| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
PARWATI CAPITAL MARKET PVT.LTD.
(Member : NSE)
|
|
|
CONNECTED TO SECONDARY SERVER REPEATEDLY WITHOUT VALID REASON VIOLATING REGULATIONS 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF NSE CO-LOCATION FACILITY
CONNECTED SECONDARY SERVER REPEATEDLY WITHOUT MAKING COMPLAINT TO NSE AND DESPITE REPRIMAND FROM NSE VIOLATING REGULATION 9 READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKER) REGULATIONS, 1992
|
IMPOSED PENALTY RS.6,00,000
30-AUG-2021
|
|
| 22 |
|
|
ROONGTA RISING STOCK PVT.LTD.
(PAN:AAACH9471P)
(Member : BSE/NSE)
|
|
|
|
ANIL SATYANARAYAN ROONGTA
PAN:ABBPR3992G
|
|
|
SUDHA ANIL ROONGTA
PAN:AAQPR4466F
|
|
INDULGED IN DEALING WITH SUSPENDED SCRIP VIOLATING REGULATION 4.6.4 OF REGULATIONS FOR BSE CAPITAL MARKET SEGMENT
INDULGED IN DEALING WITH SUSPENDED SCRIP VIOLATING REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF MISHKA FINANCE & TRADING LTD.
INDULGED IN DEALING WITH SUSPENDED SCRIP VIOLATING REGULATION 4.5.4 OF REGULATIONS FOR NSE CAPITAL MARKET SEGMENT
ISSUED CONTRACT NOTES FOR OFF MARKET TRANSACTIONS VIOLATING CLAUSES 2(B) OF CHAPTER VI AND CLAUSE 5 OF CHAPTER X OF BSE BYE-LAWS AND CLAUSES 8 AND 10 OF CHAPTER IX OF NSE BYE-LAWS IN MATTER OF MISHKA FINANCE & TRADING LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATIONS 6A AND 7 READ WITH CLAUSES A(1) TO A(5) AND C(4) OF CODE OF CONDUCT SPECIFIED UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 READ WITH REGULATIONS 9(B) AND 9(F) OF SEBI (STOCK BROKERS AND SUB BROKERS) (AMENDMENT) REGULATIONS, 2014 IN MATTER OF MISHKA FINANCE & TRADING LTD.
|
IMPOSED PENALTY RS.20,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-JUL-2022
|
SEBI VIDE ITS NOTICE DATED 24/02/2025 DIRECTED TO PAY RS.26,41,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 13/03/2025 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS 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 NOTICE DATED 23/04/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.2,681,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTG
SEBI VIDE ITS NOTICE DATED 09/06/2025 ALLOWED THE APPEAL AND DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 13/03/2025
SEBI VIDE ITS ORDER DATED 09/06/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.8642 OF 2025 DATED 24/02/2025
|
| 23 |
|
|
SHAREKHAN LTD.
(PAN:AAECS5096H)
(Member : BSE/NSE)
|
|
|
ALLEGED INDULGENCE IN FRONT RUNNING ACTIVITIES THROUGH ITS PROPRIETARY TRADING ACCOUNT AND MADE PERSONAL GAINS VIOLATING SECTION 12A(A) TO (C) READ WITH REGULATIONS 3(A) TO (D) AND 4(1) AND 4(2) (Q) OF SEBI (PFUTP) REGULATIONS, 2003
ALLEGED FACILITATE CERTAIN FRONTRUNNERS TO CARRY OUT FRONT-RUNNING ACTIVITY DISREGARDING ALERTS RECEIVED FROM STOCK EXCHANGE AND ALLOWED IMPROPER USE OF INFORMATION OF CONFIDENTIAL NATURE OF CLIENTS BY DEALERS VIOLATING REGULATION 9 READ WITH CLAUSES A(3), A(4) AND B(3) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,93,25,000 VIDE CONSENT ORDER)
23-APR-2019
|
SEBI VIDE ITS ADDENDUM ORDER DATED 04/06/2019 CONFIRMED THAT SHAREKHAN LTD. HAS DEPOSITED RS.50,93,894.00 (ILLEGAL GAINS OF RS.30,83,807 AND INTEREST OF RS.20,10,087) IN ESCROW ACCOUNT WITH PUNJAB NATIONAL BANK ON 01/08/2015
|
| 24 |
|
|
SILVER STREAM EQUITIES PVT.LTD.
(CIN:142575
PAN:AADCK5877H)
(Member : NSE)
|
|
|
CONNECTED TO SECONDARY SERVER WITHOUT ANY SUFFICIENT REASON DURING INVESTIGATION PERIOD VIOLATING NSE CO-LOCATION DIRECTIVES/INSTRUCTIONS/GUIDELINES READ WITH POINT 2(A) OF CHAPTER V OF NSE BYE-LAWS READ WITH CLAUSE A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKER) REGULATIONS, 1992 IN MATTER OF NSE CO-LOCATION FACILITY
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE ACCESSING SECONDARY SERVER OF NSE COLOCATION IN LINE WITH INSTRUCTION OF NSE CO-LOCATION DIRECTIVES/INSTRUCTIONS/GUIDELINES VIOLATING CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKER) REGULATIONS, 1992 IN MATTER OF NSE CO-LOCATION FACILITY
CONNECTED TO SECONDARY SERVER REPEATEDLY WITHOUT VALID REASON VIOLATING REGULATIONS 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF NSE CO-LOCATION FACILITY
|
IMPOSED PENALTY RS.6,00,000
16-FEB-2022
|
|
| 25 |
|
|
UNICON SECURITIES PVT.LTD.
(CIN:U74899DL1995PTC064554
PAN:AAPFS5325P)
(Member : BSE/NSE)
|
|
|
|
GAJENDRA NAGPAL
PAN:AADPN5511A
|
|
|
NEERAJ GROVER
PAN:AFDPG2918P
|
|
|
RAM MOHAN GUPTA
PAN:AGDPG7175M
|
|
|
SONIA NAGPAL
PAN:AAGPN2936G
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
DID NOT HAVE PERIODIC INTERNAL AUDIT CONDUCTED OF ITS STOCK BROKING AND DEPOSITORY PARTICIPANT OPERATIONS
DID NOT OBTAIN PRIOR APPROVAL FROM SEBI FOR THE CHANGE IN MANAGEMENT AND CONTROL
EXTENDED MARGIN TRADING FACILITY TO ITS CLIENTS WITHOUT OBTAINING REQUISITE APPROVAL FROM STOCK EXCHANGES
DID NOT CARRY OUT ACTUAL PERIODIC SETTLEMENT OF FUNDS AND SECURITIES OF ITS CLIENTS
INDULGED IN UNAUTHORISED FUND-BASED ACTIVITIES
DEALT IN SECURITIES IN FRAUDULENT & UNFAIR MANNER AND DEFRAUDED INVESTORS IN SECURITIES VIOLATING SECTIONS 12A(B) AND 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A), 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
|
IMPOSED PENALTY RS.15,00,000
30-AUG-2022
|
SEBI VIDE ITS NOTICE DATED 16/05/2025 DIRECTED TO PAY RS.26,61,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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