| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
ACUMEN CAPITAL MARKET (INDIA) LTD.
(Member : BSE/NSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF ADANI EXPORTS LTD.
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, NOT EXERCISED 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 ADANI EXPORTS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
26-JUL-2011
|
|
| 22 |
|
|
ACUMEN CAPITAL MARKET (INDIA) LTD.
(Member : BSE/COCSE/NSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR/SYNCHRONIZED TRANSACTIONS IN SCRIP OF SKS LOGISTICS LTD.
ALLEGED FAILURE IN MAINTENANCE OF 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 SKS LOGISTICS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
27-MAY-2011
|
|
| 23 |
|
|
ADOLF PATRICK PINTO,M/S
(Member : BSE)
|
|
|
|
ADOLF PATRICK PINTO
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR/REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF GRAVITY INDIA LTD.
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, 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.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,25,000 VIDE CONSENT ORDER)
13-JAN-2010
|
|
| 24 |
|
|
ADOLF PATRICK PINTO,M/S
(Member : BSE)
|
|
|
|
ADOLF PATRICK PINTO
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET THROUGH CIRCULAR AND STRUCTURED TRANSACTIONS AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF RAJESH EXPORTS LTD.
ALLEGED FAILURE IN MAINTENANCE OF 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 RAJESH EXPORTS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
28-JAN-2010
|
|
| 25 |
|
|
ADROIT FINANCIAL SERVICES PVT.LTD.
(PAN:AABCA1156D)
(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
|
|
| 26 |
|
|
ADROIT FINANCIAL SERVICES PVT.LTD.
(PAN:AABCA1156D)
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN MARKET MANIPULATION AND PRICE MANIPULATION THROUGH CROSS, STRUCTURED AND SYNCHRONIZED DEALS IN SCRIP OF SHAMKEN MULTIFAB 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), A(3) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SHAMKEN MULTIFAB LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
01-NOV-2012
|
|
| 27 |
|
|
AGROY FINANCE & INVESTMENT LTD.
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRNSACTIONS IN SCRIP OF KAJARIA CERAMICS LTD.
ALLEGED FAILURE IN MAINTENANCE OF 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 KAJARIA CERAMICS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
31-MAR-2010
|
|
| 28 |
|
|
AIRAN FINSTOCKS PVT.LTD.
(PAN:AAGCA7065A)
(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
|
|
| 29 |
|
|
AJMERA ASSOCIATES LTD.
(PAN:AADCA7062J)
(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
|
|
| 30 |
|
|
ALACRITY SECURITIES LTD.
(PAN:AACCA0737D)
(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
|
|
| 31 |
|
|
ALANKIT ASSIGNMENTS LTD.
(PAN:AAACA9483E)
(Member : BSE/NSE/OTC)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
ALLEGED GRANT OF TRADING TERMINALS AT LOCATIONS OTHER THAN REGISTERED OFFICES AND REGISTERED SUB-BROKERS’ OFFICES
ALLEGED NON-SEGREGATION OF CLIENTS FUND AND SECURITIES FROM OWN FUNDS AND SECURITIES
ALLEGED MISUTILISATION OF CLIENTS FUNDS
ALLEGED CHANGE OF SHAREHOLDING PATTERN WITHOUT PRIOR PERMISSION OF SEBI
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
11-SEP-2008
|
|
| 32 |
|
|
ALANKIT ASSIGNMENTS LTD.
(PAN:AAACA9483E)
(Member : BSE/NSE)
|
|
|
ALLEGED FAILURE TO CARRY OUT ACTUAL SETTLEMENT OF FUNDS & SECURITIES OF ACTIVE AND INACTIVE CLIENTS DURING INSPECTION PERIOD VIOLATING SEBI CIRCULARS REF. NO.SEBI/MIRSD/SE/CIR-19/2009 DATED 03/12/2009 AND SEBI/MIRSD/SE/CIR/01/2011 DATED 13/05/2011
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 9 READ WITH CLAUSES A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.58,96,000 VIDE CONSENT ORDER)
31-OCT-2018
|
|
| 33 |
|
|
ALLIANCE FINSTOCK LTD.
(Member : BSE/OTC/PSE)
|
|
|
ALLEGED FAILURE/DELAY IN PAYMENT OF DIVIDENDS TO CLIENTS
ALLEGED INSTALLATION OF TERMINALS AT UNAUTHORIZED PLACES
DEALT WITH UN-REGISTERED SUB-BROKERS
ALLEGED MISUTILISATION OF CLIENTS FUNDS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
16-SEP-2008
|
|
| 34 |
|
|
ALLIED FINANCIAL SERVICES PVT.LTD.
(PAN:AAACA2020K)
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF AARTI DRUGS LTD.,HAVELLS INDIA LTD.AND LYKA LABS LTD.
ALLEGED FAILURE IN MAINTENANCE OF 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 AARTI DRUGS LTD.,HAVELLS INDIA LTD.AND LYKA LABS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,50,000 VIDE CONSENT ORDER)
22-JUN-2010
|
|
| 35 |
|
|
ALTIUS FINCAP MARKETS LTD.
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET THROUGH SYNCHRONIZED AND CIRCULAR TRANSACTIONS AND REVERSAL OF TRADE TRANSACTIONS IN SCRIPS OF AARTI DRUGS LTD.AND HAVELLS INDIA LTD.
ALLEGED FAILURE IN MAINTAINING 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 AARTI DRUGS LTD. AND HAVELLS INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
01-SEP-2010
|
|
| 36 |
|
|
AMRAPALI CAPITAL & FINANCE SERVICES LTD.
(Member : NSE)
|
|
|
ALLEGED VIOLATION OF REGULATIONS 4(1),4(2) (A),(B),(E),(G) AND (N) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ADANI EXPORTS LTD.
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, NOT EXERCISED 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 ADANI EXPORTS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,50,000 VIDE CONSENT ORDER)
08-SEP-2009
|
|
| 37 |
|
|
ANAGRAM SECURITIES LTD.
(Member : ASE/NSE)
|
|
|
ALLEGED FINANCING OF KEY OPERATORS WHO HAD OPENED MANY DEMAT ACCOUNTS IN FICTITIOUS AND BENAMI NAMES
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,000 VIDE CONSENT ORDER)
21-JUL-2008
|
|
| 38 |
|
|
ANAND RATHI SHARE & STOCK BROKERS LTD.
(PAN:AAACN3405F)
(Member : BSE/NSE)
|
|
|
ALLEGED FAILURE TO ENSURE FAIRNESS AND EXERCISE DUE DILIGENCE BY NOT KEEPING TRANSPARENCY AND CREDIBLE RECORDS OF DULY AUTHORIZED PERSON OF MEHRANGARH FINANCIAL ADVISORS PVT.LTD. WITH RESPECT TO PLACEMENT OF ORDERS TO THE APPLICANT FOR EXECUTING TRADES ON THE STOCK EXCHANGE PLATFORM IN MATTER OF KPIT TECHNOLOGIES LTD.
ALLEGED THAT APPLICANT REGISTERED THE EMAIL IDS OF EMPLOYEES ASSOCIATED WITH ITS OWN GROUP COMPANIES INSTEAD OF REGISTERING EMAIL ID OF THE CLIENT OR ITS DULY AUTHORIZED PERSON IN MATTER OF KPIT TECHNOLOGIES LTD.
ALLEGED OFF-MARKET TRANSFERS PROCESSED WITH DELIVERY INSTRUCTION SLIPS (DIS) DATED 03/03/2017 AND 01/03/2018, RELYING ON INSTRUCTIONS FROM AUTHORIZED SIGNATORY OF THE APPLICANT IN MATTER OF KPIT TECHNOLOGIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.90,20,000 VIDE CONSENT ORDER)
13-MAY-2025
|
|
| 39 |
|
|
ANG CAPITAL SERVICES PVT.LTD.
(PAN:AACCA7060K)
(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
|
|
| 40 |
|
|
ANGEL BROKING PVT.LTD.
(PAN:AAACA8821G)
(Member : BSE/NSE)
|
|
|
MISUTILIZED CLIENTS FUNDS FOR DEBIT OBLIGATION OF OWN/OTHER CLIENTS
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.31,87,500 VIDE CONSENT ORDER)
22-JUL-2019
|
|
| 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 2 of 22
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