| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
ARUN KUMAR BHUWALKA,M/S
(Member : CSE)
|
|
|
|
ARUN KUMAR BHUWALKA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF GROB TEA LTD.
DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSE A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF OFF-MARKET TRANSACTIONS IN SCRIP OF GROB TEA LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
15-FEB-2010
|
|
| 22 |
|
|
ARUNA AGGARWAL,M/S
(Member : LSE)
|
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
13-OCT-1999
|
|
| 23 |
|
|
ATUL M.CHOKSHI,M/S
(Member : ASE)
|
|
|
|
ATUL MANHARLAL CHOKSHI
|
|
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
20-FEB-2002
|
|
| 24 |
|
|
ATUL M.CHOKSHI,M/S
(Member : ASE)
|
|
|
|
ATUL MANHARLAL CHOKSHI
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT CHARGE MINIMUM BROKERAGE
USED ACCOUNT OF SUB-BROKER TO GENERATE ADDITIONAL PROFIT
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
12-AUG-1999
|
|
| 25 |
|
|
AVENUE STOCK BROKERS (INDIA) PVT.LTD.
(Member : NSE)
|
|
|
DID NOT TRANSFER SECURITIES FROM POOL ACCOUNT TO CLIENTS' ACCOUNT IN TIME
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
02-JAN-2007
|
|
| 26 |
|
|
B.M.GANDHI SECURITIES PVT.LTD.
(PAN:AABCB3557B)
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE IN MATTER OF SAWACA BUSINESS MACHINES LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
15-OCT-2004
|
|
| 27 |
|
|
B.M.GANDHI SECURITIES PVT.LTD.
(PAN:AABCB3557B)
(Member : BSE)
|
|
|
IN THE CASE OF DSQ BIOTECH LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
15-JUL-2002
|
|
| 28 |
|
|
B.N.MEHTA & CO.
(Member : VSE)
|
|
|
|
B.N.MEHTA
|
|
TRADED ON EXCHANGE WITHOUT VALID CERTIFICATE OF REGISTRATION
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
29-APR-1998
|
|
| 29 |
|
|
BAKLIWAL INVESTMENTS
(Member : NSE)
|
|
|
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DELAYED PAYMENT OF CONSOLIDATED STAMP DUTY
DID INTER-CLIENT ADJUSTMENT OF BALANCES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT COLLECT MARGINS FROM CLIENTS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
18-MAY-2004
|
|
| 30 |
|
|
BAMA SECURITIES LTD.
(Member : NSE)
|
|
|
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
04-JUN-2004
|
|
| 31 |
|
|
BASDEO GOENKA
(Member : CSE)
|
|
|
|
BANWARILAL GOENKA
|
|
DID NOT MAINTAIN SEPARATE CLIENT ACCOUNT
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
19-FEB-2002
|
|
| 32 |
|
|
BEDI & CO.
(Member : LSE)
|
|
|
|
RAJAN BEDI
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
08-OCT-1999
|
|
| 33 |
|
|
BGSE FINANCIALS LTD.
(Member : BSE/NSE)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT FURNISH AUDITOR'S CERTIFICATE ON QUARTERLY BASIS REGARDING COLLECTION OF MINIMUM MARGIN FROM CLIENTS
CONTRACT NOTES NOT SIGNED BY AUTHORISED REPRESENTATIVES
PERMITTED TURNOVER LIMITS ABOVE THE LIMITS PRESCRIBED BY BSE AND NSE
PERMITTED USE OF BMC DEPOSITED WITH THE PROMOTING STOCK EXCHANGE FOR FIXING GROSS EXPOSURE LIMIT AND TURNOVER LIMIT
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
24-JAN-2006
|
|
| 34 |
|
|
BHAGWANDAS BHOGILAL & CO.
(Member : BSE)
|
|
|
|
VIPUL BHAGWANDAS SHAH
PAN:AARPS0651B
|
|
|
VISHAL SHAH
|
|
DID NOT EXERCISE DUE SKILL AND DILIGENCE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
12-JAN-2009
|
|
| 35 |
|
|
BHARAT BHUSHAN & CO.
(Member : DSE)
|
|
|
DID NOT FULFILL UNDERWRITING OBLIGATION IN PUBLIC ISSUE OF KANAN STEELS LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
21-NOV-2000
|
|
| 36 |
|
|
BHARAT BHUSHAN & CO.
(Member : DSE)
|
|
|
|
VIJAY BHUSHAN
|
|
DID NOT EXERCISE DUE CARE AND SKILL IN DEALING WITH CLIENTS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
05-FEB-2007
|
|
| 37 |
|
|
BHARAT BHUSHAN EQUITY TRADERS LTD.
(PAN:AAACB5382M)
(Member : NSE)
|
|
|
|
BAJRANG PRASAD
|
|
|
SHANKER SINGAL
|
|
DID NOT EXERCISE DUE CARE AND SKILL IN DEALING WITH CLIENTS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
05-FEB-2007
|
|
| 38 |
|
|
BHAVESH RAMESHCHANDRA MEHTA,M/S
(Sub-Broker of SKSE SECURITIES LTD., Member : BSE,Member : SKSE)
|
|
|
|
BHAVESH RAMESHCHANDRA MEHTA
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE EXECUTING TRANSACTIONS IN SCRIP OF DATABASE FINANCE LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
13-JAN-2009
|
|
| 39 |
|
|
BHH SECURITIES PVT.LTD.
(PAN:AAACB6431H)
(Member : BSE)
|
|
|
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
DEALT WITH UN-REGISTERED SUB-BROKERS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
14-JAN-2003
|
|
| 40 |
|
|
BHOJWANI SECURITIES PVT.LTD.
(CIN:U65993MH1993PTC070873
PAN:AAACB4604N)
(Member : PSE)
|
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
13-AUG-1997
|
|
| 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 15
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