| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 381 |
|
HARIKISHAN HIRALAL,M/S
(Member : BSE)
|
|
|
|
HARIKISHAN HIRALAL
|
|
ACTED IN CONCERT TO CREATE ARTIFICIAL MARKET/PRICE IN SCRIP OF ELTROL LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-OCT-2005 TILL FURTHER ORDERS
05-OCT-2005
|
DIRECTION ISSUED VIDE AD INTERIM EX-PARTE ORDER DATED 05/10/2005 REVOKED VIDE ORDER DATED 28/07/2010
|
| 382 |
|
|
HARIKISHAN HIRALAL,M/S
(Member : BSE)
|
|
|
|
HARIKISHAN HIRALAL
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH FIRST TRADES, PUTTING BUY ORDERS AT UPPER CIRCUIT PRICES AND PLACING INVALID BUY ORDERS IN SCRIP OF PRIME PROPERTY DEVELOPMENT CORP.LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-SEP-2005 TILL FURTHER ORDERS
29-SEP-2005
|
|
| 383 |
|
|
HARISH CHANDRA BIYANI,M/S
(Member : CSE)
|
|
|
|
HARISH CHANDRA BIYANI
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF DSQ INDUSTRIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-JAN-2005 TO 26-JAN-2010
27-JAN-2005
|
|
| 384 |
|
|
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
|
|
| 385 |
|
|
HARISH KUMAR SINGHANIA,M/S
(PAN:AKVPS1237L)
(Member : BSE)
|
|
|
|
HARISH KUMAR SINGHANIA
PAN:AKVPS1237L
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 386 |
|
|
HARJIVANDAS NEMIDAS & SONS
(Member : BSE)
|
|
|
INDULGED IN ABNORMAL PRICE RISE AND MARKET MANIPULATIONS IN SCRIP OF SVA UDYOG INDIA LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-APR-1998 TO 26-JUN-1998
23-APR-1998
|
|
| 387 |
|
|
HARSH SHARES BROKING PVT.LTD.
(PAN:AACCH4347L)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 388 |
|
|
HARVESTDEAL SECURITIES LTD.
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF NEDUNGADI BANK LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE DURING TRADE IN SCRIP OF NEDUNGADI BANK LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 26-MAY-2008 TO 25-NOV-2008
17-APR-2007
REACHED SETTLEMENT ( LEGAL EXPENSES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER) FROM 26-MAY-2008 TO 25-NOV-2008
26-MAY-2008
|
SAT: APPLICANT AGREED TO REMAIN OUT OF MARKET FOR A PERIOD OF 6 MONTHS AND TO PAY RS.25000 AS PER CONSENT ORDER DATED 26/05/2008
|
| 389 |
|
|
HARVESTDEAL SECURITIES LTD.
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF BPL LTD., VIDEOCON INTERNATIONAL LTD. AND STERLITE INDUSTRIES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 05-JUN-2014 TO 18-JUN-2014
15-MAY-2014
|
SAT: SAT VIDE ITS ORDER DATED 07/03/2016 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 15/05/2014 AND RESTORED THE MATTER TO FILE OF ATM TO PASS FRESH ORDERS ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
|
| 390 |
|
|
HARVESTDEAL SECURITIES LTD.
(Member : BSE)
|
|
|
AIDED AND ABETTED DAMAYANTI GROUP ENTITIES IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF BPL LTD., VIDEOCON INTERNATIONAL LTD. AND STERLITE INDUSTRIES LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
13-OCT-2021
|
|
| 391 |
|
|
HARVESTDEAL SECURITIES LTD.
(Member : BSE)
|
|
|
ALLEGED IRREGULAR TRANSACTIONS IN SCRIP OF BLUE INFORMATION TECHNOLOGY LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO ACTIVATE CERTIFICATE OF REGISTRATION AS STOCK BROKER) FROM 15-FEB-2008 TO 14-MAY-2008
15-FEB-2008
|
|
| 392 |
|
|
HARVESTDEAL SECURITIES LTD.
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF BPL LTD., VIDEOCON INTERNATIONAL LTD. AND STERLITE INDUSTRIES LTD.
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 02-NOV-1998
30-OCT-1998
|
|
| 393 |
|
|
HAVEN FINANCIAL SERVICES PVT.LTD.
(Member : NSE)
|
|
|
ATTEMPTED TO INDUCE PUBLIC TO DEAL BY CREATING MISLEADING APPEARANCE OF TRADING IN THE SCRIP OF RADAAN MEDIAWORKS INDIA LTD.
ACTED IN CONCERT TO MANIPULATE SCRIP OF RADAAN MEDIAWORKS INDIA LTD. THROUGH REVERSAL OF TRADE TRANSACTIONS/SYNCHRONIZED DEALS
DID NOT EXERCISE DUE CARE AND DILIGENCE IN CONDUCT OF ITS BUSINESS AS A BROKER
|
IMPOSED PENALTY RS.5,00,000
29-MAY-2006
|
SAT: APPEAL FAILED AND DISMISSED WITH PARTIES TO BEAR THEIR OWN COSTS
|
| 394 |
|
|
HAVEN FINANCIAL SERVICES PVT.LTD.
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED/CIRCULAR AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF RAJESH EXPORTS 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 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 RAJESH EXPORTS LTD.
|
IMPOSED PENALTY RS.1,00,000
30-JUN-2010
|
|
| 395 |
|
|
HAVMORE FINANCIAL SERVICES (INDIA) LTD.
(Along with : KALPESH KANTILAL CHAWALLA,M/S)
|
|
|
|
KALPESH KANTILAL CHAWALLA
DIN:00366454
|
|
AIDED DEVENDRA KANTILAL DALAL IN PRICE MANIPULATION IN SCRIP OF JYOTI RESINS & ADHESIVES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-AUG-2002 TO 11-FEB-2003
12-AUG-2002
|
|
| 396 |
|
|
HB SECURITIES LTD.
(Member : NSE)
|
|
|
|
PRAVEEN GUPTA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH STRUCTURED DEALS IN SCRIP OF JINDAL STEEL & POWER LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
17-DEC-2009
|
|
| 397 |
|
|
HB SECURITIES LTD.
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH STRUCTURED AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF JAGSONPAL PHARMACEUTICALS LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 13 READ WITH CLAUSES A(1),A(3) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF JAGSONPAL PHARMACEUTICALS LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 13-AUG-2013 TO 15-AUG-2013
23-JUL-2013
|
SAT: APPEAL ALLOWED WITH NO ORDER AS TO COSTS
DIRECTIONS AS CONTEMPLATED IN THE SCN AGAINST THE NOTICEE ARE NOT CALLED FOR AND ACCORDINGLY PRESENT PROCEEDINGS DISPOSED OFF BY SEBI VIDE ORDER DATED 12/11/2013
|
| 398 |
|
|
HEM SECURITIES LTD.
(PAN:AABCH8005N)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIPS OF LUPIN LABORATORIES LTD.,AFTEK INFOSYS LTD.,SHONKH TECHNOLOGIES INTERNATIONAL LTD.,GLOBAL TRUST BANK LTD.,ADANI EXPORTS LTD.HIMACHAL FUTURISTIC COMMUNICATIONS LTD. AND GLOBAL TELESYSTEMS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.90,00,000 VIDE CONSENT ORDER)
08-JAN-2010
|
|
| 399 |
|
|
HEM SECURITIES LTD.
(PAN:AABCH8005N)
(Member : BSE,Depository Participants : CDSL)
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF GLOBAL TRUST BANK LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF GLOBAL TRUST BANK LTD.
PARKED SHARES TO CIRCUMVENT SEBI TAKEOVER CODE, 1997
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2002 TILL INVESTIGATION COMPLETED
31-DEC-2002
|
|
| 400 |
|
|
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
|
|
| 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 20 of 62
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