| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 201 |
|
PRATIKBHAI MAFATLAL SHAH
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPOS OF VARIOUS COMPANIES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
|
CONFIRMED INTERIM ORDER DATED APR. 27,2006
|
| 202 |
|
|
PRITIJ BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
|
| 203 |
|
|
PRIYANKADEVIR BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
|
| 204 |
|
|
PUJAP BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
DIRECTING IMPOUNDING THE UNLAWFULLY GAINS MADE IN THEIR ACCOUNTS BY THEIR PARENTS ON THEIR BEHALF
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 205 |
|
|
PULOMA DUSHYANT DALAL
(PAN:AAEPD2909B)
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED TO ATTACH BANK ACCOUNTS
27-APR-2006
DIRECTED TO DISGORGE RS.6,00,31,137 ALONG WITH OTHER ENTITIES/PERSONS
21-JUL-2009
|
CONFIRMED ORDER DATED 27/04/2006. AS APPLICANT RASILA NATWARLAL THAKORDAS AND NATWARLAL THAKORDAS EXPIRED, THEIR DEMAT A/C JOINTLY WITH DUSHYANT NATWARLAL DALAL WOULD FROZEN TILL THE PASSING OF FINAL ORDER
DIRECTED A) NOT TO BUY, SELL OR DEAL IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OR ACCESS SECURITES MARKET DIRECTLY OR INDIRECTLY FOR A PERIOD OF 45 DAYS FROM DATE OF ORDER I.E. 21/07/2009 B) TO DISGORGE UNLAWFUL GAIN OF RS. 4.05 CRORE ALONGWITH RS.1.95 CRORE BEING SIMPLE INTEREST AT THE RATE OF 12% PER ANNUM FOR 4 YEARS (2005-09) ON UNLAWFUL GAIN OF RS.4.05 CRORE WITHIN 45 DAYS FROM DATE OF THIS ORDER C) IN CASE AFORESAID AMOUNT IS NOT PAID WITHIN SPECIFIED TIME, SHALL BE RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OR ACCESSING SECURITIES MARKET, DIRECTLY OR INDIRECTLY, FOR A FURTHER PERIOD OF SEVEN YEARS, WITHOUT PREJUDICE TO SEBI’S RIGHT TO ENFORCE DISGORGEMENT
SAT: APPEAL BECOME INFRUCTUOUS AND DISPOSED OFF ACCORDINGLY WITH NO ORDER AS TO COSTS
SAT: APPEAL FAILED AND DISMISSED. NO ORDER AS TO COSTS
SEBI VITED ITS ORDER DATED 07/11/2013 HAS ATTACHED VARIOUS BANK ACCOUNTS OF THE DEFAULTERS AND PURSUANT TO THIS A SUM OF RS.10,82,287.00 HAS BEEN RECOVERED. RECOVERY OF THE BALANCE DUES FROM THE OTHER BANK ACCOUNTS OF THE DEFAULTERS IS IN PROGRESS
SAT: SAT VIDE ITS ORDER DATED 17/01/2014 DIRECTED TO ATTACH JOINT DEMAT ACCOUNT NO.40333429 AND IN LIEU THEREOF ATTACHMENT LEVIED ON OTHER BANK ACCOUNTS OF APPELLANTS SHALL STAND RAISED FORTHWITH. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 29/04/2014 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 21/03/2014. NO COSTS
SEBI VIDE ITS ORDER DATED 27/06/2014 DISPOSED OFF THE REPRESENTATION DATED 12/02/2014. REQUEST MADE FOR VACATING THE RESTRAINT IMPOSED FOR NON-COMPLIANCE WITH DISGORGEMENT ORDER WITHIN STIPULATED TIME, CANNOT BE ACCEDED TO. OTHER SUBMISSIONS HAVE ALSO BEEN CONSIDERED AND OBSERVATIONS MADE ACCORDINGLY
SEBI VIDE ITS NOTICE DATED 25/09/2013 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 17/12/2013 DIRECTED ICICI BANK TO RELEASE TO 1/3RD OF BALANCE I.E., RS.1,779 TO MS.YUTI D.DALAL ON HER REQUEST, HOWEVER, THE BANK MAY NOTE THAT NO DEBIT SHALL BE PERMITTED IN THE SAID ACCOUNT UNTIL FURTHER ORDERS FROM RECOVERY OFFICER AS THE SAID ACCOUNT IS JOINTLY HELD WITH THE DEFAULTERS
SEBI VIDE ITS ORDER DATED 23/01/2014 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS/LOCKERS AND DEMAT ACCOUNTS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 18/10/2013
SAT: SAT VIDE ITS ORDER DATED 06/09/2016 DISPOSED OF THE APPEAL AS INFRUCTUOUS AS APPELLANTS HAVE ALREADY UNDERGO THE DEBARMENT AND NOTHING SERVIVED IN THE APPEAL. APPEAL DISPOSED OFF AS INFRUCTUOUS. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 10/03/2017 DISMISSED THE APPEAL. AFTER THE JUDGEMENT WAS PRONOUNCED COUNSEL FOR THE APPELALANT AND RESPONDANTS SOUGHT STAY OF THIS DECISION. ACCORDINGLY DECISION WAS STAYED FOR A PERIOD OF 6 WEEKS FROM THE DATE OF THIS ORDER
|
| 206 |
|
|
PURSHOTTAM GHANSHYAM BUDHWANI
(PAN:ADGPB8380B)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF INFRASTRUCTURE DEVELOPMENT FINANCE CO.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-JAN-2006 TILL FURTHER ORDERS
12-JAN-2006
DIRECTED TO DISGORGE RS.9,39,38,030
23-MAY-2011
|
SEBI VIDE ITS ORDER DATED 23/05/2011 DIRECTED 1.NOT TO BUY, SELL OR DEAL IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OR ACCESS SECURITIES MARKET, DIRECTLY OR INDIRECTLY FOR THREE MONTHS FROM DATE OF ORDER 2.TO DISGORGE RS.9,39,38,030 (UNLAWFUL GAIN OF RS.5,87,11,269 AND INTEREST RS.3,52,26,761) WITHIN 45 DAYS FROM DATE OF ORDER OTHERWISE PERIOD OF RESTRAINT WILL BE FURTHER PERIOD OF NINE YEARS (SUPERSEDED ALL DIRECTION ISSUED VIDE INTERIM ORDERS DATED 12/01/2006 AND 27/04/2006)
SHOW CAUSE NOTICE DATED 15/12/2011 ISSUED
|
| 207 |
|
|
PURSHOTTAM GHANSHYAM BUDHWANI
(PAN:ADGPB8380B)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF INFRASTRUCTURE DEVELOPMENT FINANCE CO.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
|
SEBI VIDE ITS ORDER DATED 23/05/2011 DIRECTED 1.NOT TO BUY, SELL OR DEAL IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OR ACCESS SECURITIES MARKET, DIRECTLY OR INDIRECTLY FOR THREE MONTHS FROM DATE OF ORDER 2.TO DISGORGE RS.9,39,38,030 (UNLAWFUL GAIN OF RS.5,87,11,269 AND INTEREST RS.3,52,26,761) WITHIN 45 DAYS FROM DATE OF ORDER OTHERWISE PERIOD OF RESTRAINT WILL BE FURTHER PERIOD OF NINE YEARS (SUPERSEDED ALL DIRECTION ISSUED VIDE INTERIM ORDERS DATED 12/01/2006 AND 27/04/2006)
SHOW CAUSE NOTICE DATED 15/12/2011 ISSUED
SAT: SAT VIDE ITS ORDER DATED 01/07/2013 DISPOSED OFF THE APPEAL WITH LIBERTY TO APPELLANT TO FILE A FRESH APPEAL. NO COSTS
SHOW CAUSE NOTICE DATED 15/12/2011 ISSUED
SAT: SAT VIDE ITS ORDER DATED 01/07/2013 DISPOSED OFF THE APPEAL WITH LIBERTY TO APPELLANT TO FILE A FRESH APPEAL. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 15/01/2015 SET ASIDED IMPUGNED ORDER DATED 01/07/2013 AND CASE REMANDED BACK TO SEBI FOR TAKING NECESSARY ACTION
|
| 208 |
|
|
PURVI Y.BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES IN WHATSOVER MANNER, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 3 YEARS FROM THE DATE OF THIS ORDER I.E.31/12/2008
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 209 |
|
|
PURVI Y.BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES IN WHATSOVER MANNER, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 3 YEARS FROM THE DATE OF THIS ORDER I.E.31/12/2008
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 210 |
|
|
PURVI YOGESH BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES IN WHATSOVER MANNER, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 3 YEARS FROM THE DATE OF THIS ORDER I.E.31/12/2008
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 211 |
|
|
PURVI YOGESH BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES IN WHATSOVER MANNER, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 3 YEARS FROM THE DATE OF THIS ORDER I.E.31/12/2008
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 212 |
|
|
PURVIBEN Y.BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES IN WHATSOVER MANNER, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 3 YEARS FROM THE DATE OF THIS ORDER I.E.31/12/2008
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 213 |
|
|
PURVIBEN Y.BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES IN WHATSOVER MANNER, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 3 YEARS FROM THE DATE OF THIS ORDER I.E.31/12/2008
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 214 |
|
|
PURVIY BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES IN WHATSOVER MANNER, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 3 YEARS FROM THE DATE OF THIS ORDER I.E.31/12/2008
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 215 |
|
|
PURVIY BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES IN WHATSOVER MANNER, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 3 YEARS FROM THE DATE OF THIS ORDER I.E.31/12/2008
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 216 |
|
|
PUSHPADEVIJ BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
|
| 217 |
|
|
PY BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES IN WHATSOVER MANNER, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 3 YEARS FROM THE DATE OF THIS ORDER I.E.31/12/2008
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 218 |
|
|
PY BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES IN WHATSOVER MANNER, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 3 YEARS FROM THE DATE OF THIS ORDER I.E.31/12/2008
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 219 |
|
|
PYBHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES IN WHATSOVER MANNER, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 3 YEARS FROM THE DATE OF THIS ORDER I.E.31/12/2008
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 220 |
|
|
R.K.GOYAL
|
|
|
|
FORNEY FUNDS ADVISORS PVT.LTD.
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,20,25,953, INTEREST RS.26,79,017 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
08-JAN-2010
|
INTERIM EX-PARTE ORDER DATED 17/01/2007 DISPOSED OFF WITH THE DIRECTION 1) BSE SHALL TRANSFER 1,00,21,628 WITHHELD EARNED UNJUST PROFIT PLUS INTEREST TO SEBI 2) AND PAY 20% OF UNJUST PROFIT I.E. RS.20,04,325 TOWARDS SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 08/01/2010
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 11 of 16
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