| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 261 |
|
NAKAMICHI SECURITIES LTD.
(PAN:AABCN0733D)
(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
|
|
| 262 |
|
|
NAMAN SECURITIES & FINANCE PVT.LTD.
(PAN:AAACN1917G)
(Member : NSE/BSE)
|
|
|
ALLEGED INDULGENCE IN INDIRECT FUND-BASED ACTIVITIES
ALLEGED INDULGENCE IN MARKET MANIPULATION AND PRICE MANIPULATION THROUGH MANIPULATIVE TRADES IN SCRIP OF MIRC ELETRONICS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
12-AUG-2010
|
|
| 263 |
|
|
NAMAN SECURITIES & FINANCE PVT.LTD.
(PAN:AAACN1917G)
(Member : NSE/BSE)
|
|
|
ALLEGED INDULGENCE IN INDIRECT FUND-BASED ACTIVITIES
ALLEGED INDULGENCE IN MARKET MANIPULATION AND PRICE MANIPULATION THROUGH MANIPULATIVE TRADES IN SCRIP OF PRUDENTIAL PHARMACEUTICALS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.30,00,000 VIDE CONSENT ORDER)
12-AUG-2010
|
|
| 264 |
|
|
NARAYAN CAPITAL SERVICES PVT.LTD.
(PAN:AACCK5633Q)
(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
|
|
| 265 |
|
|
NAVJEEVAN EQUITY BROKING PVT.LTD.
(PAN:AACCG2788C)
(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
|
|
| 266 |
|
|
NAYAN M VALA SECURITIES PVT.LTD.
(PAN:AACCN3191Q)
(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
|
|
| 267 |
|
|
NCJ SHARE & STOCK BROKERS LTD.
(PAN:AABCN3702G)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR TRANSACTIONS IN SCRIP OF G.G.AUTOMOTIVE GEARS LTD.
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, NOT EXERCISING DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLYING 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 G.G.AUTOMOTIVE GEARS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,00,000 VIDE CONSENT ORDER)
14-FEB-2012
|
|
| 268 |
|
|
NDA SECURITIES LTD.
(Member : BSE/OTC/NSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN VARIOUS SCRIPS
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(2),A(3) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
30-JAN-2008
|
|
| 269 |
|
|
NIRMAL BANG SECURITIES PVT.LTD.
(PAN:AAACN7369L)
(Member : BSE/NSE)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
22-FEB-2011
|
|
| 270 |
|
|
NIRMAL BANG SECURITIES PVT.LTD.
(PAN:AAACN7369L)
(Member : BSE/NSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUN INFOWAYS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,00,000 VIDE CONSENT ORDER)
15-JUN-2009
|
|
| 271 |
|
|
NIRMAN SHARE BROKERS PVT.LTD.
(PAN:AABCN3007C)
(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
|
|
| 272 |
|
|
NORTHEAST BROKING SERVICES LTD.
(Depository Participants : CDSL/NSDL,Member : BSE/NSE)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE, AND DILIGENCE WHILE ACCEPTING DEMAND DRAFTS FROM CLIENTS RESULTING IN MISUSE OF DEMAND DRAFTS BY EMPLOYEES
ALLEGED WRONGFUL CREDIT OF PAYMENTS RECEIVED FROM ONE CLIENT TO ANOTHER CLIENT
ALLEGED FAILURE IN ENSURING DELIVERY OF WEB LOGIN IDS AND PASSWORDS TO CLIENTS RESULTING IN NON-RECEIPT OF ELECTRONIC CONTRACT NOTES BY CLIENTS
ALLEGED FAILURE IN REPORTING TO NSE REGARDING FUNDING OF CLIENTS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.9,00,000 VIDE CONSENT ORDER)
03-FEB-2011
|
|
| 273 |
|
|
NOUVELLE SECURITIES PVT.LTD.
(PAN:AAACN0211F)
(Member : DSE)
|
|
|
ALLEGED INDULGENCE IN PRICE MANIPULATION IN SCRIP OF MILLENNIUM INFOCOM TECHNOLOGIES LTD.
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(2) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF MILLENIUM INFOCOM TECHNOLOGIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
22-OCT-2010
|
|
| 274 |
|
|
NS BROKING PVT.LTD.
(PAN:AACCN4934F)
(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
|
|
| 275 |
|
|
O.P.GUPTA & CO.
(Member : LSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR AND FICTITIOUS TRADING VIOLATING SECTION 16 OF SECURITES CONTRACTS (REGULATION) ACT, 1956 IN SCRIP OF SRU SHARE BROKERS LTD.
ALLEGED INDULGENCE IN IRREGULAR AND FICTITIOUS TRANSACTIONS IN SCRIPS OF SG GLOBAL EXPORTS LTD. AND SRU SHARE BROKERS LTD.
ALLEGED NON COMPLIANCE WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSE A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SG GLOBAL EXPORTS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 09-DEC-2009 TO 08-DEC-2010
06-DEC-2009
|
|
| 276 |
|
|
ODYSSEY SECURITIES PVT.LTD.
(PAN:AABCO1366R)
(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
|
|
| 277 |
|
|
ONELIFE CAPITAL ADVISORS LTD.
(PAN:AAACO9540L)
(Member : BSE)
|
|
|
ALLEGED VIOLATION OF REGULATION 6 (GG) OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992 READ WITH SCHEDULE II OF SEBI (INTERMEDIARIES) REGULATIONS, 2008
ALLEGED VIOLATION OF REGULATION 5 (E) READ WITH 5A OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.16,80,000 VIDE CONSENT ORDER)
09-FEB-2017
|
|
| 278 |
|
|
OPG SECURITIES PVT.LTD.
(PAN:AAACO1081C)
(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
|
|
| 279 |
|
|
ORION STOCKS LTD.
(PAN:AABCO0296Q)
(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
|
|
| 280 |
|
|
P R B SECURITIES PVT.LTD.
(PAN:AABCP5425G)
(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
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 14 of 22
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