| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 261 |
|
GALAXY BROKING LTD.
(PAN:AABCG5457B)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND CIRCULAR TRANSACTIONS IN SCRIP OF PARSOLI CORP.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 PARSOLI CORP.LTD.
|
IMPOSED PENALTY RS.2,50,000
20-JUN-2011
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS ORDER DATED 08/08/2017 CONFIRMED THAT THE NOTICE HAS PAID THE PENALTIES DUE TO SEBI. FURTHER, SEBI WARNED NOTICEE TO BE MORE CAUTIOUS IN FUTURE AND ALSO PROMPTLY RESPOND TO THE NOTICES AND COMMUNICATION FROM SEBI
|
| 262 |
|
|
GALAXY BROKING LTD.
(PAN:AABCG5457B)
(Member : BSE)
|
|
|
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 JINDAL POLYSTER LTD.
|
IMPOSED PENALTY RS.2,00,000
31-MAR-2010
|
|
| 263 |
|
|
GALAXY BROKING LTD.
(PAN:AABCG5457B)
(Member : BSE)
|
|
|
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 G-TECH INFO TRAINING LTD.
|
IMPOSED PENALTY RS.50,000
24-MAY-2012
|
SEBI VIDE ITS NOTICE DATED 14/11/2014 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 12/12/2014 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 14/11/2014
SEBI VIDE ITS ORDER DATED 08/08/2017 CONFIRMED THAT THE NOTICE HAS PAID THE PENALTIES DUE TO SEBI. FURTHER, SEBI WARNED NOTICEE TO BE MORE CAUTIOUS IN FUTURE AND ALSO PROMPTLY RESPOND TO THE NOTICES AND COMMUNICATION FROM SEBI
|
| 264 |
|
|
GALAXY BROKING LTD.
(PAN:AABCG5457B)
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(2) AND A(3) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF GENUS COMMU-TRADE LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF GENUS COMMU-TRADE LTD.
|
IMPOSED PENALTY RS.75,000
30-DEC-2010
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 265 |
|
|
GANGA NAGAR COMMODITY LTD.
(PAN:AAACT8903C)
(Member : BSE/NSE)
|
|
|
ASSOCIATED WITH A PLATFORM PROVIDING REFERENCES TO RETURNS/PERFORMANCE OF ALGORITHMIC TRADING STRATEGIES VIOLATING CLAUSE 4.2 OF SEBI CIRCULAR DATED 02/09/2022 AND CLAUSES A(2)AND A(5) OF SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF TRADE TRON AND OTHER ALGO PLATFORMS
|
IMPOSED PENALTY RS.2,00,000
25-MAR-2026
|
|
| 266 |
|
|
GAUTAMBHAI NANUBHAI JHAVERI,M/S
(PAN:ADAPJ5993J)
(Member : ASE)
|
|
|
|
GAUTAM NANUBHAI JHAVERI
PAN:ADAPJ5993J
|
|
FACILITATED ALLOTMENT OF PREFERENTIAL SHARES TO CERTAIN ENTITIES WITHOUT INFUSION OF MONEY AND SUBSEQUENTLY CREATED ARTIFICIAL MARKET BY TRADING ON BEHALF OF PROMOTERS & RELATED ENTITIES TO OFFLOAD THEIR SHARES AT INFLATED PRICE TO GENUINE INVESTORS IN MATTER OF OJAS TECHNOCHEM PRODUCTS 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 & SUB-BROKERS) REGULATIONS, 1992 IN MATTER OF OJAS TECHNOCHEM PRODUCTS LTD.
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 22-OCT-2014 TO 21-APR-2015
01-OCT-2014
|
|
| 267 |
|
|
GENUINE STOCK BROKERS PVT.LTD.
(PAN:AAACG7970J)
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 7 READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF READYMADE STEEL INDIA LTD. (NOW KNOWN AS KRIDHAN INFRA LTD.)
|
IMPOSED PENALTY RS.10,00,000
10-SEP-2015
|
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
|
| 268 |
|
|
GEOJIT FINANCIAL SERVICES LTD.
(PAN:AABCG1935E)
(Member : BSE/NSE)
|
|
|
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS AND DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 7 READ WITH CLAUSES A(1) AND A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
IMPOSED PENALTY RS.2,00,000
30-MAY-2018
|
|
| 269 |
|
|
GEOMETRY VANIJYA PVT.LTD.
(PAN:AACCG6000B)
(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 04/03/2016 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 17/02/2016 AND DIRECTED SEBI TO INITIATE PROCEEDINGS IN ACCORDANCE WITH LAW AND PASS ORDER AS IT DEEMED FIT. NO COSTS
SEBI VIDE ITS ORDER DATED 12/08/2016 BROUGHT ON RECORD THAT TRADING MEMBER HAVE VOLUNTARILY CLOSED THE BUSINESS AT BSE EQUITY DERIVATIVES SEGMENT W.E.F. 13/04/2016
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
|
| 270 |
|
|
GEPL CAPITAL PVT.LTD.
(Member : NSE/BSE/MCX)
|
|
|
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING CLAUSES A(1), A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 7 OF SEBI (STOCK BROKERS) REGULATIONS, 1992 (AFTER AMENDMENT, REGULATION 9(F) OF SEBI (STOCK BROKERS AND SUB BROERS) (SECOND AMENDMENT) REGULATIONS, 2013
DID NOT ADHERE TO VARIOUS SEBI CIRCULARS
DID NOT ADHERE TO NSE CIRCULAR NO.NSE/INSP/2010/91 DATED 03/02/2010
|
IMPOSED PENALTY RS.4,00,000
29-JUL-2016
|
PENALTY RS.4 LACS PAID ON 04/08/2016 VIDE DD NO.487752 DATED 01/08/2016 DRAWN ON HDFC BANK LTD.
|
| 271 |
|
|
GIRIRAJ STOCK BROKING PVT.LTD.
(PAN:AACCG7581R)
(Member : BSE)
|
|
|
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
|
| 272 |
|
|
GKK CAPITAL MARKETS PVT.LTD.
(PAN:AAACG9906E)
(Member : CSE)
|
|
|
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS AND DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING SECTION 12(1) OF THE SEBI ACT, REGULATION 11 (1) OF BROKER REGULATIONS AND REGULATION 7 READ WITH CLAUSES A(1) AND A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF DIVINE ENTERTAINMENT LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 18-NOV-2016 TO 24-NOV-2016
27-OCT-2016
|
|
| 273 |
|
|
GKK CAPITAL MARKETS PVT.LTD.
(PAN:AAACG9906E)
(Member : CSE)
|
|
|
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 ORIENT TRADE LINK LTD.
AIDED AND ABETED ITS CLIENTS IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH MATCHING TRADES IN SCRIP OF ORIENT TRADELINK LTD.
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 21-AUG-2013 TO 20-SEP-2013
31-JUL-2013
|
|
| 274 |
|
|
GLOBE CAPITAL MARKET LTD.
(PAN:AAACG4267G)
(Member : BSE/NSE/LSE)
|
|
|
ALLEGED DISCREPANCIES IN KNOW YOUR CLIENT FORMS
DEALT WITH UN-REGISTERED SUB-BROKERS
ALLEGED INSTALLATION OF TERMINALS AT UNAUTHORIZED PLACES
ALLEGED INDULGENCE IN SENDING SMS AND EMAILS OF BEARISH OUTLOOK TO CLIENTS
ALLEGED VIOLATION OF CODE OF CONDUCT FOR STOCK BROKERS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,00,000 VIDE CONSENT ORDER)
22-DEC-2008
|
|
| 275 |
|
|
GOLDCREST CAPITAL MARKETS LTD.
(Member : BSE/NSE)
|
|
|
|
TUSHAR T.TANNA
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE WHILE DEALING IN SCRIP OF SUNEARTH CERAMICS LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
01-FEB-2010
|
|
| 276 |
|
|
GOODWILL WEALTH MANAGEMENT PVT.LTD.
(PAN:AAECG9766E)
(Member : BSE/NSE/ICEX/MCX/NCDEX)
|
|
|
DID NOT CONNECT ITS CRITICAL SERVERS WITH STOCK EXCHANGES LOGGING AND MONITORING MECHANISM (LAMA) SYSTEM VIOLATING CLAUSE 5 OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKER) REGULATIONS 1992 READ WITH CLAUSE 5(I) OF NSE CIRCULAR NSE/COMP/54876 DATED 16/12/2022
DID NOT CONDUCT DR DRILL ON LIVE TRADING DAY
SET THRESHOLD AT 80% OF CAPACITY FOR GENERATION OF ALERTS (GIGA DMZ1 AND OMS-APP2)IN PLACE OF 70% OF INSTALLED CAPACITY
DID NOT SUBMIT ANY SOFTWARE TESTING FRAMEWORK AND AUTOMATED TEST ENVIRONMENT THAT IN PLACEFOR TESTING ANY UPDATE/CHANGE/DEVELOPMENT IN SOFTWARE
DID NOT HAVE ITS OWN BCP-DR POLICY AND CHANGE MANAGEMENT POLICY IN PLACE
DID NOT CONSTITUTE ITS INCIDENT AND RESPONSE TEAM/CRISIS MANAGEMENT
DID NOT EXPLAIN INCIDENT RESPONSE MANAGEMENT, THREAT DETECTION TOOLS, ESCALATION MATRIX PROCESS
DID NOT FURNISH LIST OF USERS WHO HAVE BEEN GRANTED ACCESS TO THEIR CRITICAL SERVERS
DID NOT MAINTAIN AND STORES LOGS OF ITS FIREWALLS SYSTEM AS REQUIRED DURING INSPECTION
BOARD OF DIRECTORS DID NOT DO ANNUAL REVIEW OF CYBER SECURITY AND CYBER RESILIENCE POLICY
DID NOT INSTRUCT ITS THIRD PARTY VENDOR WHO MANAGES ITS SYSTEM TO ADHERE TO POLICY/GUIDELINES OF CYBER SECURITY AND CYBER RESILIENCE FRAMEWORK ISSUED BY SEBI
|
IMPOSED PENALTY RS.5,00,000
18-JUL-2025
|
|
| 277 |
|
|
GRESHMA SHARES & STOCKS LTD.
(PAN:AADCG5220E)
(Member : NSE/BSE/MCX)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO THE STATUTORY REQUIREMENTS VIOLATING REGULATION 9(F) READ WITH CLAUSES A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
IMPOSED PENALTY RS.10,00,000
23-DEC-2015
|
SEBI VIDE ITS NOTICE DATED 27/08/2019 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 ORDER DATED 30/08/2019 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 27/08/2019
SAT: SAT VIDE ITS ORDER DATED 06/11/2019 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY AMOUNT RS.10 LACS FROM RS.20 LACS
SAT: SAT VIDE ITS ORDER DATED 04/12/2019 DISMISSED AS WITHDRAWN
|
| 278 |
|
|
GRM SECURITIES PVT.LTD.
(PAN:AACCG9139R)
(Member : NSE/MSEI)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH SELF-TRADES IN CURRENCY DERIVATIVE SEGMENT
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS AND DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING CLAUSES A(1), A(2) AND A(4) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATIONS 9(F) AND 26(XI), (XV), (XVI) & (XX) OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
|
IMPOSED PENALTY RS.5,00,000
28-AUG-2020
|
|
| 279 |
|
|
GUINESS SECURITIES LTD.
(PAN:AAACG9843L
CIN:CIN U51226WB1986PLC222771)
(Member : BSE)
|
|
|
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 20/02/2016 QUASHED AND SET ASIDED IMPUGNED EX-PARTE AD-INTERIM ORDER DATED 17/02/2016. 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
|
| 280 |
|
|
H J SECURITIES PVT.LTD.
(PAN:AAACH5600E)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF EDSERV SOFTSYSTEMS LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT COMPLYING WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1), A(3) 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 EDSERV SOFTSYSTEMS LTD.
|
IMPOSED PENALTY RS.3,50,000
07-FEB-2012
|
SAT: APPEAL FAILED AND DISMISSED 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. |
| |
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| Page 14 of 40
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