| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 281 |
|
FORD BROTHERS CAPITAL SERVICES LTD.
(PAN:AAACF0757E)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF NANDAN EXIM LTD.
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF NANDAN EXIM 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 UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF NANDAN EXIM LTD.
|
IMPOSED PENALTY RS.20,00,000
14-MAY-2013
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SAT: SAT VIDE ITS ORDER DATED 23/04/2014 SET ASIDED PENALTY OF RS.10 LACS IMPOSED UNDER SECTION 15HA OF SEBI ACT. NO COSTS
SEBI VIDE ITS ORDER DATED 22/10/2014 ORDERED TO SALE OF THE ATTACHED EQUITY SHARES HELD BY DEFAULTER
|
| 282 |
|
|
FORT SHARE BROKING PVT.LTD.
(CIN:U67120WB2005PTC106224
PAN:AAACF9358F)
(Member : BSE/NSE)
|
|
|
DELAY IN SETTLING OF RUNNING ACCOUNTS OF CLIENTS
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
|
IMPOSED PENALTY RS.3,00,000
30-JAN-2020
|
|
| 283 |
|
|
FRIENDS PORTFOLIO PVT.LTD.
(Member : DSE)
|
|
|
|
BISHAN CHAND AGGARWAL
|
|
|
MANOJ KUMAR AGGARWAL
|
|
|
MEENU AGGARWAL
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
|
IMPOSED PENALTY RS.1,00,000
28-FEB-2005
|
SEBI VIDE ITS NOTICE DATED 03/02/2015 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
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 29/10/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.3,50,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 284 |
|
|
FRR SHARES & SECURITIES LTD.
(PAN:AABCF5477E)
(Depository Participants : CDSL,Member : NSE/BSE)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES
DISCREPANCIES IN STOCK RECONCILIATION
DISCREPANCIES IN CLIENT REGISTRATION PROCESS (KYC, KRA AND CKYCR PROCESS)
MISMATCHED CLIENTS EMAIL IDS AND/OR MOBILE NUMBERS
DISCREPANCIES IN CALCULATION OF NET WORTH
MADE INCORRECT AND/OR DID NOT REPORT ENHANCED SUPERVISION OF DATA TO STOCK EXCHANGES
DID NOT REPORT PROPRIETARY, ERROR ACCOUNT AND CLIENT ACCOUNT CLIENT CODES APPEARING IN TRIAL BALANCE
DID NOT PROVIDE CORRECT DATA TO STOCK EXCHANGE UNDER RISK-BASED SUPERVISION
TRANSFERRED SECURITIES OF CREDIT BALANCE CLIENTS TO CLIENT’S UNPAID SECURITIES ACCOUNT
ENTERED INTO AN ARRANGEMENT FOR EXTENDING LOANS OR GIVING DEPOSITS/ADVANCES TO ITS GROUP COMPANY NOT IN CONNECTION WITH OR INCIDENTAL TO OR CONSEQUENTIAL UPON SECURITIES/ COMMODITY DERIVATIVES BUSINESS
PASSED PENALTY ON SHORT REPORTING OF MARGIN
DID NOT ADHERE TO CORPORATE GOVERNANCE COMPLIANCE BY NOT PRESENTING TO BOARD/COMMITTEE REGARDING INTERNAL CONTROLS, INTERNAL AUDIT REPORTS, INSPECTION REPORTS, RELATED PARTY TRANSACTIONS, BREACHES IN BACK OFFICE SOFTWARE, DELAY IN SUBMISSION OF DATA TO EXCHANGE DURING INSPECTION
DID NOT HAVE CYBER SECURITY AND CYBER RESILIENCE
DID NOT REDRESS INVESTOR COMPLAINTS
|
IMPOSED PENALTY RS.11,00,000
13-MAY-2024
|
SAT: SAT VIDE ITS ORDER DATED 27/09/2024 CONDONED THE DELAY OF 60 DAYS IN FILING OF APPEAL. GRANTED RESPONDENT SIX WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 25/11/2024 GRANTED APPELLANT TWO WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 20/01/2025 APPELLANT SOUGHT THREE WEEKS TO FILE REJOINDER
|
| 285 |
|
|
FRR SHARES & SECURITIES LTD.
(PAN:AABCF5477E)
(Depository Participants : CDSL,Member : NSE/BSE)
|
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
MADE INCORRECT AND/OR DID NOT REPORT ENHANCED SUPERVISION OF DATA TO STOCK EXCHANGES
PROVIDED WRONG NOMENCLATURE OF ACCOUNTS
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
PROVIDED EXPOSURE TO CLIENTS HAVING DEBIT BALANCE
MAPPED SINGLE EMAIL ID AND MOBILE NUMBER FOR MULTIPLE CLIENTS
REPORTED WRONG NET WORTH TO EXCHANGE
DID NOT PROVIDE CORRECT DATA TO STOCK EXCHANGE UNDER RISK-BASED SUPERVISION
ALLOTTED MULTIPLE LOGIN IDS TO SINGLE DEALERS
|
IMPOSED PENALTY RS.5,00,000
23-JUN-2022
|
|
| 286 |
|
|
FYERS SECURITIES PVT.LTD.
(PAN:AADCF5513D)
(Member : MCX)
|
|
|
MAPPED SINGLE EMAIL ID AND MOBILE NUMBER FOR MULTIPLE CLIENTS
DISCREPANCIES IN RESPECT TO MOBILE NUMBER IN UCC DETAILS UPDATED TO STOCK EXCHANGE
DISCREPANCIES IN CLIENT’S REGISTRATION DOCUMENTS AND CLIENT ONBOARDING PROCESS FOR ONLINE CLIENTS
DID NOT TAKE APPROVAL FROM STOCK EXCHANGES FOR RUNNING CLIENT INDUCEMENT CONTEST/CHALLENGE DURING UNDER IP UNDER ADVERTISEMENT CODE
|
IMPOSED PENALTY RS.5,00,000
28-MAR-2024
|
|
| 287 |
|
|
FYERS SECURITIES PVT.LTD.
(PAN:AADCF5513D)
(Member : BSE/NSE)
|
|
|
DID NOT SUBMIT DOCUMENTARY EVIDENCE FOR QUARTERLY MONITORING OF PEAK LOAD IN CALENDAR QUARTERS
DID NOT CONDUCT DISASTER RECOVERY (DR) DRILL FOR FULL TRADING DAY
DID NOT REVIEW IMPLEMENTATION OF BUSINESS CONTINUITY PLANNING (BCP) AND DISASTER RECOVERY SITE (DRS) POLICY OF GOVERNING BOARD OF MEMBERS
DID NOT SUBMIT ANY DOCUMENTARY EVIDENCE FOR CONSTITUTION OF INCIDENT RESPONSE TEAM (LRT) AND CRISIS MANAGEMENT TEAM (CMT)
|
IMPOSED PENALTY RS.4,00,000
13-FEB-2025
|
|
| 288 |
|
|
GALAXY BROKING LTD.
(PAN:AABCG5457B)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF HIT KIT GLOBAL SOLUTIONS LTD. (FORMERLY KNOWN AS SUN BEAM INFOTECH LTD.)
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLY 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 HIT KIT GLOBAL SOLUTIONS LTD. (FORMERLY KNOWN AS SUN BEAM INFOTECH LTD.)
|
IMPOSED PENALTY RS.5,00,000
30-NOV-2010
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 07/07/2014 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 07/07/2014
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
|
| 289 |
|
|
GALAXY BROKING LTD.
(PAN:AABCG5457B)
(Member : BSE)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
|
IMPOSED PENALTY RS.20,000
17-SEP-2009
|
|
| 290 |
|
|
GALAXY BROKING LTD.
(PAN:AABCG5457B)
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND NOT COMPLIED WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SARANG CHEMICALS LTD.
|
IMPOSED PENALTY RS.1,00,000
25-MAR-2010
|
INCLUDED IN SEBI LIST DATED 30/06/2010, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 291 |
|
|
GALAXY BROKING LTD.
(PAN:AABCG5457B)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED/CIRCULAR TRANSACTIONS IN SCRIP OF WELLWORTH OVERSEAS LTD.
DID NOT MAINTAIN INTEGRITY, DID NOT EXERCISE DUE SKILL AND CARE, 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 WELLWORTH OVERSEAS LTD.
|
IMPOSED PENALTY RS.4,00,000
24-AUG-2009
|
SAT: APPEAL FAILED AND DISMISSED LEAVING PARTIES TO BEAR THEIR OWN COSTS
INCLUDED IN SEBI LIST DATED 30/09/2010, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 292 |
|
|
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 PRRANETA INDUSTRIES LTD.
|
IMPOSED PENALTY RS.50,000
24-MAY-2012
|
|
| 293 |
|
|
GALAXY BROKING LTD.
(PAN:AABCG5457B)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR/SYNCHRONIZED/STRUCTURED DEALS AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF SYSTEL INFOTECH 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 UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SYSTEL INFOTECH LTD.
|
IMPOSED PENALTY RS.2,00,000
09-FEB-2011
|
INCLUDED IN SEBI LIST DATED 30/09/2013, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 294 |
|
|
GALAXY BROKING LTD.
(PAN:AABCG5457B)
(Member : BSE)
|
|
|
AIDED AND ABETED ITS CLIENTS IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF T.SPIRITUAL WORLD 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 UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF T.SPIRITUAL WORLD LTD.
|
IMPOSED PENALTY RS.1,75,000
04-SEP-2012
|
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
|
| 295 |
|
|
GALAXY BROKING LTD.
(PAN:AABCG5457B)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED/CIRCULAR TRANSACTIONS IN SCRIP OF K SERA SERA PRODUCTION LTD.
VIOLATED CODE OF CONDUCT AS PRESCRIBED UNDER STOCK BROKER REGULATIONS
|
IMPOSED PENALTY RS.4,00,000
30-JUN-2009
|
SAT: IMPUGNED ORDER DATED 04/06/2009 SET ASIDE AND CASE REMANDED TO AO WITH DIRECTION TO FURNISH RELEVANT ORDER LOGS AND TRADE LOGS VIDE ORDER DATED 23/03/2010
|
| 296 |
|
|
GALAXY BROKING LTD.
(PAN:AABCG5457B)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED/CIRCULAR TRANSACTIONS IN SCRIP OF K SERA SERA PRODUCTION 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 K SERA SERA PRODUCTIONS LTD.
|
IMPOSED PENALTY RS.3,00,000
18-JAN-2010
|
INCLUDED IN SEBI LIST DATED 30/06/2010, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 297 |
|
|
GALAXY BROKING LTD.
(PAN:AABCG5457B)
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE EXECUTING TRANSACTIONS IN SCRIP OF MONALISA INFOTECH LTD.
|
IMPOSED PENALTY RS.50,000
23-MAR-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
|
| 298 |
|
|
GALAXY BROKING LTD.
(PAN:AABCG5457B)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR TRANSACTIONS/REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF GRAVITY INDIA LTD.
FAILED IN MAINTAINING INTEGRITY, 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 GRAVITY INDIA LTD.
|
IMPOSED PENALTY RS.4,00,000
27-NOV-2009
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
INCLUDED IN SEBI LIST DATED 30/06/2012, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 299 |
|
|
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
|
| 300 |
|
|
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
|
| 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 48
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