE)
|
|
|
|
BHAVESH R.MEHTA
|
|
ALLEGED DISCREPANCIES IN MAINTENANCE OF CLIENT REGISTRATION FORMS & CLIENT AGREEMENT
ALLEGED FAILURE IN PROVIDING INFORMATION/COOPERATION WITH PROCEEDINGS
ALLEGED DEALING AS AN UNREGISTERED INTERMEDIARY ON F&O SEGMENT
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.12,00,000 VIDE CONSENT ORDER)
27-APR-2010
|
|
| 4 |
|
|
CPR CAPITAL SERVICES LTD.
(PAN:AAACC3235A)
(Member : NSE)
|
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
|
CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS FROM 18-JUN-2007 TILL FURTHER ORDERS
18-JUN-2007
|
|
| 5 |
|
|
CPR CAPITAL SERVICES LTD.
(PAN:AAACC3235A)
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN F&O SEGMENT OF NATIONAL STOCK EXCHANGE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
31-MAR-2009
|
|
| 6 |
|
|
CPR CAPITAL SERVICES LTD.
(PAN:AAACC3235A)
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN F&O SEGMENT OF NATIONAL STOCK EXCHANGE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
23-APR-2010
|
|
| 7 |
|
|
INDIABULLS SECURITIES LTD.
(PAN:AAACO0870B)
(Member : NSE)
|
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
|
CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS FROM 18-JUN-2007 TILL FURTHER ORDERS
18-JUN-2007
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 18/06/2007 SET ASIDE WITH NO ORDER AS TO COSTS
|
| 8 |
|
|
KHANDWALA INTEGRATED FINANCIAL SERVICES PVT.LTD.
(Member : NSE)
|
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
|
CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS FROM 18-JUN-2007 TILL FURTHER ORDERS
18-JUN-2007
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
07-OCT-2008
|
AD INTERIM EX-PARTE CEASE AND DESIST ORDER DATED 18/06/2007 DISPOSED OFF. AS APPLICANT AGREED TO PAY RS.5,00,000 AS PER CONSENT ORDER DATED 07/10/2008
|
| 9 |
|
|
KUMAR SHARE BROKERS LTD.
(Member : NSE)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE AND DILIGENCE WHILE DEALING IN FUTURE AND OPTIONS IN F&O SEGMENT OF NATIONAL STOCK EXCHANGE
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN F&O SEGMENT OF NATIONAL STOCK EXCHANGE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,00,000 VIDE CONSENT ORDER)
23-OCT-2008
|
|
| 10 |
|
|
KUMAR SHARE BROKERS LTD.
(Member : NSE)
|
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
|
CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS FROM 18-JUN-2007 TILL FURTHER ORDERS
18-JUN-2007
|
SAT: APPEAL DISMISSED AS WITHDRAWN
|
| 11 |
|
|
MANU STOCK BROKING (P) LTD.
(Member : NSE)
|
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
|
CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS FROM 18-JUN-2007 TILL FURTHER ORDERS
18-JUN-2007
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
20-APR-2009
|
AD-INTERIM EX-PARTE ORDER DATED 18/06/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.5,00,000 TOWARDS SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 20/04/2009
|
| 12 |
|
|
PRASHANT JAYANTILAL PATEL,M/S
(PAN:AABPP2156M)
(Member : NSE)
|
|
|
|
PRASHANT JAYANTILAL PATEL
PAN:AABPP2156M
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
|
CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS FROM 18-JUN-2007 TILL FURTHER ORDERS
18-JUN-2007
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 18/06/2007 SET ASIDE WITH NO ORDER AS TO COSTS
|
| 13 |
|
|
PRATIBHUTI VINIHIT LTD.
(Member : NSE)
|
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
|
CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS FROM 18-JUN-2007 TILL FURTHER ORDERS
18-JUN-2007
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
07-OCT-2008
|
AD INTERIM EX-PARTE CEASE AND DESIST ORDER DATED 18/06/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.10,00,000 AS PER CONSENT ORDER DATED 07/10/2008
|
| 14 |
|
|
PSJ SECURITIES PVT.LTD.
(PAN:AAACP9123A)
(Member : NSE)
|
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
|
CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS FROM 18-JUN-2007 TILL FURTHER ORDERS
18-JUN-2007
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.4,00,000 VIDE CONSENT ORDER)
30-SEP-2008
|
INTERIM CEASE AND DESIST ORDER DATED 18/06/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.4,00,000 AS PER CONSENT ORDER DATED 30/09/2008
|
| 15 |
|
|
SHILPA STOCK BROKER PVT.LTD.
(PAN:AAECS9799R)
(Member : NSE)
|
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
|
CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS FROM 18-JUN-2007 TILL FURTHER ORDERS
18-JUN-2007
|
|
| 16 |
|
|
SHILPA STOCK BROKER PVT.LTD.
(PAN:AAECS9799R)
(Member : NSE)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE AND DILIGENCE WHILE DEALING IN FUTURE AND OPTIONS IN F&O SEGMENT OF NATIONAL STOCK EXCHANGE
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN F&O SEGMENT OF NATIONAL STOCK EXCHANGE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,00,000 VIDE CONSENT ORDER)
23-OCT-2008
|
|
| 17 |
|
|
SMC GLOBAL SECURITIES LTD.
(PAN:AAACS0581R)
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN F&O SEGMENT OF NATIONAL STOCK EXCHANGE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,50,000 VIDE CONSENT ORDER)
04-JUN-2009
|
|
| 18 |
|
|
SMC GLOBAL SECURITIES LTD.
(PAN:AAACS0581R)
(Member : NSE)
|
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
|
CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS FROM 18-JUN-2007 TILL FURTHER ORDERS
18-JUN-2007
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
16-FEB-2009
|
AD INTERIM EX-PARTE ORDER DATED 18/06/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.6,00,000.00 TOWARDS SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 16/02/2009
|
| 19 |
|
|
SMC GLOBAL SECURITIES LTD.
(PAN:AAACS0581R)
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN F&O SEGMENT OF NATIONAL STOCK EXCHANGE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,50,000 VIDE CONSENT ORDER)
05-JUN-2009
|
|
| 20 |
|
|
STEEL CITY SECURITIES LTD.
(PAN:AAECS0970L)
(Member : NSE)
|
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
|
CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS FROM 18-JUN-2007 TILL FURTHER ORDERS
18-JUN-2007
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 1 of 2
|
