| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 181 |
|
JOINDRE CAPITAL SERVICES LTD.
(PAN:AAACJ1480E)
(Member : BSE/BGSE/COCSE/CMBSE/NSE/SKSE/VSE/ICSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SAYAJI HOTELS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
14-MAR-2011
|
|
| 182 |
|
|
JOINDRE CAPITAL SERVICES LTD.
(PAN:AAACJ1480E)
(Member : BSE/BGSE/COCSE/CMBSE/NSE/SKSE/VSE/ICSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR TRADES IN SCRIP OF PARSOLI CORP.LTD.
ALLEGED FAILURE IN MAINTENANCE OF 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 PARSOLI CORP.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,00,000 VIDE CONSENT ORDER)
08-MAR-2011
|
|
| 183 |
|
|
JRK STOCK BROKING PVT.LTD.
(PAN:AABCJ8648K)
(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 |
|
|
JSEL SECURITIES LTD.
(Member : BSE)
|
|
|
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE AND FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, DID NOT ADHERE TO STATUTORY REQUIREMENTS AND DID NOT HAVE ADEQUATE STAFF & ARRANGEMENTS TO RENDER FAIR, PROMPT & COMPETENT SERVICES TO CLIENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1),A(2),A(5) AND PARA B(8) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,00,000 VIDE CONSENT ORDER)
12-MAY-2011
|
|
| 185 |
|
|
JYOTISH BHOGILAL STOCK BROKERS PVT.LTD.
(PAN:AAACJ5486G)
(Member : ASE)
|
|
|
ALLEGED INDULGENCE IN PRICE MANIPULATION AND IRREGULAR TRANSACTIONS IN SCRIP OF OJAS TECHNOCHEM PRODUCTS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,50,000 VIDE CONSENT ORDER)
20-NOV-2007
|
|
| 186 |
|
|
JYOTISH BHOGILAL STOCK BROKERS PVT.LTD.
(PAN:AAACJ5486G)
(Member : ASE)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE AND DILIGENCE WHILE DEALING IN SCRIP OF MONALISA INFOTECH LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
19-OCT-2011
|
|
| 187 |
|
|
JYOTISH BHOGILAL STOCK BROKERS PVT.LTD.
(PAN:AAACJ5486G)
(Member : ASE)
|
|
|
ALLEGED NON-EXERCISE OF DUE CARE & DILIGENCE IN CASE OF MANNA GLASS TECH INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
20-NOV-2007
|
|
| 188 |
|
|
JYOTISH BHOGILAL STOCK BROKERS PVT.LTD.
(PAN:AAACJ5486G)
(Member : ASE)
|
|
|
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS AND DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 7 READ WITH CLAUSES A(1),A(2),D(4) AND D(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF MOH LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
28-MAR-2011
|
|
| 189 |
|
|
K & A SECURITIES PVT.LTD.
(PAN:AAACK1251G)
(Member : NSE/BSE)
|
|
|
ALLEGED NON-SEGREGATION OF CLIENT FUNDS FROM BROKERS FUNDS
ALLEGED INDULGENCE IN TRANSACTIONS INVOLVING RECEIPT AND PAYMENT IN CASH
ALLEGED ALLOWING CLIENTS TO TRADE IN SPITE OF DEBIT BALANCE
ALLEGED FAILURE IN ISSUANCE OF CONTRACT NOTES
ALLEGED FAILURE IN COLLECTION OF MARGIN FROM CLIENTS
ALLEGED PROVIDING TRADING TERMINALS TO SUB-BROKERS NOT REGISTERED AS AUTHORISED PERSON
ALLEGED PROVIDING TRADING TERMINALS TO ITS CLIENTS
DEALT WITH UN-REGISTERED SUB-BROKERS
ALLEGED MISLEADING INVESTORS BY INDULGING INTO FRAUDULENT PRACTICES
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.12,00,000 VIDE CONSENT ORDER)
27-APR-2012
|
|
| 190 |
|
|
K.PRASAD & CO.
(Member : CSE)
|
|
|
ALLEGED DELAY IN MAKING PAYMENT TO CLIENTS
ALLEGED FAILURE IN SEGREGATING CLIENTS FUNDS AND SECURITIES
ALLEGED INDULGENCE IN REGISTRATION OF CLIENTS WITHOUT ANY VERIFICATION OF THE ANTECEDENTS OR WITHOUT A INTRODUCER
ALLEGED INDULGENCE IN MAINTAINING UNACKNOWLEDGED (BY CLIENTS) DUPLICATE COPIES OF CONTRACT NOTES
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)
16-AUG-2010
|
|
| 191 |
|
|
KAMAL KUMAR JALAN SECURITIES PVT.LTD.
(PAN:AAACK5617J)
(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
|
|
| 192 |
|
|
KANAK SHAH SHARE & STOCK BROKERS
(Member : ASE)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,000, ADMINISTRATION CHARGES RS.10,000 VIDE CONSENT ORDER)
27-APR-2009
|
|
| 193 |
|
|
KAYAN SECURITIES PVT.LTD.
(PAN:AABCK3359A)
(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
|
|
| 194 |
|
|
KEDAR NATH AGRAWAL,M/S
(Member : NSE)
|
|
|
|
KEDAR NATH AGRAWAL
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
INDULGED IN EVASION OF MARGIN MONEY
DID NOT REPORT SPOT TRANSACTIONS TO THE EXCHANGE
PERMITTED TRADING TERMINALS AT UNAUTHORISED LOCATIONS
ALLOWED TERMINAL TO UNAUTHORISED USERS
DID NOT FRAME CODE OF INTERNAL PROCEDURES AND CONDUCT FOR PREVENTION OF INSIDER TRADING
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 08-DEC-2009 TO 27-DEC-2009
18-NOV-2009
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.32,00,000, LEGAL EXPENSES RS.1,50,000 VIDE CONSENT ORDER)
24-SEP-2010
|
SAT: IMPUGNED ORDER DATED 18/11/2009 SET ASIDE AS APPELLANT HAS PAID RS.32,00,000 TOWARDS SETTLEMENT CHARGES AND RS.1,50,000 TOWARDS LEGAL EXPENSES, AS PER CONSENT ORDER
|
| 195 |
|
|
KETAN SHAH & CO.
(Member : VSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF VISION ORGANICS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
22-JUN-2009
|
|
| 196 |
|
|
KEYNOTE CAPITALS LTD.
(CIN:U67120MH1995PLC088172
PAN:AAACK2618R)
(Member : BSE/NSE)
|
|
|
ALLEGED ACCEPTANCE OF THIRD PARTY CHEQUE TOWARDS BROKERAGE VIOLATING SEBI CIRCULAR NO. SEBI/MRD/SE/CIR-33/2003/27/08 DATED 27/08/2003
ALLEGED FAILURE IN SETTLEMENT OF CROSS DEAL ON T+2 BASIS VIOLATING SEBI CIRCULAR NO. SMD/POLICY/CIR-06/03 DATED 06/02/2003
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
16-FEB-2017
|
|
| 197 |
|
|
KEYNOTE CAPITALS LTD.
(CIN:U67120MH1995PLC088172
PAN:AAACK2618R)
(Member : BSE)
|
|
|
ASSISTED, AIDED AND ABETTED BOTH SCIMITAR AND RATHI IN CORNERING THE SHARES OF DAGGER FORST TOOLS LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 26-JAN-2007 TO 25-FEB-2007
05-JAN-2007
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.13,00,000, LEGAL EXPENSES RS.50,000 VIDE CONSENT ORDER)
04-JAN-2010
|
SAT: ORDER DATE 05/01/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.13,50,000 TOWARDS SETTLEMENT AND LEGAL EXPENSES, AS PER CONSENT ORDER
|
| 198 |
|
|
KEYNOTE CAPITALS LTD.
(CIN:U67120MH1995PLC088172
PAN:AAACK2618R)
(Member : BSE)
|
|
|
|
SURAJ SARAGI
|
|
INDULGED IN SYNCHRONIZED TRANSACTIONS WITH KP ENTITIES IN SCRIP OF HIMACHAL FUTURISTICS COMMUNICATIONS LTD. AND ADANI EXPORTS LTD. (NOW KNOWN AS ADANI ENTERPRISES LTD.)
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-JUL-2008 TO 30-JUL-2008
09-JUL-2008
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000, LEGAL EXPENSES RS.92,500 VIDE CONSENT ORDER)
15-OCT-2009
|
SAT: APPLICANT AGREED TO PAY RS.3,92,500 TOWARDS SETTLEMENT CHARGES INCLUDING LEGAL CHARGES, AS PER CONSENT ORDER
|
| 199 |
|
|
KEYNOTE CAPITALS LTD.
(CIN:U67120MH1995PLC088172
PAN:AAACK2618R)
(Member : BSE/NSE)
|
|
|
ALLEGED INDULGENCE IN REVERSAL OF TRADE TRANSACTIONS AND PRICE MANIPULATION IN SCRIP OF COROMANDAL FERTILIZERS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.8,00,000 VIDE CONSENT ORDER)
16-FEB-2009
|
|
| 200 |
|
|
KHANDWALA FINSTOCK PVT.LTD.
(Member : ASE)
|
|
|
|
VIMAL P.KHANDWALA
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
DID NOT EXERCISE DUE SKILL AND DILIGENCE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 04-FEB-2009 TO 10-FEB-2009
14-JAN-2009
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000, LEGAL EXPENSES RS.50,000 VIDE CONSENT ORDER)
07-JAN-2010
|
SAT: ORDER DATED 14/01/2009 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.2,50,000 TOWARDS SETTLEMENT AND LEGAL CHARGES, AS PER CONSENT ORDER
|
| 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 10 of 22
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