| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 221 |
|
CLEAN FINANCE & INVESTMENT LTD.
(PAN:AAACC0082D)
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF BSEL INFRASTRUCTURE REALTY LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1),A(3) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF BSEL INFRASTRUCTURE REALTY LTD.
|
IMPOSED PENALTY RS.2,00,000
31-AUG-2012
|
|
| 222 |
|
|
CLEAN FINANCE & INVESTMENT LTD.
(PAN:AAACC0082D)
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND STRUCTURED DEALS IN SCRIP OF JINDAL STAINLESS 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 FOR SUB-BROKERS UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF JINDAL STAINLESS LTD.
|
IMPOSED PENALTY RS.50,000
28-FEB-2011
|
|
| 223 |
|
|
CNB FINWIZ PVT.LTD.
(PAN:AABCB2613A)
(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.5,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 224 |
|
|
COIMBATORE CAPITAL LTD.
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN EXECUTION OF CROSS DEALS AND PRICE MANIPULATION IN SCRIP OF LUMAX INDUSTRIES LTD. AND CREW BOS PRODUCTS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.75,000 VIDE CONSENT ORDER)
29-DEC-2008
|
|
| 225 |
|
|
CONCORD VINIMAY PVT.LTD.
(PAN:AADCC4910B)
(Member : USEIL)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH REVERSAL OF TRADE AND FICTITIOUS TRANSACTIONS IN STOCK OPTIONS UNDER EQUITY DERIVATIVE SEGMENT
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
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-FEB-2016 TILL FURTHER ORDERS
17-FEB-2016
|
SAT: SAT VIDE ITS ORDER DATED 14/03/2016 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 17/02/2016 AND DIRECTED SEBI TO INITIATE PROCEEDINGS IN ACCORDANCE WITH LAW AND PASS APPROPRIATE ORDER THEREON AS IT DEEMED FIT. NO COSTS
SEBI VIDE ITS ORDER DATED 12/08/2016 DIRECTED TRADING MEMBERS TO CO-OPERATE WITH SEBI IN THE ON-GOING INVESTIGATION AND PROVIDE ALL THE INFORMATION AND DOCUMENTS THAT MAY BE SOUGHT BY SEBI IN THIS REGARD
|
| 226 |
|
|
CREDENTIAL STOCK BROKERS LTD.
(PAN:AABCC1868L)
(Member : NSE)
|
|
|
EXECUTED STRUCTURED/SYNCHRONIZED DEALS IN SCRIP OF VATSA MUSIC LTD.
DID NOT EXERCISE DUE SKILL AND DILIGENCE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 03-FEB-2009 TO 02-APR-2009
13-JAN-2009
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
|
| 227 |
|
|
CREDIT SUISSE FIRST BOSTON
(Member : BSE)
|
|
|
DISTORTED TRUE PRICE DISCOVERY AND MANIPULATED SECURITIES MARKET DURING MID FEBRUARY 2001 AND MID MARCH 2001
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 04-JUN-2001 TILL PENDING ENQUIRY
04-JUN-2001
|
|
| 228 |
|
|
CREDIT SUISSE FIRST BOSTON (INDIA) SECURITIES PVT.LTD.
(Member : BSE/NSE)
|
|
|
MANIPULATED SCRIP OF RANBAXY LABORATORIES LTD.
INDULGED IN SYNCHRONIZED DEALS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 26-MAR-2004 TO 25-APR-2004
05-MAR-2004
|
|
| 229 |
|
|
CREDIT SUISSE FIRST BOSTON (INDIA) SECURITIES PVT.LTD.
(Member : BSE/NSE)
|
|
|
DISTORTED TRUE PRICE DISCOVERY
MANIPULATED SECURITIES MARKET DURING MID FEBRUARY 2001 AND MID MARCH, 2001
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 18-APR-2001 TO 17-APR-2003
13-JUN-2002
|
|
| 230 |
|
|
CREDIT SUISSE FIRST BOSTON (INDIA) SECURITIES PVT.LTD.
(Member : BSE/NSE)
|
|
|
INDULGED IN SYNCHRONIZED TRANSACTIONS WITH KP ENTITIES IN SCRIP OF GLOBAL TRUST BANK LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-OCT-2004 TO 31-DEC-2004
10-SEP-2004
|
|
| 231 |
|
|
CREDIT SUISSE FIRST BOSTON (INDIA) SECURITIES PVT.LTD.
(Member : BSE/NSE)
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF GLOBAL TRUST BANK LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF GLOBAL TRUST BANK LTD.
PARKED SHARES TO CIRCUMVENT SEBI TAKEOVER CODE, 1997
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2002 TILL INVESTIGATION COMPLETED
31-DEC-2002
|
|
| 232 |
|
|
CROSSEAS CAPITAL SERVICES PVT.LTD.
(PAN:AACCC5470H)
(Member : BSE/NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME AND PRICE MANIPULATION THROUGH SELF TRADES IN SCRIP OF BHARATIYA GLOBAL INFOMEDIA LTD.
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSE A OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
|
DIRECTED TO REVIEW ITS SYSTEMS AND TO TAKE APPROPRIATE STEPS TO AVOID SELF TRADES AND OTHER CATEGORIES OF TRADES PROHIBITED UNDER SEBI REGULATIONS / GUIDELINES
IMPOSED PENALTY RS.5,00,000
13-NOV-2014
|
SAT: SAT VIDE ITS ORDER DATED 31/03/2016 PERMITTED APPELLANT TO WITHDRAW THE APPEALS AND PERMITTED AO TO PASS COMPOSITE ORDER ON THE ISSUE RELATING TO RELEVANCY OF DOCUMENTS. NO COSTS
|
| 233 |
|
|
CROSSEAS CAPITAL SERVICES PVT.LTD.
(PAN:AACCC5470H)
(Member : BSE/NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF TRADES IN SCRIP OF ESS DEE ALUMINIUM LTD.
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 7 READ WITH CLAUSES A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF ESS DEE ALUMINIUM LTD.
|
IMPOSED PENALTY RS.25,00,000
27-MAR-2015
|
SAT: SAT VIDE ITS ORDER DATED 31/03/2016 PERMITTED APPELLANT TO WITHDRAW THE APPEALS AND PERMITTED AO TO PASS COMPOSITE ORDER ON THE ISSUE RELATING TO RELEVANCY OF DOCUMENTS. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 10/02/2017 QUASHED AND SET ASIDED IMPUGNED ORDER AND REMANDED TO SEBI TO PASS FRESH ORDER ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 10/02/2017 QUASHED AND SET ASIDED IMPUGNED ORDER AND REMANDED TO SEBI TO PASS FRESH ORDER ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
|
| 234 |
|
|
CROWN CONSULTANTS PVT.LTD.
(PAN:AAACC3340E)
(Member : NSE)
|
|
|
MANIPULATION IN SCRIP OF AMARA RAJA BATTERIES LIMITED DURING THE PERIOD AUGUST 2000 TO MARCH 2001
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 13-SEP-2002 TO 12-DEC-2002
06-SEP-2002
|
SAT: IMPUGNED ORDER SET ASIDE WITH NO ORDER AS TO COSTS
|
| 235 |
|
|
CSL STOCK BROKING PVT.LTD.
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KARUNA CABLES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-NOV-2005 TILL FURTHER ORDERS
29-NOV-2005
|
CONFIRMED INTERIM ORDER DATED 29/11/2005
|
| 236 |
|
|
D.B.& CO.
(Member : CSE)
|
|
|
DID NOT EXERCISE DUE CARE AND SKILL IN DEALING WITH CLIENTS
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF PATRIOT TRADING CO.LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 26-FEB-2007 TO 25-AUG-2007
26-FEB-2007
|
|
| 237 |
|
|
D.B.& CO.
(Member : CSE)
|
|
|
ACTED IN CONCERT WITH OTHER BROKERS TO CREATE ARTIFICIAL MARKET AND PRICE RISE THROUGH CONTINUOUS SELF DEALS EXECUTED AT ONE TERMINAL AND CROSS DEALS AMONG THEMSELVES
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-SEP-2005 TO 28-SEP-2007
29-SEP-2005
|
DIRECTED THAT INTERIM ORDER DATED 29/09/2005 SHALL REMAIN IN FORCE TILL FURTHER ORDERS
IMPOSED PENALTY OF SUSPENSION OF CERTIFICATE OF REGISTRATION FOR A PERIOD OF 2 YEARS FROM THE DATE OF EARLIER ORDER (W.E.F.29/09/2005)
|
| 238 |
|
|
D.K.KHANDELWAL & CO.
(Member : CSE)
|
|
|
DID NOT EXERCISE DUE SKILL AND DILIGENCE
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PRIME CAPITAL MARKET LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-JUN-2007 TO 06-OCT-2007
17-MAY-2007
|
|
| 239 |
|
|
D.K.MODI SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED FAILURE IN MAINTAINING 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 MARSON’S LTD.
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH IRREGULAR TRANSACTIONS VIOLATING REGULATIONS 3,4(1),(2) (A),(B),(E),(G),(N) AND (O) OF SEBI (PFUTP) REGULATIONS, 2003 IN SCRIP OF MARSON’S LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-OCT-2009
|
|
| 240 |
|
|
DAGLIYA CONSULTANTS PVT.LTD.
(Member : BGSE)
|
|
|
INVOLVED IN CREATION OF FALSE MARKET, CIRCULAR TRADING AND PRICE MANIPULATION IN SCRIP OF HOME TRADE LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-OCT-2005 TO 19-DEC-2005
29-SEP-2005
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 12 of 62
|
