| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 181 |
|
BONANZA PORTFOLIO LTD.
(CIN:U65991DL1993PLC052280
PAN:AAACB0764B)
(Member : NSE)
|
|
|
|
S.P.GOEL
|
|
ACTED IN CONCERT WITH BROKERS/CLIENTS TO CREATE ARTIFICIAL MARKET/PRICE RISE THROUGH STRUCTURED DEALS/MATCHING BUY AND SELL ORDERS/REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF RADAAN MEDIAWORKS INDIA LTD.
ATTEMPTED TO INDUCE PUBLIC TO DEAL BY CREATING MISLEADING APPEARANCE OF TRADING IN THE SCRIP OF RADAAN MEDIAWORKS INDIA LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE IN CONDUCT OF ITS BUSINESS AS A BROKER
|
IMPOSED PENALTY RS.10,00,000
17-MAY-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.14,75,000, LEGAL EXPENSES RS.75,000 VIDE CONSENT ORDER)
14-DEC-2009
|
SAT: AO ORDER DATED 17/05/2006 DISPOSED OFF. AS APPLICANT AGREED TO DEPOSIT RS.15,50,000 AS PER CONSENT ORDER. NO ORDER AS TO COSTS
|
| 182 |
|
|
BP EQUITIES PVT.LTD.
(PAN:AAACB4602L)
(Member : BSE/NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME BY PLACING BUY ORDERS IN LARGE QUANTITIES WITHOUT SUFFICIENT MARGIN IN SCRIP OF RUCHI SOYA INDUSTRIES LTD.
DID NOT EXERCISE PROPER DUE DILIGENCE WHILE PLACING BUY ORDERS IN LARGE QUANTITIES WITHOUT SUFFICIENT MARGIN VIOLATING REGULATION 9(F) OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF RUCHI SOYA INDUSTRIES LTD.
|
IMPOSED PENALTY RS.20,00,000
26-JUL-2021
|
SAT: SAT VIDE ITS ORDER DATED 06/10/2021 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. IF APPELLANT DEPOSITS 50% OF THE AMOUNT WITHIN THREE WEEKS FROM DATE OF THIS ORDER, BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 31/01/2022 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 25/02/2022 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 05/04/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 12/05/2022 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 02/02/2023 DISMISSED THE APPEAL. NO COSTS
|
| 183 |
|
|
BP EQUITIES PVT.LTD.
(PAN:AAACB4602L)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 184 |
|
|
BUBNA STOCK BROKING SERVICES LTD.
(PAN:AABCB1128L)
(Member : CSE)
|
|
|
|
GOPI CHAND BANSHAL
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF PATRIOT TRADING CO.LTD.
VIOLATED CODE OF CONDUCT AS PRESCRIBED UNDER STOCK BROKER REGULATIONS
DID NOT EXERCISE DUE CARE AND DILIGENCE IN CONDUCT OF ITS BUSINESS AS A BROKER
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 16-APR-2007 TO 15-APR-2008
26-MAR-2007
|
|
| 185 |
|
|
BUBNA STOCK BROKING SERVICES LTD.
(PAN:AABCB1128L)
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF BOLTON PROPERTIES LTD.
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF BOLTON PROPERTIES LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(4) AND B(4) (A) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF BOLTON PROPERTIES LTD.
|
IMPOSED PENALTY RS.5,00,000
13-OCT-2010
|
INCLUDED IN SEBI LIST DATED 30/06/2012, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 186 |
|
|
BUBNA STOCK BROKING SERVICES LTD.
(PAN:AABCB1128L)
(Member : CSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE EXECUTING TRANSACTIONS IN SCRIP OF ROHAN FINANCE & SECURITIES LTD.
INDULGED IN PRICE MANIPULATION AND CREATION OF ARTIFICIAL MARKET BY SELF TRADES, REVERSE OF TRADE TRANSACTIONS, SYNCHRONIZED TRADES AND CROSS DEALS IN SCRIP OF ROHAN FINANCE & SECURITIES LTD.
|
IMPOSED PENALTY RS.4,00,000
20-NOV-2008
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
INCLUDED IN SEBI LIST DATED 30/09/2010, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 187 |
|
|
BUBNA STOCK BROKING SERVICES LTD.
(PAN:AABCB1128L)
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS IN SCRIP OF SILICON VALLEY INFOTECH LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLIED WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SILICON VALLEY INFOTECH LTD.
|
IMPOSED PENALTY RS.6,00,000
31-DEC-2009
|
|
| 188 |
|
|
BUBNA STOCK BROKING SERVICES LTD.
(PAN:AABCB1128L)
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF M.P.INVESTMENT & CONSULTANCY SERVICES LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(4) AND B(4) (A) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF M.P.INVESTMENT & CONSULTANCY SERVICES LTD.
|
IMPOSED PENALTY RS.3,00,000
07-OCT-2010
|
INCLUDED IN SEBI LIST DATED 30/06/2012, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 189 |
|
|
BUBNA STOCK BROKING SERVICES LTD.
(PAN:AABCB1128L)
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF OASIS CINE COMMUNICATIONS LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLIED WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) AND B(4)(A) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF OASIS CINE COMMUNICATIONS LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF OASIS CINE COMMUNICATION LTD.
|
IMPOSED PENALTY RS.3,00,000
03-JAN-2011
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 190 |
|
|
BUBNA STOCK BROKING SERVICES LTD.
(PAN:AABCB1128L)
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS/CROSS DEALS IN SCRIP OF PARBATI HOLDINGS LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(4) AND B(4)(A) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF PARBATI HOLDINGS LTD.
|
IMPOSED PENALTY RS.5,00,000
24-SEP-2009
|
INCLUDED IN SEBI LIST DATED 31/12/2009, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 191 |
|
|
BUBNA STOCK BROKING SERVICES LTD.
(PAN:AABCB1128L)
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF SANGOTRI CONSTRUCTIONS LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF SANGOTRI CONSTRUCTIONS LTD.
DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SANGOTRI CONSTRUCTIONS LTD.
|
IMPOSED PENALTY RS.7,50,000
21-JAN-2011
|
SAT: APPEAL DISMISSED WITH NO ORDER AS TO COSTS
SEBI VIDE ITS NOTICE DATED 15/12/2023 DIRECTED TO PAY RS.19,21,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 12/03/2024 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 NOTICE DATED 10/07/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.19,21,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 192 |
|
|
BUBNA STOCK BROKING SERVICES LTD.
(PAN:AABCB1128L)
(Member : CSE)
|
|
|
FAILED IN MAINTAINING INTEGRITY, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLIED WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) AND B(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF TWENTY FIRST CENTURY (INDIA) LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS/CROSS DEALS IN SCRIP OF TWENTY FIRST CENTURY (INDIA) LTD.
|
IMPOSED PENALTY RS.3,00,000
11-AUG-2009
|
INCLUDED IN SEBI LIST DATED 31/12/2009, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 193 |
|
|
C.MACKERTICH LTD.
(Member : NSE/BSE/CSE/OTC)
|
|
|
|
SUDIPTO DATTA
|
|
INDULGED IN PRICE MANIPULATION BY CREATION OF ARTIFICIAL MARKET IN SCRIP OF SOUTH EAST ASIA MARINE ENGINEERING & CONSTRUCTIONS LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 03-JAN-2009 TO 02-FEB-2009
12-DEC-2008
|
|
| 194 |
|
|
C.MACKERTICH LTD.
(Member : BSE/NSE)
|
|
|
|
M.G.KHANNA
|
|
AIDED AND ABETTED ITS CLIENT IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF DSQ BIOTECH LTD.
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF DSQ BIOTECH LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-MAR-2010 TO 26-APR-2010
05-MAR-2010
|
|
| 195 |
|
|
CAPMAN CAPITAL MARKETS LTD.
(Member : BSE/NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF TODAY’S WRITING PRODUCTS LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF TODAYS WRITING PRODUCTS LTD.
|
IMPOSED PENALTY RS.2,00,000
27-AUG-2009
|
|
| 196 |
|
|
CARNATION FINANCIAL SERVICES LTD.
(Member : NSE)
|
|
|
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS ,DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF JUBILANT ORGANOSYS LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH STRUCTURED/SYNCHRONIZED TRANSACTIONS AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF JUBILANT ORGANOSYS LTD.
|
IMPOSED PENALTY RS.2,50,000
26-FEB-2010
|
SAT: APPLICATION FILED TO SEEK CONDONATION OF DELAY OF 20 DAYS IN FILING APPEAL IS ACCEPTED, VIDE ORDER DATED 30/08/2010
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 197 |
|
|
CD EQUISEARCH PVT.LTD.
(Member : BSE/NSE/CSE)
|
|
|
ALLEGED INDULGENCE IN SYNCHRONIZED TRADES IN SCRIP OF DESIGN AUTO SYSTEMS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
28-NOV-2008
|
|
| 198 |
|
|
CEEKAY HOLDINGS PVT.LTD.
(Member : NSE)
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF MARUTI ORGANICS LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE IN SCRIP OF MARUTI ORGANICS LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-SEP-2002 TO 14-OCT-2002
16-SEP-2002
|
|
| 199 |
|
|
CENTURY CONSULTANTS LTD.
(Member : NSE/BSE/OTC)
|
|
|
|
ANAND KRISHAN JOHARI
|
|
|
ARVIND MOHAN JOHARI
|
|
|
GYANNENDRA NATH JOHARI
|
|
ALLURED INVESTORS TO INVEST IN SHARES OF CYBERSPACE PROMISING THEM HIGH RETURNS
OPENED SHELL COMPANIES IN THE NAMES OF THE EMPLOYEES
CREATED ARTIFICIAL MARKET
VIOLATED REGULATIONS 4(A), 4(B), 4(C) AND 4(D) OF SEBI (PFUTP) REGULATIONS, 1995
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 15-DEC-2006 TO 14-DEC-2008
15-DEC-2006
|
|
| 200 |
|
|
CFL SECURITIES LTD.
(PAN:AAACC6722E)
(Member : NSE)
|
|
|
|
MILAN DALAL
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH STRUCTURED, SYNCHRONIZED TRANSACTIONS AND FINANCING DEALS IN SCRIP OF JAGSONPAL PHARMACEUTICALS LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF JAGSONPAL PHARMACEUTICALS LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-JUN-2011 TO 29-AUG-2011
09-JUN-2011
|
SAT: SAT VIDE ITS ORDER DATED 25/07/2011 MODIFIED ORDER DATED 09/06/2011. DATE OF COMMENCE OF SUSPENSION WILL BE FROM THE DATE OF ORDER INSTEAD OF 21 DAYS FROM THE DATE OF ORDER WITH NO ORDER AS TO COSTS
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 10 of 62
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