| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 461 |
|
JAYANT AMERCHAND KALIDAS,M/S
(Member : BSE)
|
|
|
|
JANAK DALAL
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS, CROSS DEALS AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF JAYANT AGRO ORGANICS LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
29-JUN-2010
|
SAT: IMPUGNED ORDER DATED 29/06/2010 MODIFIED AND PENALTY OF SUSPENSION OF REGISTRATION FOR ONE WEEK REDUCED TO WARNING, VIDE ORDER DATED 14/10/2010
|
| 462 |
|
|
JAYANTILAL KHANDWALA & SONS PVT.LTD.
(PAN:AAACJ9403D)
(Member : BSE)
|
|
|
|
JATIN KHANDWALA
|
|
AIDED AND ABETTED ITS CLIENT IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF DSQ BIOTECH LTD.
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(2), A(3) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF DSQ BIOTECH LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 04-FEB-2011 TO 24-FEB-2011
14-JAN-2011
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PERIOD OF SUSPENSION TO 10 DAYS FROM THREE WEEKS
|
| 463 |
|
|
JAYANTILAL KHANDWALA & SONS PVT.LTD.
(PAN:AAACJ9403D)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH MATCHED AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF DSQ SOFTWARE LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE WHILE EXECUTING TRADES FOR CLIENTS IN SCRIP OF DSQ SOFTWARE LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 28-SEP-2006 TO 27-OCT-2006
07-SEP-2006
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER SET ASIDE, WITH NO ORDER AS TO COSTS
|
| 464 |
|
|
JAYANTILAL KHANDWALA & SONS PVT.LTD.
(PAN:AAACJ9403D)
(Member : BSE)
|
|
|
|
JATIN KHANDWALA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS IN SCRIP OF KOPRAN LTD.
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLYING WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1),(3),(4),(5) AND B(6) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF KOPRAN LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 03-FEB-2012 TO 02-MAR-2012
13-JAN-2012
|
|
| 465 |
|
|
JAYANTILAL KHANDWALA & SONS PVT.LTD.
(PAN:AAACJ9403D)
(Member : BSE)
|
|
|
|
JATIN KHANDWALA
|
|
CREATED ARTIFICIAL MARKETS IN SCRIP OF ROOFIT INDUSTRIES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 13-JUN-2007 TO 27-JUN-2007
23-MAY-2007
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 23/05/2007 SET ASIDE
|
| 466 |
|
|
JAYANTILAL RAICHAND KHANDHAR,M/S
(Member : BSE)
|
|
|
|
JAYANTILAL RAICHAND KHANDHAR
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE RIGGING IN SCRIP OF NAPA PAPERS LTD.
|
DIRECTED BSE TO IMPOUND THE AUCTION AND CLOSE OUT PROCEEDS
19-DEC-2007
|
DIRECTED BSE TO TRANSFER THE AUCTION AND CLOSE OUT THE PROCEEDS RETAINED BY IT TO INVESTOR PROTECTION FUND OF THE EXCHANGE
DIRECTED BSE TO 1) REFUND MONEY ALONGWITH INTEREST ACCRUED IN INVESTOR PROTECTION FUND 2) ENSURE THAT SAME IS RELEASED TO ULTIMATE CLIENTS AND OBTAIN PROOF OF PAYMENTS 3) FORWARD REPORT OF COMPLIANCE SHOWING TOTAL AMOUNT LEFT AFTER SUCH PAYOUTS
|
| 467 |
|
|
JAYPEE CAPITAL SERVICES LTD.
(PAN:AAACJ0628A)
(Member : BSE/NSE/LSE/SKSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND CIRCULAR TRANSACTIONS IN SCRIP OF MILLENIUM CYBERTECH LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF MILLENIUM CYBERTECH LTD.
|
IMPOSED PENALTY RS.10,00,000
17-OCT-2013
|
SAT: SAT VIDE ITS ORDER DATED 22/01/2014 QUASHED AND SET ASIDE SEBI'S ORDER DATED 17/10/2013 AND DIRECTED ADJUDICATING OFFICER TO PASS A FRESH ORDER ON MERITS. NO COSTS
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 468 |
|
|
JAYPEE CAPITAL SERVICES LTD.
(PAN:AAACJ0628A)
(Member : SKSE/BSE/NSE/LSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS BY MATCHING ORDER QUANTITY, PRICE AND TIMINGS OF BUY AND SELL ORDERS IN SCRIP OF MILLENNIUM CYBERTECH LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-JAN-2006 TILL FURTHER ORDERS
24-JAN-2006
|
|
| 469 |
|
|
JAYPEE CAPITAL SERVICES LTD.
(PAN:AAACJ0628A)
(Member : USEIL)
|
|
|
|
GAURAV ARORA
PAN:ADQPA7169R
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH SELF TRADES IN SCRIP OF UNITED STOCK EXCHANGE OF INDIA LTD.
|
IMPOSED PENALTY RS.2,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-SEP-2017
|
SAT: APPEAL DISMISSED. NO COSTS
|
| 470 |
|
|
JAYSUKHLAL JAGJIVAN STOCK BROKING PVT.LTD.
(Member : BSE)
|
|
|
|
JAYSUKHLAL J.DOSHI
|
|
|
NITIN JAYSUKHLAL DOSHI
|
|
IRREGULARITIES IN DEALING IN SCRIP OF VIDEOCON INTERNATIONAL LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 28-APR-2003 TO 27-MAY-2003
03-APR-2003
|
SAT: IMPUGNED ORDER UPHELD WITH MODIFICATION THAT PENALTY REDUCED FROM SUSPENSION OF 1 MONTH TO SIMPLE WARNING
|
| 471 |
|
|
JAYSUKHLAL JAGJIVAN STOCK BROKING PVT.LTD.
(Member : BSE)
|
|
|
|
NITIN JAYSUKHLAL DOSHI
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF INDUSTRIAL & PRUDENTIAL INVESTMENT CO.LTD.
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGENCE IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF INDUSTRIAL & PRUDENTIAL INVESTMENT CO.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,93,457 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
31-AUG-2009
|
|
| 472 |
|
|
JBS SECURITIES PVT.LTD.
(PAN:AAACJ5485F)
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET BY STRUCTURED DEALS IN SCRIP OF ADANI EXPORTS LTD.
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE AND DILIGENCE WHILE TRADING IN SCRIP OF ADANI EXPORTS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,00,000 VIDE CONSENT ORDER)
08-OCT-2008
|
|
| 473 |
|
|
JCL SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING IN SCRIP OF SUN INFOWAY LTD.
ALLEGED INDULGENCE IN MATCHED TRADES AND CROSS DEALS IN SCRIP OF SUN INFOWAYS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,50,000 VIDE CONSENT ORDER)
20-APR-2009
|
|
| 474 |
|
|
JHAVERI SECURITIES LTD.
(PAN:AAACJ4727A)
(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.6,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 475 |
|
|
JHP SECURITIES PVT.LTD.
(PAN:AAACJ2847H)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR, SYNCHRONIZED AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF GEMSTONE INVESTMENTS LTD.
DID NOT MAINTAIN 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 GEMSTONE INVESTMENTS LTD.
|
IMPOSED PENALTY RS.8,00,000
31-JAN-2012
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SAT: APPEAL NOT SUCCEED
|
| 476 |
|
|
JITENDRA HARJIVANDAS SECURITIES PVT.LTD.
(PAN:AAACJ2849K)
(Member : BSE)
|
|
|
AIDED AND ABETTED CLIENTS IN EXECUTING SYNCHRONIZED AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF SHUKUN CONSTRUCTIONS LTD.
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING WITH CLIENTS IN SCRIP OF SHUKUN CONSTRUCTION LTD.
|
IMPOSED PENALTY RS.3,00,000
25-MAY-2009
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 25/05/2009 SET ASIDE AND CASE SENT BACK TO AO FOR FRESH DECISION
|
| 477 |
|
|
JITENDRA HARJIVANDAS SECURITIES PVT.LTD.
(PAN:AAACJ2849K)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR, SYNCHRONIZED, CROSS DEALS AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF BETALA GLOBAL SECURITIES LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF BETALA GLOBAL SECURITIES LTD.
|
IMPOSED PENALTY RS.25,00,000
03-JUN-2010
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 03/06/2010 SET ASIDE AND CASE REMANDED TO AO TO PROCEED IN ACCORDANCE WITH LAW. NO ORDER AS TO COSTS
|
| 478 |
|
|
JITENDRA HARJIVANDAS SECURITIES PVT.LTD.
(PAN:AAACJ2849K)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND CIRCULAR TRANSACTIONS IN SCRIP OF BETALA GLOBAL SECURITIES LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF BETALA GLOBAL SECURITIES LTD.
|
IMPOSED PENALTY RS.10,00,000
01-NOV-2012
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 479 |
|
|
JITENDRA HARJIVANDAS SECURITIES PVT.LTD.
(PAN:AAACJ2849K)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR TRADES IN SCRIP OF SHUKUN CONSTRUCTION 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 SHUKUN CONSTRUCTION LTD.
|
IMPOSED PENALTY RS.3,00,000
26-JUL-2011
|
|
| 480 |
|
|
JITENDRA HARJIVANDAS SECURITIES PVT.LTD.
(PAN:AAACJ2849K)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, CIRCULAR TRANSACTIONS AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF WELLWORTH OVERSEAS LTD.
DID NOT MAINTAIN INTEGRITY, DID NOT EXERCISE DUE SKILL AND CARE, 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 WELLWORTH OVERSEAS LTD.
|
IMPOSED PENALTY RS.8,00,000
30-NOV-2009
|
SAT: IMPUGNED ORDER DATED 30/11/2009 MODIFIED AND PENALTY AMOUNT REDUCED TO RS.4,00,000 FROM RS.8,00,000 WITH NO ORDER AS TO COSTS
INCLUDED IN SEBI LIST DATED 30/09/2012, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 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 24 of 62
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