| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
FIRST NATIONAL SECURITIES (INDIA) LTD.
(Member : NSE)
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE WHILE DEALING WITH CLIENTS IN MATTER OF MEDIA VIDEO LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-JUN-2007 TO 12-JUL-2007
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-JUN-2007 TO 12-JUL-2007
13-JUN-2007
|
|
| 22 |
|
|
GALAXY BROKING LTD.
(PAN:AABCG5457B)
(Member : BSE)
|
|
|
|
ANIL AMRUITLAL GANDHI
PAN:ACIPG8954B
|
|
ACTED IN CONCERT WITH ITS CLIENTS AND PROMOTERS OF COMPANIES/INTER CONNECTED ENTITIES TO CREATE ARTIFICIAL MARKET AND PRICE RISE IN CASE OF MANY COMPANIES
DID NOT ADHERE TO "KNOW YOUR CLIENT" DIRECTIVES/INSTRUCTIONS/GUIDELINES
DID NOT EXERCISE DUE SKILL AND DILIGENCE WHILE OPENING CLIENTS' ACCOUNTS
INDULGED IN INDIRECT FUNDING TO CLIENTS
DID NOT EXPLAIN VARIOUS AMOUNTS SHOWN IN CREDIT SIDE OF ITS BOOKS OF ACCOUNTS
DID NOT ENTER INTO TRIPARTITE AGREEMENT WITH CLIENTS COMING THROUGH SUB-BROKERS
PERMITTED TRADING TERMINALS AT UNAUTHORISED LOCATIONS
DID NOT ADHERE TO CONDITIONS OF PROVISIONAL REGISTRATION
DEALT WITH UN-REGISTERED SUB-BROKERS
DEALT IN CASH WITH CLIENTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 24-JAN-2006 TILL FURTHER ORDERS
24-JAN-2006
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
07-JAN-2008
|
CONFIRMED AD-INTERIM ORDER DATED 24/01/2006 AND DIRECTED DEPOSITORIES NO TO GIVE EFFECT TO ANY TRANSFER OF SHARES OF THE COMPANIES AS PER TABLE 1 IN ORDER, LYING IN THE BENEFICIAL OWNER ACCOUNTS OF CLIENTS, AS PER ORDER DATED 21/12/2006
AD-INTERIM ORDER DATED 24/01/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.1,00,000 TOWARDS SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 07/01/2008
|
| 23 |
|
|
GAZI SECURITIES LTD.
(Member : NSE)
|
|
|
|
MUNIR ABDULLATIF GAZI
|
|
ACTED IN CONNIVANCE WITH VINAYAK INVESTMENTS GROUP AND PROMOTERS OF HITECHI JEWELLERY INDUSTRIES LTD. IN COMMITTING IRREGULARITIES IN THE PUBLIC ISSUE OF HITECHI JEWELLERY INDUSTRIES LTD.
ACTED IN CONNIVANCE WITH VINAYAK INVESTMENTS GROUP AND PROMOTERS OF HITECHI JEWELLERY INDUSTRIES LTD. IN PRICE MANIPULATION IN SCRIP OF HITECHI JEWELLERY INDUSTRIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 16-JUL-2003 TO 15-JUL-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-JUL-2003 TO 15-JUL-2005
16-JUL-2003
|
|
| 24 |
|
|
GUINESS SECURITIES LTD.
(PAN:AAACG9843L)
(Depository Participants : CDSL/NSDL,Member : NSE/BSE/MSEI)
|
|
|
|
KAMAL KUMAR KOTHARI
PAN:AKYPK8782D
|
|
MISAPPROPRIATED CLIENT SECURITIES AND/OR FUNDS
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
DID NOT MAINTAIN CONTINUOUS NETWORTH
FALSIFIED BOOKS AND WRONGLY REPORTED TO STOCK EXCHANGE
PROVIDED EXPOSURE TO CLIENTS HAVING DEBIT BALANCE
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
DID NOT FURNISH INFORMATION/DATA TO SEBI VIOLATING OF REGULATION 21(1) OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-DEC-2018 TO 18-DEC-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-DEC-2018 TO 18-DEC-2025
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 19-DEC-2018 TO 18-DEC-2025
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED TO UTILIZE ASSETS OF THE ENTITIES ONLY FOR THE PURPOSE OF PAYMENT OF MONEY AND/OR DELIVERY OF SECURITIES, AS THE CASE MAY BE, TO CLIENTS/INVESTORS UNDER THE SUPERVISION OF CONCERNED STOCK EXCHANGE(S)
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY EXCEPT FOR THE PURPOSE OF PAYMENT OF MONEY TO CLIENTS/INVESTORS UNDER WRITTEN CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
19-DEC-2018
|
SEBI VIDE ITS ORDER DATED 31/07/2019 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS EX-PARTE AD INTERIM ORDER DATED 19/12/2018
SAT: SAT VIDE ITS ORDER DATED 27/04/2021 DISPOSED OFF THE APPEALS WITH DIRECTION TO APPLELLANT TO PURSUE CLAIM APPLICATION FILED BEFORE STOCK EXCHANGES WHICH WAS PENDING CONSIDERATION
SAT: SAT VIDE ITS ORDER DATED 14/09/2021 DISMISSED THE APPEAL FOR WANT OF PROSECUTION
SAT: SAT VIDE ITS ORDER DATED 07/10/2021 ALLOWED THE APPLICATION AND RECALLED ORDER DATED 27/04/2021
SEBI VIDE ITS ORDER DATED 30/06/2022 DIRECTED TO A) RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY AND ASSOCIATING THEMSELVES WITH SECURITIES MARKET IN ANY MANNER FOR SEVEN YEARS B) DURING THE PERIOD OF RESTRAINT THE EXISTING HOLDING, INCLUDING UNITS OF MUTUAL FUNDS SHALL REMAIN FROZEN C) NOT TO DISPOSE OFF OR ALIENATE ANY ASSETS, WHETHER MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY SUCH ASSETS INCLUDING MONEY LYING IN BANK ACCOUNT EXCEPT WITH PRIOR PERMISSION OF SEBI D) PROVIDE FULL INVENTORY OF ALL ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND MUTUAL FUND INVESTMENTS AS WELL AS DETAILS OF ANY LOANS OR ADVANCE, RECOVERABLE BY THEM AS ON THE DATE OF THIS ORDER E) DIRECTED TO FULLY CO-OPERATE WITH STOCK EXCHANGES IN ENSURING THE DIRECTION INCLUDING IN LIQUIDATING THE FUNDS, SECURITIES, CHARGE, RECOVERABLE DUES, ADVANCES AND OTHER MOVABLE AND IMMOVABLE ASSETS F) BANKS TO ENSURE THAT NO DEBITS ARE MADE IN THE BANK ACCOUNTS HELD JOINTLY OR SEVERALLY BY NOTICEES
SAT: SAT VIDE ITS ORDER DATED 19/09/2022 REJECTED THE APPLICATION
SAT: SAT VIDE ITS ORDER DATED 25/09/2024 DISMISSED THE APPEAL. NO COSTS
|
| 25 |
|
|
HARISH CHANDRA BIYANI,M/S
(Member : CSE)
|
|
|
|
HARISH CHANDRA BIYANI
|
|
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-OCT-2002 TILL THE COMPLETION OF INVESTIGATION
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-OCT-2002 TILL THE COMPLETION OF INVESTIGATION
18-OCT-2002
|
|
| 26 |
|
|
HARISH KADAM & CO.SECURITIES PVT.LTD.
(Member : PSE)
|
|
|
|
HARISH KADAM
|
|
DID NOT EXERCISE DUE CARE & DILIGENCE WHILE EXECUTING SUBSTANTIAL TRANSACTIONS IN HOME TRADE LTD.
INVOLVED IN CREATION OF FALSE MARKET, CIRCULAR TRADING AND PRICE MANIPULATION IN SCRIP OF HOME TRADE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-DEC-2007 TO 04-DEC-2008
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-DEC-2007 TO 04-DEC-2008
05-DEC-2007
|
|
| 27 |
|
|
HEMENDRA VINODCHANDRA SHAH,M/S
(Member : BSE)
|
|
|
|
HEMENDRA VINODCHANDRA SHAH
|
|
AIDED THE CREATION OF FALSE MARKET IN SCRIP OF SURYADEEP SALTS, REFINERY & CHEMICAL WORKS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 16-JUL-2003 TO 15-JUL-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-JUL-2003 TO 15-JUL-2005
16-JUL-2003
|
|
| 28 |
|
|
INDIAN FINANCE GUARANTY LTD.
(PAN:AAACI2308E)
(Member : NSE/OTC)
|
|
|
|
TULSI D.BHAYANA
|
|
SIPHONED FUNDS OUT OF BHUBANESWAR STOCK EXCHANGE TO THE TUNE OF RS. 1.30 CRORE INCLUDING INTEREST THROUGH THE EXCHANGE'S MEMBERS WELFARE TRUST
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 16-JAN-2004 TILL FURTHER ORDER
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-JAN-2004 TILL FURTHER ORDER
16-JAN-2004
|
PROHIBITION IMPOSED VIDE ORDER DATED 16/01/2004 VACATED VIDE ORDER DATED 22/09/2004
SAT: APPEALS DISPOSED OFF, WITH DIRECTION TO RESPONDENT TO COMPLETE ENQUIRY AND PASS APPROPRIATE ORDERS WITHIN 2 MONTHS FROM DATE OF RECEIPT OF THIS ORDER
|
| 29 |
|
|
KASSA FINVEST PVT.LTD.
(CIN:U74899DL1994PTC060668
PAN:AAACK1206B)
(Member : BSE/NSE/MCX/OTC)
|
|
|
|
ANJANA KUMAR
PAN:AHOPK6281C
|
|
|
ASHOK KUMAR
DIN:00405986
PAN:AAFPK7362N
|
|
|
UMASHANKAR SHARAN SHRIVASTAV
PAN:AGKPS7923C
|
|
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
DID NOT ADHERE TO VARIOUS SEBI CIRCULARS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENTS' SECURITIES AND OWN SECURITIES
INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A (3) AND A (5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-SEP-2017 TO 04-SEP-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-SEP-2017 TO 04-SEP-2027
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 05-SEP-2017 TO 04-SEP-2027
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED TO REPAY/REFUND TO INVESTORS / CLIENTS MONEY WITH INTEREST @15% P.A. FROM THE DATE OF REPAYMENT DUE TILL THE DATE OF ACTUAL PAYMENT
19-MAR-2015
|
SEBI VIDE ITS ORDER DATED 05/09/2017 DIRECTED TO 1) PROHIBITED FROM ACCESSING THE SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR DEALING IN SECURITIES, EITHER DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER, FOR A PERIOD OF TEN YEARS FROM THE DATE OF THIS ORDER 2) REPAY/REFUND THE INVESTORS/CLIENT’S MONEY WITH AN INTEREST OF 15% P.A. FROM THE DATE WHEN THE REPAYMENT BECAME DUE TILL THE DATE OF ACTUAL PAYMENT. THE PAYMENTS TO THE INVESTORS/CLIENTS IN RESPECT OF THE TRANSACTIONS EXECUTED THROUGH STOCK EXCHANGES SHALL BE MADE IN-COORDINATION WITH NSE AND BSE, AFTER TAKING INTO ACCOUNT THE PAYMENTS MADE BY SAID EXCHANGES TO THE INVESTORS/CLIENTS OF KASSA FINVEST OUT OF THE IPF ACCOUNT OF THE EXCHANGES 3) NOT TO DISPOSE OFF OR ALIENATE ANY ASSETS, WHETHER MOVABLE OR IMMOVABLE, OR CREATE ANY INTEREST OR CHARGE IN ANY SUCH ASSETS. PERMITTED TO SELL THEIR ASSETS FOR THE SOLE PURPOSE OF MAKING REPAYMENTS TO INVESTORS AND DEPOSIT THE PROCEEDS IN AN ESCROW ACCOUNT OPNED WITH A NATIONALIZED BANK. MONEY DEPOSITED IN THE ESCROW ACCOUNT HAS TO BE DISBURSED TO THE CLIENTS/INVESTORS ONLY IN COORDINATION WITH NSE AND BSE. UPTO THE EXTENT OF TOTAL MONEY DISBURSED BY THE EXCHANGES OUT OF THEIR IPF ACCOUNTS TO THE CLIENTS/INVESTORS OF KASSA FINVEST 5) DIRECTED TO PROVIDE FULL INVENTORY OF ALL THEIR ASSETS AND PROPERTIES AND DETAILS OF THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, IF HELD IN PHYSICAL SHARES
SEBI VIDE ITS NOTICE DATED 14/01/2019 DIRECTED ALL THE BANKS AND MUTUAL FUNDS 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 12/02/2020 REVISED ITS NOTICE OF DEMAND 18/12/2018 AND DIRECTED TO RECOVER RS.98,26,50,507.60 TOWARDS REPAYMENT/REFUND OF INVESTORS/CLIENT’S MONEY ALONGWITH INTEREST, ALL COSTS, CHARGES AND EXPENSES INCURRED IN RESPECT OF ALL THE PROCEEDINGS
SEBI VIDE ITS ORDER DATED 28/06/2021 A) PROHIBITED FROM DISPOSING, TRANSFERRING, ALIENATING OR CHARGING IN RESPECT OF ALL THE IMMOVABLE PROPERTIES LISTED IN THE ORDER B) PROHIBITED FROM TAKING ANY BENEFIT UNDER SUCH DISPOSAL, TRANSFER, ALIENATION OR CHARGE IN RESPECT OF THE PROPERTIES LISTED IN ORDER C) DIRECTED TO FURNISH COMPLETE DETAILS OF ALL MOVABLE AND IMMOVABLE PROPERTIES HELD BY DEFAULTERS AND CHARGES, DULY CERTIFIED BY BOARD OF DIRECTORS ALONG WITH ORIGINAL TITLE DEEDS WITHIN TWO WEEKS FROM DATE OF THIS ORDER AT SEBI, NORTHERN REGIONAL OFFICE, NEW DELHI D) DIRECTED INSPECTORS GENERAL OF REGISTRATION OF ALL THE STATES AND UNION TERRITORIES AND CONCERNED TEHSILDARS, DISTRICT REGISTRARS AND SUB-REGISTRARS OF THE RESPECTIVE AREAS WHERE THE PROPERTIES ARE LOCATED E) NOT TO ACT UPON ANY DOCUMENTS PURPORTING TO BE DEALING WITH TRANSFER, MORTGAGE, CHARGE, LEASE OR CREATION OR ALTERATION OF ANY INTEREST IN ANY OF THE PROPERTIES OWNED/HELD BY THE DEFAULTERS, IF PRESENTED FOR REGISTRATION
|
| 30 |
|
|
M.TIBREWAL & CO.
(Member : CSE)
|
|
|
|
MANOJ KUMAR TIBREWAL
|
|
DID NOT EXERCISE DUE DILIGENCE
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF DSQ INDUSTRIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-NOV-2004 TO 07-NOV-2006
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-NOV-2004 TO 07-NOV-2006
08-NOV-2004
|
|
| 31 |
|
|
MANEKLAL CHUNILAL INVESTMENTS PVT.LTD.
(Member : ICSE)
|
|
|
|
ASHIT V.SHAH
|
|
|
DAKSHA V.SHAH
|
|
|
H.V.SHAH
|
|
|
MANISH V.SHAH
PAN:AAEPS3791A
|
|
|
VIPIN M.SHAH
|
|
DECEIVED INVESTORS BY MISREPRESENTATION AND FICTITIOUS MEANS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-SEP-2005 TILL FURTHER ORDERS
15-SEP-2005
|
DIRECTIONS PASSED VIDE AD INTERIM EX-PARTE ORDER DATED 15/09/2005 REVOKED
|
| 32 |
|
|
MEGA STOCKS LTD.
(Member : CSE)
|
|
|
DID NOT MAKE DISCLOSURE OF ACQUISITION OF SHARES OF THE BOMBAY DYEING & MFG.CO.LTD. WHILE ACTING IN CONCERT WITH ARUN BAJORIA
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-AUG-2001 TO 28-AUG-2002
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-AUG-2001 TO 28-AUG-2002
29-AUG-2001
|
SAT: APPEAL DISMISSED
|
| 33 |
|
|
MOONGIPA INVESTMENTS LTD.
(CIN:U74899DL1994PLC059535
PAN:AAACM5584A)
(Member : NSE/BSE)
|
|
|
|
MADHUR AGARWAL
PAN:AAFPA1251Q
|
|
|
SHIV KUMAR AGARWAL
PAN:AAFPA1252P
|
|
|
SUDHIR AGARWAL
PAN:AAFPA1250R
|
|
DID NOT ADHERE TO VARIOUS SEBI CIRCULARS
INDULGED IN FUND BASED ACTIVITIES INVOLVING PERSONAL FINANCIAL LIABILITY VIOLATING RULE 8(3) (F) OF SECURITIES CONTRACTS (REGULATIONS) RULES, 1957
DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES
DID NOT REFUND TO CLIENTS FUNDS AND SECURITIES
|
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-SEP-2015 TO 09-SEP-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-SEP-2015 TO 09-SEP-2020
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 10-SEP-2015 TO 09-SEP-2020
DIRECTED TO IMPOUND FINANCIAL ASSETS
DIRECTED TO UTILIZE ASSETS ONLY FOR THE PURPOSE OF REFUND OF MONEY AND/OR DELIVERY OF SECURITIES
DIRECTED NOT TO DEBIT BANK ACCOUNTS/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY EXCEPT FOR REFUND AND AFTER CONFIRMATION FROM CONCERNED STOCK EXCHANGE
DIRECTED STOCK EXCHANGES, BANKS AND DEPOSITORIES TO ENSURE COMPLIANCE OF THE DIRECTIONS
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
10-SEP-2015
|
SEBI VIDE ITS ORDER DATED 08/02/2019 DIRECTED TO 1) JOINTLY AND SEVERALLY TO SETTLE CLAIMS DUE, PAYABLE AND DELIVERABLE TO CLAIMANTS THAT ARE NOT SETTLED/PAID (IN PART/FULL) FROM IPF OF STOCK EXCHANGES, IN RESPECT OF CLAIMS THAT ARE RECEIVED BY STOCK EXCHANGES UPTO 17/02/2019 (2) LIQUIDATE THE ASSETS OF NOTICEES NO.1,2,3,AND 5 TO THE EXTENT REQUIRED FOR COMPLIANCE OF THIS DIRECTION, INCLUDING THE FINANCIAL ASSETS WHICH ARE ALREADY IMPOUNDED BY SEBI AND THE SAME BE UTILIZED FOR THE PURPOSE OF SETTLING AFORESAID CLAIMS OF CLAIMANTS OF MIL AFTER CONSIDERING CLAIMS ALREADY SETTLED BY STOCK EXCHANGES AND DEPOSITORIES 3) TO CONTINUE DIRECTIONS CONTAINED IN INTERIM ORDER DATED 10/09/2015 WITH RESPECT TO RESTRICTION ON ALIENATION/DISPOSAL OF ASSETS OF NOTICEES 4) RESTRAINED FROM ACCESSING SECURITIES MARKET AND ARE FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES (INCLUDING UNITS OF MUTUAL FUNDS), DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER, FOR FIVE (5) YEARS, FROM DATE OF THIS ORDER. DURING THE PERIOD OF RESTRAINT, NOTICEES’ EXISTING HOLDING, INCLUDING UNITS OF MUTUAL FUNDS, OF THE SAID NOTICEES SHALL REMAIN FROZEN
SEBI VIDE ITS NOTICE DATED 13/02/2025 DIRECTED TO PAY RS.12,31,59,849.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 34 |
|
|
MURARI LAL GOENKA,M/S
(Member : CSE)
|
|
|
|
MURARI LAL GOENKA
|
|
ACTED IN CONCERT WITH OTHER BROKERS TO CREATE ARTIFICIAL MARKET AND PRICE RISE THROUGH CONTINUOUS SELF DEALS EXECUTED AT ONE TERMINAL AND CROSS DEALS AMONG THEMSELVES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-NOV-2005 TILL FURTHER ORDERS
30-NOV-2005
|
DIRECTED THAT INTERIM ORDER SHALL REMAIN IN FORCE TILL FURTHER ORDERS
RESTRAINT ORDER IMPOSED BY WAY OF INTERIM ORDERS DATED 29/09/2005 AND 30/11/2005 AND LATER CONFIRMED BY ORDERS DATED 12/01/2006 AND 31/05/2006 VACATED
|
| 35 |
|
|
N.KHEMANI & CO.
(Member : CSE)
|
|
|
|
N.KHEMANI
|
|
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
PROVIDED WRONG/INCOMPLETE INFORMATION TO EXCHANGES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 21-JAN-2003 TILL THE COMPLETION OF INVESTIGATION
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-JAN-2003 TILL THE COMPLETION OF INVESTIGATION
21-JAN-2003
|
|
| 36 |
|
|
NEWAGE SHARES & STOCK BROKERS PVT.LTD.
(Member : OTC)
|
|
|
|
PRAMOD JAIN
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME IN SCRIP OF SRG INFOTECH LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 23-SEP-2008 TO 22-MAR-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-SEP-2008 TO 22-MAR-2009
23-SEP-2008
|
|
| 37 |
|
|
NH SECURITIES LTD.
(PAN:AAACS7140Q)
(Member : NSE/BSE)
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF HFCL, ZEE, ADANI, GTL, RANBAXY, SAB TV, SHONKH, PADMINI (FORMERLY PADMINI POLYMERS LTD.) AND AFTEK WITH KP ENTITIES
INDULGED IN MANIPULATIVE ACTIVITIES LIKE SYNCHRONIZED TRADING
FINANCED TRANSACTIONS TO GIVE SEMBLANCE OF PURCHASE AND SALE OF SHARES AT THE EXCHANGES
INDULGED IN CIRCULAR TRADING
CREATED ARTIFICIAL MARKET
BENCHMARKED PRICES OF CERTAIN SCRIPS BY EXECUTING NON-GENUINE TRANSACTIONS
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-NOV-2007 TO 11-NOV-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-NOV-2007 TO 11-NOV-2012
12-NOV-2007
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| 38 |
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NH SECURITIES LTD.
(PAN:AAACS7140Q)
(Member : BSE/NSE)
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INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIPS OF MASCON GLOBAL LTD.AND DSQ BIOTECH LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-NOV-2007 TO 11-NOV-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-NOV-2007 TO 11-NOV-2012
23-SEP-2010
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| 39 |
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OPG SECURITIES PVT.LTD.
(PAN:AAACO1081C)
(Member : NSE)
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AMAN KOKRADY
PAN:AKQPK3220N
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OM PRAKASH GUPTA
PAN:AAHPG3048B
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SANGEETA GUPTA
PAN:AAHPG6984C
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GAINED ADVANTAGE BY CONSISTENTLY LOGGED IN FIRST ACROSS POP SERVERS ON ACCOUNT OF BEING AWARE OF THE WEAKNESS OF THE TCP/IP TBT SYSTEM ARCHITECTURE
TRIED TO CROWD OUT OTHER TRADING MEMBERS FROM TCP/IP TBT SYSTEM PLATFORM
GAINED UNFAIR ACCESS AND ADVANTAGE BY CONSISTENTLY LOGGING INTO SECONDARY POP SERVER FOR LARGE NUMBER OF DAYS VIOLATING CLAUSES A(1), A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF OPG SECURITIES LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-APR-2019 TO 29-APR-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-APR-2019 TO 29-APR-2024
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
DIRECTED TO DISGORGE RS.77,75,46,000 ALONG WITH OTHER ENTITIES/PERSONS
30-APR-2019
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SEBI VIDE ITS ORDER DATED 03/05/2019 ALLOWED OPG SECURITIES PVT.LTD. AND ITS DIRECTORS TO CLOSE OPEN POSITIONS IN FUTURES AND OPTIONS AND CURRENCY DERIVATIVES SEGMENTS OF OPG SECURITIES PVT.LTD. ON OR BEFORE EXPIRY DATE OF RESPECTIVE CONTRACTS OR WITHIN TWO MONTHS FROM 30/04/2019 WHICHEVER IS EARLIER
SAT: SAT: SAT VIDE ITS ORDER DATED 06/05/2019 DIRECTED APPELLANT TO DEPOSIT RS.7.50 CRORES ON OR BEFORE 20/05/2019
SAT: SAT VIDE ITS ORDER DATED 20/05/2019 MODIFIED ITS ORDER DATED 06/05/2019 TO THE EXTENT THAT APPELLANTS MAY DEPOSIT RS.7.50 CRORES IN CASH OR IN THE FORM OF BANK GUARANTEE FROM NATIONALIZED BANK ON OR BEFORE 30/05/2019
SAT: SAT VIDE ITS ORDER DATED 23/01/2023 PARTLY ALLOWED THE APPEAL AND SET ASIDE DIRECTIONS TO DISGORGE RS.15.57 CRORE ALONG WITH INTEREST @12% P.A. FROM 07/04/2014 ONWARDS AND MATTER REMITTED TO WTM TO DECIDE THE QUANTUM OF DISGORGEMENT AFRESH WITHIN FOUR MONTHS FROM DATE OF THIS ORDER. IN ADDITION DIRECTED WTM TO CONSIDER THE CHARGE OF CONNIVANCE AND COLLUSION OF OPG SECURITIES LTD. AND ITS DIRECTORS WITH ANY EMPLOYEE/OFFICIALS OF NSE.
SAT: SAT VIDE ITS ORDER DATED 09/06/2023 ALLOWED THE APPLICATION AND DIRECTED WTM TO DECIDE THE MATTER AS PER SAT ORDER DATED 23/01/2023 WITHIN SIX MONTHS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 01/12/2023 DIRECTED RESPONDENT FURTHER FOUR MONTHS TO COMPLETE PROCEEDINGS
SAT: SAT VIDE ITS ORDER DATED 14/02/2024 ALLOWED RESPONDENT ONE WEEK TO FILE REPLY
SAT: SAT VIDE ITS ORDER DATED 26/02/2024 ALLOWED APPELLANT FIVE DAYS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 08/03/2024 DIRECTED SEBI TO GIVE FINAL OPPORTUNITY OF INSPECTION OF DOCUMENTS AND CROSS-EXAMINATION OF WITNESSES TO APPELLANTS. DIRECTED APPELLANTS TO APPEAR BEFORE WTM ON 15/03/2024 ON WHICH DATE THE APPELLANTS WILL BE PROVIDED FINAL OPPORTUNITY OF CROSS-EXAMINATION AND INSPECTION
SAT: SAT VIDE ITS ORDER DATED 15/03/2024 ACCEPTED PRAYER OF THE APPLICANT AND SCHEDULE LAID DOWN IS MODIFIED AS A) CROSS-EXAMINATION OF ORIGINAL APPELLANTS/OPG SECURITIES PVT.LTD. MAY TAKE PLACE FOR THREE HOURS EACH DAY UPTO SEVEN DAYS ON ANY DAYS BETWEEN 09/04/2024 TO 22/04/2024 B) FINAL HEARING BEFORE WTM MAY TAKE PLACE BETWEEN 01/05/2024 TO 10/05/2024 C) SEBI GIVEN TIME UPTO 30/06/2024 TO COMPLETE PROCEEDINGS INITIATED PURSUANT TO THE DIRECTION OF THIS TRIBUNAL IN PARA 266(G) TO (I) OF ORDER DATED 23/01/2023 IN APPEAL NO.184 OF 2019
SAT: SAT VIDE ITS ORDER DATED 24/06/2024 DISMISSED THE APPEAL. DIRECTED SEBI TO GRANT TWO DAYS TO APPELLANT TO COMPLETE THE SUBMISSIONS WITHIN OUTER LIMIT OF TWO WEEKS FROM DATE OF THIS ORDER. GRANTED APPELLANTS TWO WEEKS AFTER CONCLUSION OF HEARING TO FILE THEIR WRITTEN SUBMISSION AND SEBI TO PASS FINAL ORDER WITHIN EIGHT WEEKS THEREFROM
SAT: SAT VIDE ITS ORDER DATED 12/09/2024 DISMISSED THE APPEAL. NO COSTS
SEBI VIDE ITS ORDER DATED 13/09/2024 A) COMPLIANCE WITH THE ORDERS PASSED BY HON’BLE SAT DATED 23/01/2023, 09/06/2023, 01/12/2023, 08/03/2024, 15/03/2024, 15/05/2024 AND 24/06/2024 A) DIRECTED TO DISGORGE RS.8,525.46 LAC JOINTLY AND SEVERALLY ALONG WITH INTEREST @12% P.A. FROM 22/05/2015 TILL THE DATE OF PAYMENT B) IN CASE NOTICE HAVE DEPOSITED RS.7.5 CRORE WITH SEBI IN COMPLIANCE WITH DIRECTIONS OF HON’BLE SAT, TOTAL AMOUNT PAYABLE (EXCLUDING INTEREST) BY NOTICEES WILL BE RS.7,775.46 LAC (RS.8,525.46 LAC – RS.750 LAC). INTEREST TO BE CHARGED ON RS.7.50 CRORE FROM 22/05/2015 TO DATE OF DEPOSIT MADE WITH SEBI AND INTEREST ON THE REMAINING AMOUNT OF RS.7,775.46 LACS TO BE CHARGED FROM 22/05/2015 TILL DATE OF ITS PAYMENT
SEBI VIDE ITS NOTICE DATED 18/02/2025 DIRECTED TO PAY RS.173,18,01,280.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 30/06/2025 DIRECTED APPELLANT TO DEPOSIT ANOTHER SUM OF RS.2.50 CRORES AND ORDERED THAT THERE SHALL BE STAY OF RECOVERY OF DISGORGEMENT AMOUNT SUBJECT TO DEPOSIT OF RS.2.50 CRORE WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 02/07/2025 DIRECETD IF THE COMPANY IN APPEAL NO.696 OF 2024 DEPOSITS THE AMOUNT AS DIRECTED , BENEFIT OF INTERIM ORDER ALSO EXTEND TO THE APPELLANTS HEREIN
SAT: SAT VIDE ITS ORDER DATED 24/07/2025 GRANTED APPELLANT SIX WEEKS TO SELL SHARES IN DEMAT ACCOUNT AND DEPOSIT THE AMOUNT
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| 40 |
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OPULENT BROKING PVT.LTD.
(PAN:AAACO2790A)
(Member : BSE)
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INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF SUN INFOWAYS LTD.
DID NOT MAINTAIN 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 SUN INFOWAYS LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-OCT-2011 TO 18-JAN-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-OCT-2011 TO 18-JAN-2012
19-OCT-2011
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| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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