| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 441 |
|
ISF SECURITIES LTD.
(PAN:AAACI1667E)
(Member : BSE/NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, CIRCULAR AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF GANGOTRI TEXTILES LTD.
|
PROHIBITED FROM ACCEPTING FRESH/NEW CLIENTS FROM 13-APR-2017 TO 12-OCT-2017
DIRECTED TO DISCLOSE CONTENTS OF SEBI’S DIRECTIONS ON ITS WEBSITE(S) IMMEDIATELY
13-APR-2017
|
|
| 442 |
|
|
ISJ SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF PEACOCK INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
09-MAR-2010
|
|
| 443 |
|
|
ISJ SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKETS BY SYNCHRONIZED TRADES AND PRICE MANIPULATION IN SCRIP OF KARUNA CABLES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,000 VIDE CONSENT ORDER)
08-OCT-2008
|
|
| 444 |
|
|
ISJ SHARE & STOCK BROKERS PVT.LTD.
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF PEACOCK INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.8,00,000 VIDE CONSENT ORDER)
09-MAR-2010
|
|
| 445 |
|
|
J.B.JHAVERI,M/S
(Member : VSE)
|
|
|
|
J.B.JHAVERI
|
|
AIDED DEVENDRA KANTILAL DALAL IN PRICE MANIPULATION IN SCRIP OF JYOTI RESINS & ADHESIVES LTD.
DID NOT EXERCISE DUE SKILL AND DILIGENCE IN MATTER OF JYOTI RESINS & ADHESIVE LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-AUG-2002 TO 11-DEC-2002
12-AUG-2002
|
|
| 446 |
|
|
J.G.A.SHAH SHARE BROKERS PVT.LTD.
(Member : BSE)
|
|
|
ORDERS PLACED BY SUB-BROKER FOR PURCHASE OF SHARES OF VISION TECHNOLOGY INDIA LTD. AT A PRICE HIGHER THAN MARKET PRICE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 13-JAN-2006 TO 22-JAN-2006
23-DEC-2005
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER SET ASIDE
|
| 447 |
|
|
J.R.MOTISHAW & CO.
(Member : BSE)
|
|
|
EXECUTED TRANSACTIONS FOR THE PURPOSE OF ARTIFICIALLY RAISING PRICE OF SCRIP OF MJP LEASING LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
12-FEB-2002
|
|
| 448 |
|
|
J.T.AMRITHASINGH & CO.
(Member : CSE)
|
|
|
|
J.T.AMRITHASINGH
|
|
ALLEGED IRREGULARITIES IN DEALING IN SCRIP OF BLUE PRINT SECURITIES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 17-FEB-2005 TO 16-AUG-2005
27-JAN-2005
|
|
| 449 |
|
|
J.V.S.SECURITIES PVT.LTD.
(Member : CSE/NSE)
|
|
|
|
JYOTI VARDHAN SONTHALIA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF SPANCO TELESYSTEMS & SOLUTIONS LTD.
VIOLATED REGULATION 7 READ WITH CODE OF CONDUCT AS SPECIFIED IN SCHEDULE 11 OF STOCK BROKER REGULATION
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 05-APR-2007 TO 11-APR-2007
15-MAR-2007
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 15/03/2007 SET ASIDE WITH NO ORDER AS TO COSTS
|
| 450 |
|
|
J.V.STOCK BROKING PVT.LTD.
(PAN:AABCJ1783D)
(Member : UPSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH SELF TRADES AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF SKY INDUSTRIES LTD.
|
IMPOSED PENALTY RS.10,00,000
12-MAR-2015
|
SAT: SAT VIDE ITS ORDER DATED 25/02/2016 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 12/03/2015 AND RESTORED THE MATTER TO FILE OF AO FOR FRESH DECISION ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
SEBI VIDE ITS ORDER DATED 09/10/2017 RE-IMPOSED PENALTY OF RS.25,00,000.00 U/S 15HA OF SEBI ACT
SAT: SAT VIDE ITS ORDER DATED 11/10/2019 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY TO RS.10 LACS FROM RS.25 LACS. NO COSTS
SEBI VIDE ITS NOTICE DATED 28/07/2020 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1. ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) BY WHATEVER NAME CALLED INCLUDING LOCKERS 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 ORDER DATED 03/08/2020 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 27/07/2020
SAT: SAT VIDE ITS ORDER DATED 10/03/2021 DISMISSED THE REVIEW APPLICATION
|
| 451 |
|
|
JAGANNATH VINOD KUMAR,M/S
(Member : PSE)
|
|
|
|
VINOD J.GUPTA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF HOME TRADE LTD.
FACILITATED TRANSACTIONS ILLEGALLY WITHOUT FOLLOWING "KNOW YOUR CLIENT CRITERIA"
DEFAULTED IN VERIFYING FINANCIAL CAPABILITIES AND NET WORTH OF CLIENTS
DID NOT OBTAIN ACKNOWLEDGEMENT ON COUNTERFOILS OF CONTRACT NOTES
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
DID NOT MAINTAIN CLIENT AGREEMENTS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 21-DEC-2005 TO 04-JAN-2006
30-NOV-2005
|
|
| 452 |
|
|
JAGRUTI SECURITIES LTD.
(PAN:AAACJ1217D)
(Member : BSE/NSE)
|
|
|
OFF-LOADED SHARES IN BULK QUANTITY THROUGH OFF-MARKET AND ON-MARKET MACHANISMS WITHOUT DISCLOSING IDENTITY IN SCRIP OF JIK INDUSTRIES LTD.
|
IMPOSED PENALTY RS.25,00,000
24-FEB-2009
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 24/02/2009 SET ASIDE
|
| 453 |
|
|
JAGRUTI SECURITIES LTD.
(PAN:AAACJ1217D)
(Member : BSE/NSE)
|
|
|
|
JAGRUTI R.PARIKH
|
|
EXECUTED TRANSACTIONS FOR THE PURPOSE OF ARTIFICIALLY RAISING PRICE IN SCRIP OF JIK INDUSTRIES LTD.
|
IMPOSED PENALTY RS.10,00,000
28-MAR-2006
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 28/03/2006 SET ASIDE LEAVING PARTIES TO BEAR THEIR OWN COSTS.
|
| 454 |
|
|
JAI SHAREFIN LTD.
(Member : ASE)
|
|
|
ALLEGED INDULGENCE IN MANIPULATION IN SCRIPS OF HINDUSTAN CONTINENTAL LTD. AND PRIYANS SAREE INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 15-OCT-2009 TO 14-OCT-2011
09-OCT-2009
|
|
| 455 |
|
|
JAICO SECURITIES PVT.LTD.
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIPS OF JINDAL STAINLESS LTD.,BSEL INFRASTRUCTURE REALTY LTD. ,MAHARASHTRA SEAMLESS LTD.AND COSMO FILMS LTD.
ALLEGED INDULGENCE IN VIOLATION OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF JINDAL STAINLESS LTD.,BSEL INFRASTRUCTURE REALTY LTD. ,MAHARASHTRA SEAMLESS LTD.AND COSMO FILMS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.20,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER) FROM 26-OCT-2009 TO 25-DEC-2009
23-OCT-2009
|
|
| 456 |
|
|
JAINAM BROKING LTD.
(CIN:U67120GJ2003PLC043162
PAN:AABCJ3918N)
(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
|
|
| 457 |
|
|
JAMBUWALA CAPITAL SERVICES PVT.LTD.
(PAN:AACCJ0642A)
(Member : NSE/BSE/MCX)
|
|
|
COLLUDED WITH CLIENTS TO EXECUTE PREDETERMINED TRADES TO SQUARED OFF THE TRADES AND BOOK PROFITS/LOSSES IN MATTER OF INDEX OPTIONS CONTRACTS OF NIFTY
DID NOT CARRY OUT NECESSARY DUE DILIGENCE AND COMPLIANCE WITH STATUTORY REQUIREMENTS WHILE DEALING WITH CLIENTS IN MATTER OF INDEX OPTIONS CONTRACTS OF NIFTY
|
IMPOSED PENALTY RS.6,00,000
30-AUG-2024
|
SAT: SAT VIDE ITS ORDER DATED 25/10/2024 CONDONED THE DELAY OF 9 DAYS IN FILING OF APPEAL. ALLOWED RESPONDENT FOUR WEEKS TO FILE REPLY AND REJOINDER TO BE FILED WITHIN TWO WEEKS THEREAFTER. RECOVERY REMAIN STAYED SUBJECT TO DEPOSIT OF RS.2 LAC WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 18/12/2024 GRANTED APPELLANT FOUR WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 04/03/2025 GRANTED APPELLANT FOUR WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 04/07/2025 GRANTED APPELLANTS THREE WEEKS TO FILE REJOINDER
|
| 458 |
|
|
JARDINE FLEMING INDIA BROKING LTD.
(Member : NSE)
|
|
|
ALLEGED IRREGULARITIES IN DEALINGS IN SCRIP OF STATE BANK OF INDIA
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
29-JUL-2002
|
|
| 459 |
|
|
JAS-ONE SECURITIES PVT.LTD.
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF MIRC ELECTRONICS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
13-MAY-2010
|
|
| 460 |
|
|
JASWANT NANALAL JHAVERI,M/S
(Member : BSE)
|
|
|
|
JASWANT NANALAL JHAVERI
|
|
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
|
| 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 23 of 62
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