| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 561 |
|
R.K.STOCK HOLDING PVT.LTD.
(PAN:AACCR0011K)
(Member : BSE/NSE)
|
|
|
ASSOCIATED WITH A PLATFORM PROVIDING REFERENCES TO RETURNS/PERFORMANCE OF ALGORITHMIC TRADING STRATEGIES VIOLATING CLAUSE 4.2 OF SEBI CIRCULAR DATED 02/09/2022 AND CLAUSES A(2)AND A(5) OF SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF TRADE TRON AND OTHER ALGO PLATFORMS
|
IMPOSED PENALTY RS.2,00,000
25-MAR-2026
|
|
| 562 |
|
|
R.K.STOCK HOLDING PVT.LTD.
(PAN:AACCR0011K)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH REVERSAL OF TRADE AND FICTITIOUS TRANSACTIONS IN STOCK OPTIONS UNDER EQUITY DERIVATIVE SEGMENT
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
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-FEB-2016 TILL FURTHER ORDERS
17-FEB-2016
|
SAT: SAT VIDE ITS ORDER DATED 20/02/2016 QUASHED AND SET ASIDED IMPUGNED EX-PARTE AD-INTERIM ORDER DATED 17/02/2016. NO COSTS
SEBI VIDE ITS ORDER DATED 12/08/2016 DIRECTED TRADING MEMBERS TO CO-OPERATE WITH SEBI IN THE ON-GOING INVESTIGATION AND PROVIDE ALL THE INFORMATION AND DOCUMENTS THAT MAY BE SOUGHT BY SEBI IN THIS REGARD
|
| 563 |
|
|
R.R.CHOKHANI STOCK BROKERS PVT.LTD.
(PAN:AAACR7391E)
(Member : BSE/NSE/OTC)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND NOT COMPLIED WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF BANK OF RAJASTHAN LTD.
|
IMPOSED PENALTY RS.5,00,000
28-SEP-2012
|
SAT: SEBI VIDE ITS ORDER DATED 25/09/2013 MODIFIED SEBI'S ORDER DATED 28/09/2012 BY REDUCING THE PENALTY AMOUNT TO WARNING AND SET ASIDE THE PENALTY AMOUNT OF RS.5 LACS. NO COSTS
INCLUDED IN SEBI LIST DATED 31/12/2013, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 564 |
|
|
RAIMA EQUITIES PVT.LTD.
(CIN:U67120WB1994PTC065572
PAN:AABCE2177Q)
(Depository Participants : CDSL,Member : NSE/BSE/USEIL/MCX)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 9(F) READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
IMPOSED PENALTY RS.2,00,000
10-JAN-2018
|
|
| 565 |
|
|
RAJENDRA JAYANTILAL SHAH,M/S
(PAN:ACIPS6614E)
(Member : ASE,Sub-Broker of ASE CAPITAL MARKETS LTD., Member : BSE)
|
|
|
|
RAJENDRA JAYANTILAL SHAH
PAN:ACIPS6614E
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF ADANI 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 ADANI EXPORTS LTD.(NOW KNOWN AS ADANI ENTERPRISES LTD.)
|
SUSPENDED REGISTRATION AS SUB-BROKER FROM 24-MAY-2012 TO 23-JUL-2012
SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-MAY-2012 TO 23-JUL-2012
03-MAY-2012
|
SAT: APPEAL ALLOWED WITH NO ORDER AS TO COSTS
|
| 566 |
|
|
RAJENDRA PRASAD SHAH,M/S
(PAN:AKUPS5078C)
(Member : CSE)
|
|
|
|
RAJENDRA PRASAD SHAH
PAN:AKUPS5078C
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF SANGOTRI CONSTRUCTIONS LTD.
DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SANGOTRI CONSTRUCTIONS LTD.
|
IMPOSED PENALTY RS.9,50,000
03-FEB-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 567 |
|
|
RAJENDRA PRASAD SHAH,M/S
(PAN:AKUPS5078C)
(Member : CSE)
|
|
|
|
RAJENDRA PRASAD SHAH
PAN:AKUPS5078C
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS AND CROSS DEALS IN SCRIP OF LIMTEX INVESTMENTS 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 LIMTEX INVESTMENTS LTD.
|
IMPOSED PENALTY RS.1,50,000
10-MAR-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 568 |
|
|
RAJENDRA PRASAD SHAH,M/S
(PAN:AKUPS5078C)
(Member : CSE)
|
|
|
|
RAJENDRA PRASAD SHAH
PAN:AKUPS5078C
|
|
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 BAKRA PRATISTHAN LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-MAR-2011 TO 02-APR-2011
08-MAR-2011
|
|
| 569 |
|
|
RAJENDRA PRASAD SHAH,M/S
(PAN:AKUPS5078C)
(Member : CSE)
|
|
|
|
RAJENDRA PRASAD SHAH
PAN:AKUPS5078C
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS AND CROSS-TRADES IN SCRIP OF G.K.CONSULTANTS 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 G.K.CONSULTANTS LTD.
|
IMPOSED PENALTY RS.5,00,000
15-APR-2015
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 570 |
|
|
RAJENDRA PRASAD SHAH,M/S
(PAN:AKUPS5078C)
(Member : CSE)
|
|
|
|
RAJENDRA PRASAD SHAH
PAN:AKUPS5078C
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF SCINTILLA COMMERCIAL & CREDIT 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 SCINTILLA COMMERCIAL & CREDIT LTD.
|
IMPOSED PENALTY RS.3,00,000
09-JUN-2010
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 571 |
|
|
RAJENDRA PRASAD SHAH,M/S
(PAN:AKUPS5078C)
(Member : CSE)
|
|
|
|
RAJENDRA PRASAD SHAH
PAN:AKUPS5078C
|
|
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
30-AUG-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 572 |
|
|
RAJENDRA PRASAD SHAH,M/S
(PAN:AKUPS5078C)
(Member : CSE)
|
|
|
|
RAJENDRA PRASAD SHAH
PAN:AKUPS5078C
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF STENLY CREDIT CAPITAL 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) IN MATTER OF STENLY CREDIT CAPITAL LTD.
|
IMPOSED PENALTY RS.4,00,000
30-AUG-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 573 |
|
|
RAJKUMAR CHAINRAI BASANTANI,M/S
(PAN:AESPB2834F)
(Member : NSE)
|
|
|
|
RAJKUMAR C.BASANTANI
PAN:AESPB2834F
|
|
ISSUED FALSE AND MISLEADING CORPORATE ANNOUNCEMENT ABOUT ISSUANCE OF BONUS SHARES OF SOUNDCRAFT 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) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 19-SEP-2012 TO 18-SEP-2013
29-AUG-2012
|
|
| 574 |
|
|
RAKESH KAPOOR & CO.
(Member : DSE)
|
|
|
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS AND NOT EXERCISED DUE SKILL, CARE & DILIGENCE AS PER CLAUSE A OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF KARISHMA FLORICULTURE LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
22-JUN-2010
|
|
| 575 |
|
|
RAM MOHAN SARDA,M/S
(Member : CSE)
|
|
|
|
RAM MOHAN SARDA
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF S.T.SERVICES LTD.
ALLEGED FAILURE IN MAINTAINING 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 S.T.SERVICES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
03-DEC-2009
|
|
| 576 |
|
|
RAMABEN SAMANI FINANCE PVT.LTD.
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR/SYNCHRONIZED/STRUCTURED AND OFF MARKET TRANSACTIONS IN SCRIP OF ZIGMA SOFTWARE LTD.
FAILED IN MAINTAINING INTEGRITY, DUE SKILL & CARE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO (5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF ZIGMA SOFTWARE LTD.
|
IMPOSED PENALTY RS.2,00,000
15-JUL-2009
|
|
| 577 |
|
|
RAMANLAL D.SHAH,M/S
(Member : BSE)
|
|
|
|
RAMANLAL D.SHAH
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, CIRCULAR AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF MALVICA ENGINEERING LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, 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 MALVICA ENGINEERING LTD.
|
IMPOSED PENALTY RS.1,50,000
24-MAY-2010
|
|
| 578 |
|
|
RAMANLAL D.SHAH,M/S
(Member : BSE)
|
|
|
|
KAMLESH R.SHAH
|
|
|
RAMANLAL D.SHAH
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 7 READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SAWACA COMMUNICATION LTD.
|
PROHIBITED FROM ENTERING ANY FRESH AGREEMENTS WITH NEW CLIENTS IN OPERATIONS AS STOCK BROKER FROM 03-NOV-2011 TO 02-DEC-2011
13-OCT-2011
|
SAT: SAT VIDE ITS ORDER DATED 15/02/2012 HAS MODIFIED SEBI'S ORDER DATED 13/10/2011 BY REDUCING THE PENALTY TO WARNING. NO ORDER AS TO COSTS
SAT: SAT VIDE ITS ORDER DATED 31/03/2016 PERMITTED APPELLANT TO WITHDRAW THE APPEAL WITH LIBERTY TO FILE FRESH APPEAL WITHIN THREE WEEKS FROM THE DATE OF THIS ORDER. NO COSTS
|
| 579 |
|
|
RAMRAKH R.BOHRA,M/S
(Member : BSE)
|
|
|
|
RAMRAKH R.BOHRA
|
|
DID NOT MAINTAIN HIGH STANDARD OF INTEGRITY, PROMPTITUDE & FAIRNESS WHILE DEALING IN SCRIP OF GRANULES INDIA LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
28-JAN-2010
|
|
| 580 |
|
|
RAMRAKH R.BOHRA,M/S
(Member : BSE)
|
|
|
|
RAMRAKH R.BOHRA
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 7 READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF AKL SOFT & INFOSYS LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-DEC-2012
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 29 of 40
|
