| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 201 |
|
PAWAN J.CHAUDHARY,M/S
(PAN:AABPC4327R)
(Member : BSE)
|
|
|
|
PAWAN J.CHAUDHARY
PAN:AABPC4327R
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KARUNA CABLES LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE IN CONDUCT OF ITS BUSINESS AS A BROKER
|
IMPOSED PENALTY RS.7,00,000
25-MAY-2009
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 20/09/2019 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 NOTICE DATED 31/10/2019 DIRECTED TO ATTACH THE LOCKER/S HELD BY DEFAULTER, EITHER SINGLY OR JOINTLY WITH ANY OTHER PERSON/S WITH BANK AND PROHIBITED FROM ALLOWING THE DEFAULTER OR HIS/HER JOINT HOLDER OR AGENT OF ATTORNEY FROM ANY WAY ACCESSING/OPERATING THE LOCKERS TILL FURTHER ORDERS
SEBI VIDE ITS ORDER DATED 04/02/2020 DIRECTED ALL THE BANKS TO REMIT RS.16,00,146.00 TO THE EXTENT LYING IN THE ACCOUNT OF PAWAN J.CHAUDHARY BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS NOTICE DATED 06/05/2022 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 20/09/2019
THE AMOUNT OF PENALTY ALONGWITH INTEREST HAS BEEN RECOVERED FROM THE ACCUSED BY RRD
|
| 202 |
|
|
PAWANKUMAR PARMESHWARLAL,M/S
(Member : BSE)
|
|
|
|
PAWANKUMAR PARMESHWARLAL CHOUDHARY
|
|
|
R.K.PANDAY
|
|
AIDED AND ABETTED CLIENTS IN CREATING ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PRABHU STEELS INDUSTRIES LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 18-JUL-2007 TO 17-SEP-2007
27-JUN-2007
|
SAT: APPEAL DISMISSED WITH NO ORDER AS TO COSTS
|
| 203 |
|
|
PDC SECURITIES PVT.LTD.
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF GLOBE STOCKS & SECURITIES LTD.
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE IN SCRIP OF GLOBE STOCKS & SECURITIES LTD.
VIOLATED CODE OF CONDUCT AS PRESCRIBED UNDER STOCK BROKER REGULATIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 25-APR-2007 TO 24-OCT-2007
05-APR-2007
|
|
| 204 |
|
|
PILOT CREDIT CAPITAL LTD.
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE CARE SKILL, CARE AND DILIGENCE WHILE DEALING WITH CLIENT JAY SHAH IN SCRIP OF IFSL LTD.
|
IMPOSED PENALTY RS.5,00,000
05-APR-2007
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
|
| 205 |
|
|
PIONEER TCP STOCK BROKERS LTD.
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE EXECUTING TRANSACTIONS IN SCRIP OF VERONICA LABORATORIES LTD.
|
IMPOSED PENALTY RS.75,000
17-FEB-2010
|
|
| 206 |
|
|
PLATINUM STOCK BROKING SERVICES LTD.
(Member : NSE/CSE)
|
|
|
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
VIOLATED CONDITIONS OF CERTIFICATE OF REGISTRATION
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 24-SEP-2001
24-SEP-2001
|
|
| 207 |
|
|
PRABHAT INVESTMENTS
(Member : DSE)
|
|
|
IRREGULARITIES IN DEALING IN SCRIP OF VATSA WORLD LTD.
DID NOT EXERCISE DUE SKILL AND CARE IN MATTER OF VATSA WORLD LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 21-SEP-2004 TO 20-NOV-2004
31-AUG-2004
|
|
| 208 |
|
|
PRABHAT INVESTMENTS
(Member : DSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING ON BEHALF OF CLIENTS IN SCRIP OF TACTFULL INVESTMENTS LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 11-SEP-2007 TO 10-OCT-2007
21-AUG-2007
|
|
| 209 |
|
|
PRABHUDAS LILLADHER PVT.LTD.
(PAN:AAACP2733Q)
(Depository Participants : CDSL,Member : NSE/BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF MISLEADING APPEARANCE OF TRADING THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF DSQ SOFTWARE LTD. AND DSQ BIOTECH LTD.
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE AND DILIGENCE WHILE DEALING IN SECURITIES MARKET
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,05,00,000 VIDE CONSENT ORDER)
16-FEB-2009
|
|
| 210 |
|
|
PRABHUDAS LILLADHER PVT.LTD.
(PAN:AAACP2733Q)
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING WITH ITS SUB-BROKERS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
18-JAN-2006
|
|
| 211 |
|
|
PRAKASH BAID SECURITIES PVT.LTD.
(Member : CSE)
|
|
|
|
PRAMOD BAID
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF PATRIOT TRADING CO.LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE IN CONDUCT OF ITS BUSINESS AS A BROKER
VIOLATED CODE OF CONDUCT AS PRESCRIBED UNDER STOCK BROKER REGULATIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 19-APR-2007 TO 18-OCT-2007
29-MAR-2007
|
|
| 212 |
|
|
PRAKASH K.SHAH,M/S
(Member : BSE)
|
|
|
|
PRAKASH K.SHAH
|
|
DID NOT EXERCISE DUE SKILL AND CARE IN MATTER OF AMARA RAJA BATTERIES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-AUG-2002 TO 11-OCT-2002
12-AUG-2002
|
SAT: APPEAL ALLOWED
|
| 213 |
|
|
PRAKASH NAHATA & CO.
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF CYBER FAMILY.COM LTD.
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING IN SCRIP OF CYBER FAMILY.COM LTD.
|
IMPOSED PENALTY RS.3,00,000
02-JUL-2009
|
|
| 214 |
|
|
PRAKASH NAHATA & CO.
(Member : CSE)
|
|
|
INDULGED IN OFF-MARKET TRANSACTIONS AND PRICE MANIPULATION IN SCRIP OF ASHIKA CREDIT CAPITALS LTD.
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING WITH CLIENTS IN SCRIP OF ASHIKA CREDIT CAPITALS LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 26-DEC-2008 TO 25-JAN-2009
05-DEC-2008
|
|
| 215 |
|
|
PRAKASH NAHATA & CO.
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF TOPLIGHT COMMERCIAL LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE IN CONDUCT OF ITS BUSINESS AS A BROKER
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-JUL-2009 TO 11-AUG-2009
22-JUN-2009
|
|
| 216 |
|
|
PRAMODKUMAR JAIN SECURITIES PVT.LTD.
(PAN:AAACP6229P)
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE IN MATTER OF MOREPEN HOTELS LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
25-OCT-2003
|
|
| 217 |
|
|
PRAMODKUMAR JAIN SECURITIES PVT.LTD.
(PAN:AAACP6229P)
(Member : BSE)
|
|
|
ALLEGED MARKET MANIPULATION IN SCRIP OF MOREPEN LABORATORIES LTD.AND ENTERED INTO STRUCTURED DEALS WITH KETAN SHAH WITH A VIEW TO CREATE ARTIFICIAL LIQUIDITY
DID NOT ACT PROFESSIONALLY AND ENSURING CONFIDENTIALITY OF DEALINGS OF ITS CLIENTS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
06-JAN-2003
|
|
| 218 |
|
|
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
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING IN F&O SEGMENT OF NATIONAL STOCK EXCHANGE
|
IMPOSED PENALTY RS.22,00,000
31-AUG-2009
|
|
| 219 |
|
|
PRASIDDHI MARKETING & SHARE
(Member : BGSE)
|
|
|
DID NOT ADHERE TO "KNOW YOUR CLIENT" DIRECTIVES/INSTRUCTIONS/GUIDELINES
DID NOT EXERCISE DUE CARE & DILIGENCE WHILE EXECUTING SUBSTANTIAL TRANSACTIONS IN HOME TRADE LTD.
DID NOT SUBMIT COPIES OF CONTRACT NOTES FOR INSPECTION
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 15-MAR-2007 TO 29-MAR-2007
22-FEB-2007
|
|
| 220 |
|
|
PRAVIN V.SHAH STOCK BROKING PVT.LTD.
(Member : BSE)
|
|
|
AIDED AND ABETTED KP ENTITIES IN CREATING ARTIFICIAL MARKET AND MANIPULATED PRICE IN SCRIP OF GLOBAL TELESYSTEM LTD.,ADANI EXPORTS LTD. AND HIMACHAL FUTURISTIC COMMUNICATIONS LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-SEP-2007 TO 26-OCT-2007
06-SEP-2007
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 06/09/2007 SET ASIDE 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 11 of 16
|
