| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 281 |
|
DRESDNER KLEINWORT BENSON SECURITIES (INDIA) LTD.
(Member : NSE/BSE)
|
|
|
CREATED ARTIFICIAL MARKET
FUNDED KP GROUP AND TRADES/SALE TRANSACTIONS EXECUTED ON THEIR BEHALF ON THE STOCK EXCHANGES WERE NON-GENUINE TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-APR-2004 TO 28-OCT-2005
29-APR-2004
|
|
| 282 |
|
|
DRESDNER KLEINWORT WASSERSTEIN SECURITIES (INDIA) PVT.LTD.
(Member : BSE/NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH MATCHED AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF DSQ SOFTWARE LTD.
VIOLATED CODE OF CONDUCT AS PRESCRIBED UNDER STOCK BROKER REGULATIONS
DID NOT EXERCISE DUE CARE AND DILIGENCE WHILE EXECUTING TRADES FOR CLIENTS IN SCRIP OF DSQ SOFTWARE LTD.
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 17-MAY-2007
26-APR-2007
|
SAT: APPEAL DISMISSED AS WITHDRAWN
|
| 283 |
|
|
DSE FINANCIAL SERVICES LTD.
(PAN:AABCD7233N)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KONKAN TYRES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-SEP-2005 TILL FURTHER ORDERS
29-SEP-2005
|
|
| 284 |
|
|
DSP MERRILL LYNCH LTD.
(PAN:AAACD0535G)
(Member : BSE/OTC/NSE)
|
|
|
ALLEGED INDULGENCE IN EXECUTION OF SYNCHRONIZED/STRUCTURED TRANSACTIONS IN SCRIP OF BHARTI HEALTHCARE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.30,00,000 VIDE CONSENT ORDER)
18-NOV-2008
|
|
| 285 |
|
|
DYNAMIC STOCK BROKING (INDIA) PVT.LTD.
(PAN:AABCD2889E)
(Member : BSE/NSE)
|
|
|
FACILITATED MR.NIRMAL KOTECHA TO CREATE ARTIFICIAL VOLUME TO OFFLOAD HIS STAKE IN PYRAMID SAIMIRA THEATRE LTD.
|
IMPOSED PENALTY RS.2,00,000
07-NOV-2012
|
|
| 286 |
|
|
ECONO BROKING PVT.LTD.
(PAN:AADCB8817A)
(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
|
|
| 287 |
|
|
EMKAY GLOBAL FINANCIAL SERVICES LTD.
(Member : BSE/NSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET & PRICE MANIPULATION THROUGH SYNCHRONISED TRANSACTIONS IN SCRIP OF AAREY DRUGS & PHARMACEUTICALS LTD.
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE AS REQUIRED UNDER CLAUSE A (2) OF CODE OF CONDUCT FOR STOCK BROKERS AS SPECIFIED UNDER REGULATION 7 OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF AAREY DRUGS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.11,00,800 VIDE CONSENT ORDER)
05-JUN-2015
|
|
| 288 |
|
|
EMKAY SHARE & STOCK BROKERS LTD.
(Member : NSE)
|
|
|
PASSED SENSITIVE INFORMATION TO MANISH INNANI OF PRAYAS SECURITIES PVT.LTD. AND RAJEEV SHROFF OF EMKAY SHARES & STOCK BROKERS PVT.LTD. REGARDING FII DEALINGS IN SHARES OF BILT
|
DIRECTED INTERNAL ENQUIRY TO BE CONDUCTED
01-OCT-2007
|
|
| 289 |
|
|
EMMKAY SHARE & STOCK BROKERS LTD.
(Member : DSE)
|
|
|
IRREGULARITIES IN DEALING IN SCRIP OF VATSA WORLD LTD.
VIOLATED SEBI CODE OF CONDUCT
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 21-SEP-2004 TO 20-JAN-2005
31-AUG-2004
|
|
| 290 |
|
|
ENPEE ENTERPRISES PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRADING IN SCRIP OF NEDUNGADI BANK LTD.
ALLEGED VIOLATION OF REGULATION 7 READ WITH CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF NEDUNGADI BANK LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000, LEGAL EXPENSES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 06-OCT-2009 TO 28-AUG-2010
01-OCT-2009
|
|
| 291 |
|
|
ENPEE ENTERPRISES PVT.LTD.
(Member : BSE)
|
|
|
|
C.K.SHAH
|
|
|
NILESH M.POPAT
|
|
|
SHILPA M.POPPAT
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET WITH R.K.BANTHIA AND ASSOCIATES IN SCRIP OF NEDUNGADI BANK LTD.
INDULGED IN CIRCULAR TRADING WITH R.K.BANTHIA AND ASSOCIATES IN THE CASE OF NEDUNGADI BANK LTD.
|
DIRECTED ENQUIRY TO BE CONDUCTED
24-JUL-2003
|
|
| 292 |
|
|
ENPEE ENTERPRISES PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF ROBINSON WORLDWIDE TRADE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,70,890 VIDE CONSENT ORDER)
23-DEC-2009
|
|
| 293 |
|
|
EQUISEARCH BROKING PVT.LTD.
(Member : BSE)
|
|
|
INDULGED IN INTRODUCTION OF UNLISTED SHARES INTO MARKET AND IN SYNCHRONIZED TRANSACTIONS IN SCRIP OF DESIGN AUTO SYSTEMS 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 AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF DESIGN AUTO SYSTEMS LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 28-SEP-2012 TO 04-OCT-2012
07-SEP-2012
|
|
| 294 |
|
|
ESHA SECURITIES LTD.
(CIN:U99999DL1994PLC059396
PAN:AAACE2862P)
(Member : DSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED/STRUCTURED TRANSACTIONS IN SCRIP OF BRUSHMAN (INDIA) 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 BRUSHMAN (INDIA) LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 14-MAR-2010 TO 13-AUG-2010
20-FEB-2010
|
|
| 295 |
|
|
ESS ESS INTERMEDIARIES PVT.LTD.
(PAN:AAACE7722Q)
(Member : ASE,Sub-Broker of ASE CAPITAL MARKETS LTD., Member : BSE)
|
|
|
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 FOR SUB-BROKERS UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF ADANI EXPORTS LTD. (NOW KNOWN AS ADANI ENTERPRISES LTD.)
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, CIRCULAR AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF ADANI EXPORTS LTD.
|
IMPOSED PENALTY RS.3,00,000
30-DEC-2010
|
|
| 296 |
|
|
ESS ESS INTERMEDIARIES PVT.LTD.
(PAN:AAACE7722Q)
(Sub-Broker of ASE CAPITAL MARKETS LTD., Member : BSE,Member : ASE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF ADANI EXPORTS 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 FOR SUB-BROKERS UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF ADANI EXPORTS LTD. (NOW KNOWN AS ADANI ENTERPRISES LTD.)
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-MAY-2012 TO 23-JUL-2012
SUSPENDED REGISTRATION AS SUB-BROKER FROM 24-MAY-2012 TO 23-JUL-2012
03-MAY-2012
|
|
| 297 |
|
|
EUREKA STOCK & SHARE BROKING SERVICES LTD.
(PAN:AAACE5410B)
(Member : BSE/NSE/OTC)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DIRECTED BSE LTD.TO SUBMIT DETAILED REPORT IN MATTER OF ALKA SECURITIES LTD.
28-JUL-2009
|
|
| 298 |
|
|
EXCEL STOCK BROKING PVT.LTD.
(PAN:AABCE8639D)
(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
|
|
| 299 |
|
|
EXCLUSIVE SECURITIES LTD.
(PAN:AAACE4332L)
(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
|
|
| 300 |
|
|
EXPRESS SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF ROOFIT INDUSTRIES LTD.
ALLEGED FAILURE IN MAINTENANCE OF 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 AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF ROOFIT INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER) FROM 21-DEC-2009 TO 20-JAN-2010
15-DEC-2009
|
|
| 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 15 of 62
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