| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 401 |
|
HIMANSHU AJMERA,M/S
(Member : CSE)
|
|
|
|
HIMANSHU AJMERA
PAN:ADEPA7521K
|
|
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
INDULGED IN OFF-MARKET TRANSACTIONS
INDULGED IN MATCHED/SYNCHRONISED TRANSACTIONS IN SCRIP OF DSQ SOFTWARE LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 25-MAR-2004 TO 24-MAR-2005
08-MAR-2004
|
SAT: APPEAL DISPOSED OFF, BEING INFRUCTUOUS
|
| 402 |
|
|
HIRALAL THAKORDAS NANAVATI
(Member : NSE)
|
|
|
ALLEGED MANIPULATION OF PRICE OF JAYANT AGRO ORGANICS LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
01-FEB-2006
|
|
| 403 |
|
|
HOFFLAND FINANCE LTD.
(Member : JSE/BGSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF JVG DEPARTMENTAL STORES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 06-MAR-1998 TO 05-SEP-1998
06-MAR-1998
|
|
| 404 |
|
|
HOFFLAND SHARE SHOPPE LTD.
(Member : MDSE/DSE)
|
|
|
ABETTED HOFFLAND FINANCE LTD. IN CREATION OF FALSE MARKET IN SCRIP OF JVG DEPARTMENTAL STORES
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 09-FEB-1998 TO 08-AUG-1998
04-FEB-1998
|
|
| 405 |
|
|
HORIZON FINANCIAL CONSULTANTS PVT.LTD.
(PAN:AACCV9411H)
(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
|
|
| 406 |
|
|
ICDS SECURITIES LTD.
(Member : BGSE)
|
|
|
INVOLVED IN CREATION OF FALSE MARKET, CIRCULAR TRADING AND PRICE MANIPULATION IN SCRIP OF HOME TRADE LTD.
DID NOT EXERCISE DUE CARE AND SKILL IN DEALING WITH CLIENTS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 22-SEP-2005 TO 21-OCT-2005
01-SEP-2005
|
|
| 407 |
|
|
ICICI BROKERAGE SERVICES LTD.
(Member : BSE/NSE)
|
|
|
COMMITTED IRREGULARITIES IN TRADING IN SCRIP OF GLOBAL TRUST BANK LTD.
|
DISCHARGED FROM THE PROCEEDINGS IN MATTER OF IRREGULARITIES
09-SEP-2004
|
|
| 408 |
|
|
ICICI SECURITIES LTD.
(PAN:AAACI0996E)
(Member : BSE/NSE/OTC)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DIRECTED BSE LTD.TO SUBMIT DETAILED REPORT IN MATTER OF ALKA SECURITIES LTD.
28-JUL-2009
|
BSE VIDE ITS LETTER DATED 19/11/2009 HAS CONCLUDED THE INSPECTION WITHOUT ANY ADVICE / PENALTIES
|
| 409 |
|
|
IIFL SECURITIES LTD.
(PAN:AAACI7397D)
(Member : BSE/NSE)
|
|
|
ALLEGED INDULGENCE IN PRICE MANIPULATION IN SHARES FOR BLOCK DEAL DURING AFTERNOON WINDOW I.E. VOLUME WEIGHTED AVERAGE PRICE (VWAP) IN SCRIP OF ALKEM LABORATORIES LTD.
ALLEGED INDULGENCE IN PRICE MANIPULATION IN SHARES FOR BLOCK DEAL DURING AFTERNOON WINDOW I.E. VOLUME WEIGHTED AVERAGE PRICE (VWAP) VIOLATING CLAUSES A(1) TO A(4) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF ALKEM LABORATORIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,21,92,125 VIDE CONSENT ORDER)
25-FEB-2022
|
|
| 410 |
|
|
IIFL SECURITIES LTD.
(PAN:AAACI7397D)
(Member : BSE)
|
|
|
INDULGED IN PRICE MANIPULATION IN SHARES FOR BLOCK DEAL DURING AFTERNOON WINDOW I.E. VOLUME WEIGHTED AVERAGE PRICE (VWAP) IN SCRIP OF ICICI LOMBARD GENERAL INSURANCE CO.LTD.
INDULGED IN PRICE MANIPULATION IN SHARES FOR BLOCK DEAL DURING AFTERNOON WINDOW VIOLATING CLAUSES A(3) TO A(4) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF ICICI LOMBARD GENERAL INSURANCE CO.LTD.
|
IMPOSED PENALTY RS.25,00,000
29-JUL-2022
|
|
| 411 |
|
|
IIFL SECURITIES LTD.
(PAN:AAACI7397D)
(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
|
|
| 412 |
|
|
IIFL WEALTH MANAGEMENT LTD.
(PAN:AABCI8294C)
(Member : BSE/NSE)
|
|
|
ALLEGED INDULGENCE IN PRICE MANIPULATION IN SHARES FOR BLOCK DEAL DURING AFTERNOON WINDOW I.E. VOLUME WEIGHTED AVERAGE PRICE (VWAP) IN SCRIP OF ALKEM LABORATORIES LTD.
ALLEGED INDULGENCE IN PRICE MANIPULATION IN SHARES FOR BLOCK DEAL DURING AFTERNOON WINDOW I.E. VOLUME WEIGHTED AVERAGE PRICE (VWAP) VIOLATING CLAUSES A(1) TO A(4) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF ALKEM LABORATORIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,12,64,858 VIDE CONSENT ORDER)
08-JUL-2022
|
|
| 413 |
|
|
INDIA CAPITAL MARKETS PVT.LTD.
(PAN:AABCN0802B)
(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
|
|
| 414 |
|
|
INDIA CAPITAL MARKETS PVT.LTD.
(PAN:AABCN0802B)
(Member : BSE/NSE/MSEI)
|
|
|
PERMITTED MR.DARSHAN DESAI, WHO WAS NOT AN EMPLOYEE, TO OPERATE AND MANAGE ONE OF ITS BRANCHES
DID NOT CARRY OUT DUE DILIGENCE IN RESPECT OF ITS CLIENTS AND ALLOWED LARGE EXPOSURE TO LOW-INCOME GROUP CLIENTS
PROVIDED EXPOSURE TO CLIENTS HAVING DEBIT BALANCE
DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF PYRAMID SAIMIRA THEATRE LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 02-AUG-2022
02-AUG-2022
|
|
| 415 |
|
|
INDIA CEMENTS INVESTMENT SERVICES LTD.
(PAN:AAACA3197M)
(Member : NSE)
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE IN SCRIP OF MARUTI ORGANICS LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF MARUTI ORGANICS LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 14-AUG-2002 TO 21-AUG-2002
14-AUG-2002
|
|
| 416 |
|
|
INDIA INFOLINE SECURITIES PVT.LTD.
(PAN:AABCI0745G)
(Member : NSE/BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF IFSL LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-SEP-2005 TILL FURTHER ORDERS
28-SEP-2005
|
CONFIRMED INTERIM ORDER DATED 28/09/2005
|
| 417 |
|
|
INDIA INFOLINE SECURITIES PVT.LTD.
(PAN:AABCI0745G)
(Member : BSE/NSE)
|
|
|
ACTED IN CONCERT WITH OTHER BROKERS/CLIENTS TO CREATE ARTIFICIAL MARKET AND PRICE RISE THROUGH CROSS DEALS AND BULK DEALS IN SCRIP OF IND TRA DECO LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-OCT-2005 TILL FURTHER ORDERS
05-OCT-2005
|
DIRECTED THAT INTERIM ORDER DATED 05/10/2005 SHALL REMAIN IN FORCE TILL FINAL ORDERS PASSED BY SEBI
ORDER DATED 05/10/2005 READ WITH ORDER DATED 20/06/2006 REVOKED AND DISPOSED OFF. NSDL AND CDSL ADVISED TO LIFT THE RESTRICTIONS IMPOSED BY ORDER DATED 05/10/2005 AND 20/06/2006
|
| 418 |
|
|
INDIABULLS SECURITIES LTD.
(PAN:AAACO0870B)
(Member : BSE/NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF MEGA CORP.LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-OCT-2005 TILL FURTHER ORDERS
24-OCT-2005
|
CONFIRMED INTERIM ORDER DATED 24/10/2005
|
| 419 |
|
|
INDIABULLS SECURITIES LTD.
(PAN:AAACO0870B)
(Member : NSE/BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF IFSL LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-SEP-2005 TILL FURTHER ORDERS
28-SEP-2005
|
CONFIRMED INTERIM ORDER DATED 28/09/2005
|
| 420 |
|
|
INDIABULLS SECURITIES LTD.
(PAN:AAACO0870B)
(Member : BSE)
|
|
|
ALLEGED VIOLATION OF REGULATIONS 4(1),4(2) (A),(B),(E),(G) & (N) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF MEGA CORP.LTD.
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, NOT EXERCISING DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLYING WITH 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 MEGA CORP.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.30,00,000 VIDE CONSENT ORDER)
22-SEP-2011
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 21 of 62
|
