| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 501 |
|
P R B SECURITIES PVT.LTD.
(PAN:AABCP5425G)
(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-APR-2021
|
|
| 502 |
|
|
P SURYAKANT SHARE & STOCK BROKERS PVT.LTD.
(PAN:AACCP3112F)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS/REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF IND SWIFT LTD.
FAILED IN MAINTAINING INTEGRITY, NOT EXERCISED DUE SKILL AND CARE, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLIED 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 IND SWIFT LTD.
|
IMPOSED PENALTY RS.1,00,000
26-AUG-2009
|
|
| 503 |
|
|
P SURYAKANT SHARE & STOCK BROKERS PVT.LTD.
(PAN:AACCP3112F)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN MARKET MANIPULATION AND PRICE MANIPULATION THROUGH CIRCULAR TRADING IN SCRIP OF STOCKNET INTERNATIONAL LTD.
ALLEGED FAILURE IN MAINTENANCE OF 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 STOCKNET INTERNATIONAL LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.4,00,000 VIDE CONSENT ORDER)
21-JAN-2011
|
|
| 504 |
|
|
P.ARORA & CO.
(Member : LSE)
|
|
|
INDULGED IN UNAUTHORISED CARRY FORWARD TRADING AND FINANCING TRANSACTIONS VIOLATING CLAUSE A(1),A(3) AND A(5) OF CODE OF CONDUCT AND RULE 4(B) OF SEBI (STOCK BROKERS & SUB-BROKERS) REGULATIONS, 1992 AND IN SCRIP OF SRU SHARE BROKERS LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
29-DEC-2009
|
|
| 505 |
|
|
P.K.AGARWAL & CO.
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS AND CROSS DEALS IN SCRIP OF KAY VEE AAR 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) AND B(4) (A) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF KAY VEE AAR LTD.
|
IMPOSED PENALTY RS.3,00,000
03-DEC-2009
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SAT: SAT VIDE ITS ORDER DATED 29/09/2017 DISPOSED OFF THE APPEAL AND DIRECTED SEBI TO ISSUE SHOW CAUSE NOTICE WITHIN 2 WEEKS FROM THE DATE OF THIS ORDER DEMANDING INTEREST, IF DEEMED FIT. NO COSTS
SEBI VIDE ITS ORDER DATED 12/12/2017 DIRECTED NOTICEE TO MAKE PAYMENT OF RS.5,81,490.00 (INCLUDING INTEREST) BY 05/01/2018 EITHER THROUGH DD IN FAVOUR OF SEBI PAYABLE AT KOLKATA, OR THROUGH EFT/NEFT/RTGS FOLLOWED BY AN INTIMATION TO RECOVERY CELL (ERO)
SEBI VIDE ITS ORDER DATED 09/01/2018 FULL AND FINAL PAYMENT OF RS,16,93,776.00 PAID BY P.K.AGARWAL & CO.
|
| 506 |
|
|
P.K.AGARWAL & CO.
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF BLUE PRINT 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) AND B(4) (A) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF BLUE PRINT SECURITIES LTD.
|
IMPOSED PENALTY RS.6,00,000
29-MAR-2010
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SAT: SAT VIDE ITS ORDER DATED 29/09/2017 DISPOSED OFF THE APPEAL AND DIRECTED SEBI TO ISSUE SHOW CAUSE NOTICE WITHIN 2 WEEKS FROM THE DATE OF THIS ORDER DEMANDING INTEREST, IF DEEMED FIT. NO COSTS
SEBI VIDE ITS ORDER DATED 12/12/2017 DIRECTED NOTICEE TO MAKE PAYMENT OF RS.11,40,099.00 (INCLUDING INTEREST) BY 05/01/2018 EITHER THROUGH DD IN FAVOUR OF SEBI PAYABLE AT KOLKATA, OR THROUGH EFT/NEFT/RTGS FOLLOWED BY AN INTIMATION TO RECOVERY CELL (ERO)
SEBI VIDE ITS ORDER DATED 09/01/2018 FULL AND FINAL PAYMENT OF RS,16,93,776.00 PAID BY P.K.AGARWAL & CO.
|
| 507 |
|
|
P.K.AGARWAL & CO.
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF BOLTON PROPERTIES 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) AND B(4) (A) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF BOLTON PROPERTIES LTD.
|
IMPOSED PENALTY RS.3,00,000
19-JAN-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SAT: SAT VIDE ITS ORDER DATED 29/09/2017 DISPOSED OFF THE APPEAL AND DIRECTED SEBI TO ISSUE SHOW CAUSE NOTICE WITHIN 2 WEEKS FROM THE DATE OF THIS ORDER DEMANDING INTEREST, IF DEEMED FIT. NO COSTS
SEBI VIDE ITS ORDER DATED 12/12/2017 DIRECTED NOTICEE TO MAKE PAYMENT OF RS.5,76,855.00 (INCLUDING INTEREST) BY 05/01/2018 EITHER THROUGH DD IN FAVOUR OF SEBI PAYABLE AT KOLKATA, OR THROUGH EFT/NEFT/RTGS FOLLOWED BY AN INTIMATION TO RECOVERY CELL (ERO)
SEBI VIDE ITS ORDER DATED 09/01/2018 FULL AND FINAL PAYMENT OF RS,16,93,776.00 PAID BY P.K.AGARWAL & CO.
|
| 508 |
|
|
P.K.AGARWAL & CO.
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF M.P.INVESTMENT & CONSULTANCY SERVICES 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) AND B(4) (A) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF M.P.INVESTMENT & CONSULTANCY SERVICES LTD.
|
IMPOSED PENALTY RS.4,00,000
25-MAR-2010
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SAT: SAT VIDE ITS ORDER DATED 29/09/2017 DISPOSED OFF THE APPEAL AND DIRECTED SEBI TO ISSUE SHOW CAUSE NOTICE WITHIN 2 WEEKS FROM THE DATE OF THIS ORDER DEMANDING INTEREST, IF DEEMED FIT. NO COSTS
SEBI VIDE ITS ORDER DATED 12/12/2017 DIRECTED NOTICEE TO MAKE PAYMENT OF RS.7,60,592.00 (INCLUDING INTEREST) BY 05/01/2018 EITHER THROUGH DD IN FAVOUR OF SEBI PAYABLE AT KOLKATA, OR THROUGH EFT/NEFT/RTGS FOLLOWED BY AN INTIMATION TO RECOVERY CELL (ERO)
SEBI VIDE ITS ORDER DATED 09/01/2018 FULL AND FINAL PAYMENT OF RS,16,93,776.00 PAID BY P.K.AGARWAL & CO.
|
| 509 |
|
|
P.K.AGARWAL & CO.
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS IN SCRIP OF SUDAMA TRADING & INVESTMENT 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) AND B(4) (A) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SUDAMA TRADING & INVESTMENT LTD.
|
IMPOSED PENALTY RS.1,50,000
10-NOV-2009
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 28/07/2022 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 30/11/2022 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 28/07/2022
SEBI VIDE ITS ORDER DATED 30/11/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.4993 OF 2022 DATED 29/06/2022
|
| 510 |
|
|
P.K.AGARWAL & CO.
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND STRUCTURED TRANSACTIONS IN SCRIP OF KONARK COMMERCE INDUSTRIES LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS/NOTICES/LETTERS IN MATTER OF KONARK COMMERCE INDUSTRIES 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) AND B(4) (A) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF KONARK COMMERCE INDUSTRIES LTD.
|
IMPOSED PENALTY RS.8,00,000
22-MAR-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 28/07/2022 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 30/11/2022 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 28/07/2022
SEBI VIDE ITS ORDER DATED 30/11/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.4992 OF 2022 DATED 29/06/2022
|
| 511 |
|
|
P.K.KHANNA & CO.
(Member : LSE)
|
|
|
|
PRADEEP KUMAR KHANNA
|
|
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS VIOLATING CLAUSE A(1) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF CLASSIC GLOBAL IMPEX LTD. (NOW KNOWN AS DEVINE IMPEX LTD.)
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 21-DEC-2009 TO 20-JAN-2010
30-NOV-2009
|
|
| 512 |
|
|
PACE STOCK BROKING SERVICES PVT.LTD.
(PAN:AACCP8410G)
(Member : NSE)
|
|
|
DID NOT PROVIDE ORDER/TRADE CONNECTION LOG INFORMATION IN REQUISITE MANNER VIOLATING SEBI CIRCULAR DATED 06/11/2013 READ WITH REGULATIONS 9(B) AND 9(F) AND CLAUSE A(5) OF CODE OF CONDUCT OF SEBI (STOCK BROKERS) REGULATIONS, 1992
USED ANOTHER PERSON’S CREDENTIALS TO OBTAIN TRADING TERMINAL ACCESS
DID NOT MAINTAIN INFORMATION AND LOG OF THE USER ID/DEALER PROPERLY
|
IMPOSED PENALTY RS.4,00,000
22-JUL-2026
|
|
| 513 |
|
|
PACE STOCK BROKING SERVICES PVT.LTD.
(PAN:AACCP8410G)
(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
|
IMPOSED PENALTY RS.6,00,000
29-APR-2022
|
SAT: SAT VIDE ITS ORDER DATED 15/07/2022 IN THE MEANTIME, RESPONDENT MAY FILE REPLY WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND REJOINDER MAY BE FILE ON OR BEFORE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 11/08/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 14/12/2022 CONDONED THE DELAY IN FILING OF APPEAL
SEBI VIDE ITS NOTICE DATED 15/06/2023 DIRECTED TO PAY RS.6,91,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 27/06/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6683 OF 2023 DATED 15/06/2023
SAT: SAT VIDE ITS ORDER DATED 20/07/2023 CONDONED THE DELAY IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 06/11/2023 CONDONED THE DELAY IN FILING OF APPEAL AND REPLY IS TAKEN ON RECORD
SAT: SAT VIDE ITS ORDER DATED 15/12/2023 CONDONED THE DELAY IN FILING OF APPEAL. REPLY TAKEN ON RECORD
SAT: SAT VIDE ITS ORDER DATED 24/04/2024 ALLOWED NSE THREE WEEKS TO FILE REPLY AND APPELLANTS TO FILE REJOINDER THREE WEEKS THEREAFTER. DIRECTED APPELLANTS TO DEPOSIT 100% PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER. IF AMOUNT DEPOSITED, NO FURTHER COERCIVE ACTION WILL BE TAKEN BY RESPONDENT
SAT: SAT VIDE ITS ORDER DATED 24/06/2024 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER, IF ANY, TO BE FILED TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 13/08/2024 GRANTED RESPONDENT TWO WEEKS TO FILE REPLY
SAT: SAT VIDE ITS ORDER DATED 30/01/2025 GRANTED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 17/04/2025 GRANTED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 30/07/2025 GRANTED THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 13/02/2026 DISMISSED THE APPEAL. NO COSTS
|
| 514 |
|
|
PADMAVATI SHARES & STOCKBROKERS PVT.LTD.
(Member : ICSE)
|
|
|
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.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
26-NOV-2013
|
|
| 515 |
|
|
PALS OVERSEAS PVT.LTD.
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND STRUCTURED TRANSACTIONS IN SCRIP OF SUNEARTH CERAMICS LTD.
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 7 READ WITH CLAUSES A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SUNEARTH CERAMICS LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 17-MAR-2011 TO 16-MAY-2011
24-FEB-2011
|
|
| 516 |
|
|
PARK LIGHT INVESTMENT PVT.LTD.
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA INDIA LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1), A(3), A(4) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF ALKA INDIA LTD.
|
IMPOSED PENALTY RS.3,50,000
31-DEC-2010
|
|
| 517 |
|
|
PARK LIGHT INVESTMENT PVT.LTD.
(Member : BSE)
|
|
|
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) AND A(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF GENUS COMMU-TRADE LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 21-JAN-2013 TO 27-JAN-2013
31-DEC-2012
|
|
| 518 |
|
|
PARK LIGHT INVESTMENT PVT.LTD.
(Member : BSE)
|
|
|
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 FOR SUB-BROKERS UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF IT MICROSYSTEMS (INDIA) LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-NOV-2012 TO 13-DEC-2012
09-NOV-2012
|
|
| 519 |
|
|
PARK LIGHT INVESTMENT PVT.LTD.
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF-MARKET TRANSACTIONS IN UNLISTED SHARES OF SOFTRAK TECHNOLOGY 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 SOFTRACK TECHNOLOGY EXPORTS LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 04-OCT-2013 TO 03-APR-2014
13-SEP-2013
|
|
| 520 |
|
|
PARSOLI CORP.LTD.
(PAN:AABCP9030F)
(Member : BSE/NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF DALAL STREET INVESTMENTS 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 9 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 DALAL STREET INVESTMENTS LTD.
|
IMPOSED PENALTY RS.15,00,000
22-DEC-2017
|
SAT: APPEAL DISMISSED
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 26 of 40
|
