| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
ANTIQUE STOCK BROKING LTD.
(PAN:AADCA3011B)
(Member : BSE/NSE)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL AND CARE AS A STOCK BROKER WHICH ENABLED ITS EMPLOYEE TO USE MOBILE PHONE INSIDE THE DEALING ROOM IN CONTRAVENTION OF ITS OWN INTERNAL POLICY
ALLEGED FAILURE TO ENSURE THAT THE TRADES OF ITS CLIENTS EXECUTED ONLY AFTER KEEPING EVIDENCE OF PLACING ORDER
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.29,25,000 VIDE CONSENT ORDER)
15-APR-2025
|
|
| 22 |
|
|
ANUGRAH STOCK & BROKING PVT.LTD.
(PAN:AAACW2920N)
(Member : BSE/NSE)
|
|
|
ALLEGED NON-SEGREGATION OF CLIENTS FUND AND SECURITIES FROM OWN FUNDS AND SECURITIES
ALLEGED PLEDGING SECURITIES OF CLIENTS EVEN THOUGH CREDIT BALANCE
ALLEGED FAILURE IN SENDING STATEMENT OF ACCOUNT TO CLIENTS
ALLEGED TRANSFERRING SECURITIES FROM CLIENT BENEFICIARY ACCOUNT TO POOL ACCOUNT TO MEET PROPRIETARY OBLIGATIONS
ALLEGED REPORTING WRONG MARGINS
ALLEGED FAILURE IN MAINTENANCE OF HIGH STANDARDS OF INTEGRITY, PROMPTITUDE & FAIRNESS IN CONDUCT OF BUSINESS AS A STOCK BROKER
ALLEGED DISCREPANCIES IN MAINTENANCE OF CLIENT REGISTRATION FORMS & CLIENT AGREEMENT
ALLEGED INDULGENCE IN FUND-BASED ACTIVITIES BY LENDING MONEY TO OTHER CLIENTS
ALLEGED INDULGENCE IN TRANSFER OF SECURITIES IN CONTRAVENTION OF SEBI’S ORDER DATED 22/05/2009
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.28,00,000 VIDE CONSENT ORDER)
18-OCT-2010
|
|
| 23 |
|
|
ARCADIA SHARE & STOCK BROKERS PVT.LTD.
(PAN:AAACA4562G)
(Member : NSE/BSE)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 7 READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992 IN MATTER OF KWALITY LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.65,507 VIDE CONSENT ORDER)
28-DEC-2017
|
|
| 24 |
|
|
ARCADIA SHARE & STOCK BROKERS PVT.LTD.
(PAN:AAACA4562G)
(Member : BSE/NSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH IREGULAR TRANSACTINS AND SELF TRADES IN SCRIP OF VERITAS (INDIA) LTD.
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1), A(3) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF VERITAS (INDIA) LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000, LEGAL EXPENSES RS.86,375 VIDE CONSENT ORDER)
06-SEP-2017
|
|
| 25 |
|
|
ARCADIA SHARE & STOCK BROKERS PVT.LTD.
(PAN:AAACA4562G)
(Member : NSE/BSE)
|
|
|
ALLEGED VIOLATION OF REGULATIONS 3(A) TO (D), 4(1) AND 4(2) (G) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SHREE ASHTAVINAYAK CINE VISION LTD.
ALLEGED INDULGENCE IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 9 READ WITH CLAUSES A(3) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SHREE ASHTAVINAYAK CINE VISION LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
02-JAN-2018
|
|
| 26 |
|
|
ARCADIA SHARE & STOCK BROKERS PVT.LTD.
(PAN:AAACA4562G)
(Member : BSE/NSE)
|
|
|
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(3) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKER) REGULATIONS, 1992 IN MATTER OF LGS GLOBAL LTD. (NOW KNOWN AS YBRANT DIGITAL LTD.), SPECTACLE INFOTEK LTD., WELL PACK PAPERS & CONTAINERS LTD. AND GOLDSTONE TECHNOLOGIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.24,70,840 VIDE CONSENT ORDER)
16-OCT-2017
|
|
| 27 |
|
|
ARJ SHARES & STOCK BROKERS PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(3) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF GLOBAL TELESYSTEMS LTD.
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF GLOBAL TELESYSTEMS LTD.
ALLEGED VIOLATION OF SECTION 13 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 26-APR-2010 TO 25-APR-2011
26-APR-2010
|
|
| 28 |
|
|
ARJ SHARES & STOCK BROKERS PVT.LTD.
(Member : BSE/NSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIPS OF HIMACHAL FUTURISTIC COMMUNICATIONS LTD.,TATA ENGINEERING & LOCOMOTIVE CO.LTD., INFOSYS TECHNOLOGIES LTD. AND SOFTWARE SOLUTIONS INDIA LTD.
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE AND FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE AND 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 HIMACHAL FUTURISTIC COMMUNICATIONS LTD.,TATA ENGINEERING & LOCOMOTIVE CO.LTD.,INFOSYS TECHNOLOGIES LTD. AND SOFTWARE SOLUTIONS INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 04-MAY-2011 TO 03-NOV-2011
03-MAY-2011
|
|
| 29 |
|
|
ARTHA VRDDHI SECURITIES LTD.
(PAN:AACCT1746K)
(Member : BSE/NSE/MCX)
|
|
|
ALLEGED VIOLATING OF REGULATIONS 27(XV) AND 27(XVII) READ WITH 26(XV) OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS 1992 IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1), A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
28-OCT-2016
|
|
| 30 |
|
|
ASHIKA STOCK BROKING LTD.
(PAN:AACCA7156Q)
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN MARKET MANIPULATION AND PRICE MANIPULATION VIOLATING REGULATIONS 4(1),4(2)(A),4(2)(B),4(2)(E),4(2)(G) AND 4(2)(N) OF SEBI (PFUTP) REGULATIONS, 2003
ALLEGED VIOLATION OF CODE OF CONDUCT PRESCRIBED FOR STOCK BROKERS IN SCHEDULE II UNDER REGULATION 7 OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
30-JUN-2009
|
|
| 31 |
|
|
ASHOK KUMAR KAYAN,M/S
(PAN:ALKPK2298K)
(Member : CSE)
|
|
|
|
ASHOK KUMAR KAYAN
PAN:ALKPK2298K
|
|
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGENCE IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(4) AND B(4)(A) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF G.R.INDUSTRIES & FINANCE LTD.
ALLEGED INDULGENCE IN MANIPULATIVE TRANSACTIONS IN SCRIP OF G.R.INDUSTRIES & FINANCE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
26-OCT-2009
|
|
| 32 |
|
|
B.S.SECURITIES
(Member : NSE)
|
|
|
ALLEGED ACTED AS BROKER AND COUNTERPARTY BROKER OF THE CLIENTS WHILE THEY WERE INDULGED IN SYNCHRONIZED TRADES ON BSE AND NSE VIOLATING CLAUSE A (2) OF CODE OF CONDUCT FOR STOCK BROKER AS SPECIFIED UNDER REGULATION 7 OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SHIV-VANI OIL & GAS EXPLORATION SERVICES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.12,92,000 VIDE CONSENT ORDER)
20-FEB-2017
|
|
| 33 |
|
|
BANSAL SHAREVEST SERVICES LTD.
(Member : NSE/UPSE)
|
|
|
|
SONU AGARWAL
|
|
EXECUTED SINGLE TRADES AT EXCHANGE TO ASCERTAIN PRICES FOR EXECUTING BULK ORDERS ILLEGALLY OUTSIDE THE EXCHANGE MECHANISM
OFFERED ILLEGAL TRADING FACILITIES
ISSUED ADVERTISEMENTS RELATING TO BUSINESS IN VIOLATION OF CODE OF CONDUCT
ALLOWED TERMINALS TO UNREGISTERED SUB-BROKERS
INSTALLED UNAUTHORIZED TRADING TERMINALS IN EXCESS OF NSE ALLOTTED TERMINALS
DEALT WITH UN-REGISTERED SUB-BROKERS
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
DID NOT ISSUE CONTRACT NOTES
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
DID NOT COLLECT UPFRONT MARGINS
DEFAULTED IN DEPOSITING MARGIN AMOUNT WITH THE EXCHANGE
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 23-JUL-2003 TO 22-JUL-2008
28-JUN-2006
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,00,000, LEGAL EXPENSES RS.2,50,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER) FROM 23-JUL-2003 TO 22-JUL-2008
09-JUN-2008
|
SAT: APPLICANT AGREED TO PAY A SUM OF RS.50,00,000 TOWARDS SETTLEMENT CHARGES AND RS.2,50,000 TOWARDS LEGAL EXPENSES AS PER CONSENT ORDER DATED 09/06/2008 AND VOLUNTARILY UNDERTAKEN TO REMAIN SUSPENDED FOR A PERIOD OF 5 YEARS COMMENCING FROM 23/07/2003. ORDER DATED 28/06/2006 SET ASIDE
|
| 34 |
|
|
BP EQUITIES PVT.LTD.
(PAN:AAACB4602L)
(Member : BSE)
|
|
|
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE AND FAIRNESS AND DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 7 READ WITH CLAUSES A (1) AND A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF ASIAN STAR CO.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
20-MAY-2011
|
|
| 35 |
|
|
BRIJMOHAN SAGARMAL CAPITAL SERVICES PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED ACTED AS BROKER AND COUNTERPARTY BROKER OF THE CLIENTS WHILE THEY WERE INDULGED IN SYNCHRONIZED TRADES ON BSE AND NSE VIOLATING CLAUSE A (2) OF CODE OF CONDUCT FOR STOCK BROKER AS SPECIFIED UNDER REGULATION 7 OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SHIV-VANI OIL & GAS EXPLORATION SERVICES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.12,92,000 VIDE CONSENT ORDER)
20-FEB-2017
|
|
| 36 |
|
|
CENTILLION CAPITAL PVT.LTD.
(PAN:AAACP3943N)
(Member : BSE/NSE)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE VIOLATING CLAUSE A(2) OF CODE OF CONDUCT FOR STOCK BROKERS AS SPECIFIED UNDER SCHEDULE II OF REGULATION 7 (NOW REGULATION 9(F)) OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN IPO OF SRS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,50,000 VIDE CONSENT ORDER)
20-MAR-2018
|
|
| 37 |
|
|
D.K.MODI SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(4) AND B(4) (A) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF MARSON’S LTD.
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH IRREGULAR TRANSACTIONS VIOLATING REGULATIONS 3,4(1),(2) (A),(B),(E),(G),(N) AND (O) OF SEBI (PFUTP) REGULATIONS, 2003 IN SCRIP OF MARSON’S LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-OCT-2009
|
|
| 38 |
|
|
DAWNAY DAY AV SECURITIES PVT.LTD.
(Member : BSE/NSE)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 7 READ WITH CLAUSES A(1) AND A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF VISHESH INFOTECNICS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.9,00,000 VIDE CONSENT ORDER)
09-SEP-2009
|
|
| 39 |
|
|
EMKAY GLOBAL FINANCIAL SERVICES LTD.
(Member : BSE/NSE)
|
|
|
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE AND FAIRNESS AND DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 7 READ WITH CLAUSES A (1) AND A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF ASIAN STAR CO.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
07-SEP-2011
|
|
| 40 |
|
|
EMKAY GLOBAL FINANCIAL SERVICES LTD.
(Member : BSE/NSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET & PRICE MANIPULATION THROUGH SYNCHRONISED TRANSACTIONS IN SCRIP OF AAREY DRUGS & PHARMACEUTICALS LTD.
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE AS REQUIRED UNDER CLAUSE A (2) OF CODE OF CONDUCT FOR STOCK BROKERS AS SPECIFIED UNDER REGULATION 7 OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF AAREY DRUGS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.11,00,800 VIDE CONSENT ORDER)
05-JUN-2015
|
|
| 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 7
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