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SOURCE OF INFORMATION

SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
PERIOD COVERED : 30-NOV-2007 TO 21-NOV-2025

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

STOCK BROKERS: INDULGED IN UNAUTHORISED TRADING IN FUTURES & OPTIONS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
21
History of entity/person SYSTEMATIX SHARES & STOCKS (INDIA) LTD.

(PAN:AAECS8827N)

(Member : NSE)  
  INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT   CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS FROM 18-JUN-2007 TILL FURTHER ORDERS

18-JUN-2007

REACHED SETTLEMENT (SETTLEMENT CHARGES RS.4,00,000 VIDE CONSENT ORDER)

07-OCT-2008 		AD INTERIM EX-PARTE CEASE AND DESIST ORDER DATED 18/06/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.4,00,000 AS PER CONSENT ORDER DATED 07/10/2008  
22
History of entity/person VIBRANT SECURITIES PVT.LTD.

(CIN:079371)

(Member : NSE)  
  INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT   CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS FROM 18-JUN-2007 TILL FURTHER ORDERS

18-JUN-2007

REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)

30-SEP-2008 		INTERIM CEASE AND DESIST ORDER DATED 18/06/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.5,00,000 AS PER CONSENT ORDER DATED 30/09/2008  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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