| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 301 |
|
FAIR INTERMEDIATE INVESTMENT PVT.LTD.
(PAN:AAACF7530K)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PFL INFOTECH LTD.
|
RESTRAINED FROM EXECUTING TRADES IN PROPRIETARY ACCOUNT FROM 28-NOV-2022 TO 27-DEC-2022
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-NOV-2022
|
SAT: SAT VIDE ITS ORDER DATED 07/06/2023 DISMISSED THE APPEAL. NO COSTS
|
| 302 |
|
|
FINCAP PORTFOLIO LTD.
(Member : NSE)
|
|
|
ALLEGED CREATION OF ARTIFICIAL VOLUME/SYNCHRONIZED TRADES, SELF TRADES AND CROSS DEALS IN CONNIVANCE WITH OTHER BROKERS IN SCRIP OF ALPS INDUSTRIES LIMITED
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
30-JAN-2008
|
|
| 303 |
|
|
FINCAP PORTFOLIO LTD.
(Member : NSE)
|
|
|
VIOLATED REGULATIONS 4(A), 4(B), 4(C) AND 4(D) OF SEBI (PFUTP) REGULATIONS, 1995
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH MISUSING OF SCREEN BASED TRADING
INDULGED IN SYNCHRONISED TRANSACTIONS AND STRUCTURED DEALS IN SCRIP OF ASTRASENECA PHARMA INDIA LTD.
AIDED AND ABETTED ITS CLIENT IN CREATION OF ARTIFICIAL MARKET AND ENTERED INTO NON-GENUINE TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-JAN-2007 TO 23-FEB-2007
04-JAN-2007
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000, LEGAL EXPENSES RS.25,000 VIDE CONSENT ORDER)
28-NOV-2007
|
SAT: ORDER SET ASIDE AS APPLICANT PAID RS.2,00,000 TOWARDS SETTLEMENT CHARGES AND RS.25,000 TOWARDS LEGAL EXPENSES AS PER CONSENT ORDER
|
| 304 |
|
|
FINDOC INVESTMART PVT.LTD.
(PAN:AABCF8332L)
(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
|
|
| 305 |
|
|
FINQUEST SECURITIES PVT.LTD.
(PAN:AABCB7028F)
(Member : NSE/BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF ASIAN GRANITO INDIA LTD.
|
DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 18-JAN-2022 TO 17-MAR-2022
18-JAN-2022
|
|
| 306 |
|
|
FINQUEST SECURITIES PVT.LTD.
(PAN:AABCB7028F)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF ASIAN GRANITO INDIA LTD.
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 7 (NOW REGULATION 9) OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF ASIAN GRANITO INDIA LTD.
|
IMPOSED PENALTY RS.12,00,000
29-MAR-2022
|
|
| 307 |
|
|
FINQUEST SECURITIES PVT.LTD.
(PAN:AABCB7028F)
(Member : BSE/NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR TRADING IN SCRIP OF SESHASAYEE PAPER & BOARDS LTD.
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SESHASAYEE PAPER & BOARDS LTD.
|
IMPOSED PENALTY RS.2,00,000
27-APR-2020
|
|
| 308 |
|
|
FIRST CUSTODIAN FUND (INDIA) LTD.,THE
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF SPANCO TELESYSTEMS & SOLUTIONS LTD.
VIOLATED REGULATION 7 READ WITH CODE OF CONDUCT AS SPECIFIED IN SCHEDULE 11 OF STOCK BROKER REGULATION
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 19-APR-2007 TO 03-MAY-2007
29-MAR-2007
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,50,000, LEGAL EXPENSES RS.25,000 VIDE CONSENT ORDER)
20-DEC-2007
|
SAT: ORDER SET ASIDE AS APPLICANT AGREED TO PAY RS.1,75,000 AS PER CONSENT ORDER
|
| 309 |
|
|
FIRST CUSTODIAN FUND (INDIA) LTD.,THE
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF BPL LTD., VIDEOCON INTERNATIONAL LTD. AND STERLITE INDUSTRIES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 05-JUN-2014 TO 18-JUN-2014
15-MAY-2014
|
SAT: SAT VIDE ITS ORDER DATED 07/03/2016 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 15/05/2014 AND RESTORED THE MATTER TO FILE OF ATM TO PASS FRESH ORDERS ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
|
| 310 |
|
|
FIRST CUSTODIAN FUND (INDIA) LTD.,THE
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF NEDUNGADI BANK LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE DURING TRADE IN SCRIP OF NEDUNGADI BANK LTD.
VIOLATED CODE OF CONDUCT AS PRESCRIBED UNDER STOCK BROKER REGULATIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-MAY-2007 TO 06-AUG-2007
16-APR-2007
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000, LEGAL EXPENSES RS.25,000 VIDE CONSENT ORDER)
26-MAY-2008
|
SAT: AGREED TO PAY RS.10,25,000 AS PER CONSENT ORDER DATED 26/05/2008
|
| 311 |
|
|
FIRST CUSTODIAN FUND (INDIA) LTD.,THE
(Member : NSE)
|
|
|
AIDED AND ABETTED DAMAYANTI GROUP ENTITIES IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF BPL LTD., VIDEOCON INTERNATIONAL LTD. AND STERLITE INDUSTRIES LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
13-OCT-2021
|
|
| 312 |
|
|
FIRST CUSTODIAN FUND (INDIA) LTD.,THE
(Member : NSE)
|
|
|
ALLEGED IRREGULAR TRANSACTIONS IN SCRIP OF BLUE INFORMATION TECHNOLOGY LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
20-NOV-2007
|
|
| 313 |
|
|
FIRST GLOBAL STOCKBROKING PVT.LTD.
(PAN:AAACF0661K)
(Member : NSE/BSE)
|
|
|
|
DEVINA MEHRA
PAN:AAHPM4465E
|
|
|
SHANKAR SHARMA
|
|
ARTIFICIALLY DEPRESSED PRICES OF SELECT SCRIPS DURING MID FEBRUARY AND EARLY MARCH 2001
ARTIFICIALLY DEPRESSED PRICES OF SPECIFIED SCRIPS
VIOLATED SEBI CODE OF CONDUCT
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 12-SEP-2002
CANCELLED REGISTRATION AS PORTFOLIO MANAGER
12-SEP-2002
|
SAT: IMPUGNED ORDER SET ASIDE WITH NO ORDER AS TO COSTS
SAT: DIRECTED APPLICANT TO MAKE FRESH APPLICATION FOR REGISTRATION AS PORTFOLIO MANAGER
|
| 314 |
|
|
FIRST GLOBAL STOCKBROKING PVT.LTD.
(PAN:AAACF0661K)
(Member : NSE)
|
|
|
|
DEVINA MEHRA
PAN:AAHPM4465E
|
|
|
SHANKAR SHARMA
|
|
VIOLATED SEBI ACT, RULES & REGULATIONS
ARTIFICIALLY DEPRESSED PRICES OF SPECIFIED SCRIPS
VIOLATED SEBI CODE OF CONDUCT
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS PORTFOLIO MANAGER FROM 25-MAY-2001 TILL PENDING ENQUIRY
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 25-MAY-2001 TILL PENDING ENQUIRY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-MAY-2001 TILL PENDING ENQUIRY
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-MAY-2001 TILL PENDING ENQUIRY
25-MAY-2001
|
SAT: APPEAL DISMISSED
|
| 315 |
|
|
FIRST SECURITIES PVT.LTD.
(Member : BGSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF HOME TRADE LTD.
FACILITATED TRANSACTIONS ILLEGALLY WITHOUT FOLLOWING "KNOW YOUR CLIENT CRITERIA"
DEFAULTED IN VERIFYING FINANCIAL CAPABILITIES AND NET WORTH OF CLIENTS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 21-DEC-2005 TO 04-JAN-2006
30-NOV-2005
|
|
| 316 |
|
|
FMS SECURITIES LTD.
(Member : BSE)
|
|
|
ACTED IN CONCERT WITH ANOTHER CLIENT TO CREATE ARTIFICIAL MARKET/PRICE RISE THROUGH MATCHING/SYNCHRONISED DEALS IN SCRIP OF HAVELLS INDIA LTD.
|
IMPOSED PENALTY RS.1,00,000
14-MAY-2009
|
|
| 317 |
|
|
FMS SECURITIES LTD.
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS/REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF IND SWIFT LTD.
FAILED IN MAINTAINING INTEGRITY, NOT EXERCISED DUE SKILL AND CARE, 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 IND SWIFT LTD.
|
IMPOSED PENALTY RS.1,00,000
26-AUG-2009
|
|
| 318 |
|
|
FMS SECURITIES LTD.
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND CIRCULAR TRANSACTIONS AND REVERSAL OF TRADE TRANSACTONS IN SCRIP OF KRBL LTD.
DID NOT MAINTAINING 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 KRBL LTD.
|
IMPOSED PENALTY RS.1,00,000
13-NOV-2009
|
|
| 319 |
|
|
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
|
| 320 |
|
|
FORT SHARE BROKING PVT.LTD.
(CIN:U67120WB2005PTC106224
PAN:AAACF9358F)
(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. |
| |
|
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| Page 16 of 62
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