| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
BHUPENDRA MEGHJI BHEDA,M/S
(Member : BSE)
|
|
|
|
BHUPENDRA MEGHJI BHEDA
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE IN MATTER OF MOREPEN HOTELS LTD.
DID NOT COLLECT MARGINS FROM CLIENTS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
28-OCT-2004
|
|
| 42 |
|
|
BIMAL KUMAR BEDI,M/S
(Member : CSE)
|
|
|
|
BIMAL KUMAR BEDI
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
27-FEB-2002
|
|
| 43 |
|
|
BONANZA PORTFOLIO LTD.
(CIN:U65991DL1993PLC052280
PAN:AAACB0764B)
(Member : NSE/OTC)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING WITH CLIENTS IN SCRIP OF INFORMATION TECHNOLOGIES (INDIA) LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
28-JUN-2007
|
|
| 44 |
|
|
BRAJESH NEEMA & CO.
(Member : MPSE)
|
|
|
|
BRAJESH KUMAR NEEMA
|
|
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT REFUND MONEY COLLECTED UNDER CIS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DEFAULTED IN MAINTENANCE OF PROPER BILL BOOK
MISUTILIZED EXCHANGE MEMBERSHIP RIGHTS
INDULGED IN FINANCIAL TRANSACTIONS
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
24-JUL-1998
|
|
| 45 |
|
|
BRILLIANT & CO.
(Member : MDSE)
|
|
|
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
21-NOV-1997
|
|
| 46 |
|
|
CEEKAY HOLDINGS PVT.LTD.
(Member : NSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE IN MATTER OF MOREPEN HOTELS LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
25-OCT-2004
|
|
| 47 |
|
|
CENTURY FISCAL SERVICES LTD.
(Member : LSE)
|
|
|
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(2) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF S.G.CAPITAL SERVICES LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
26-NOV-2010
|
|
| 48 |
|
|
CHANDRAHAS R.KULKARNI,M/S
(Member : PSE)
|
|
|
|
CHANDRAHAS R.KULKARNI
|
|
DID NOT EXERCISE DUE CARE AND SKILL IN DEALING WITH CLIENTS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
09-JAN-2009
|
|
| 49 |
|
|
CHANDRAKALA MONEY & CAPITAL MANAGEMENT LTD.
(Member : NSE)
|
|
|
DID NOT COLLECT MARGINS FROM CLIENTS
DID NOT MONITOR SUB-BROKERS ACTIVITIES
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
24-JAN-2006
|
|
| 50 |
|
|
CHANDRAVADAN J.DALAL,M/S
(Member : BSE)
|
|
|
|
CHANDRAVADAN J.DALAL
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE IN SCRIP OF SAB TV
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
22-DEC-2005
|
|
| 51 |
|
|
CHIMANLAL LALBHAI,M/S
(Member : ASE)
|
|
|
|
CHIMANLAL LALBHAI
|
|
DID NOT ISSUE CONTRACT NOTES
INDULGED IN FINANCING TRANSACTIONS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
09-JUL-1999
|
|
| 52 |
|
|
CHIRAG INVESTMENT
(Member : PSE)
|
|
|
|
DHIRENDRA LILADHAR RAJA
|
|
ACTED IN CONCERT WITH OTHER BROKERS TO CREATE ARTIFICIAL MARKET AND PRICE RISE THROUGH CIRCULAR TRADING AND BY PLACING ORDERS AT HIGHER PRICES OTHER THAN PREVAILING MARKET PRICE IN SCRIP OF HOME TRADE LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
24-OCT-2005
|
|
| 53 |
|
|
CITIZEN SECURITIES LTD.
(Member : CSE)
|
|
|
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
06-JAN-2000
|
|
| 54 |
|
|
CLASSIC SHARE & STOCK BROKING SERVICES LTD.
(CIN:U67120WB1993PLC060799)
(Member : BSE/NSE/CSE/OTC)
|
|
|
INDULGED IN TRANSFER OF NET RECEIVABLE OBLIGATIONS OF ONE CLIENT TO ANOTHER CLIENT’S ACCOUNT VIOLATING REGULATION 7 READ WITH CLAUSE A(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SILVERLINE TECHNOLOGIES LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
30-MAR-2012
|
|
| 55 |
|
|
COCHIN STOCK BROKERS LTD.
(Member : BSE/NSE)
|
|
|
PERMITTED TRADING TO SUB-BROKERS WITHOUT COLLECTING BMC
DEALT WITH UN-REGISTERED SUB-BROKERS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
24-JAN-2006
|
|
| 56 |
|
|
DAMANI SHARES & STOCK BROKERS PVT.LTD.
(Member : BSE/NSE)
|
|
|
DID NOT TRANSFER SECURITIES FROM POOL ACCOUNT TO CLIENTS' ACCOUNT IN TIME
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
02-JAN-2007
|
|
| 57 |
|
|
DB (INDIA) SECURITIES LTD.
(Member : DSE)
|
|
|
DID NOT MAINTAIN DESPATCH RECORDS
DID NOT ISSUE CONTRACT NOTES
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
CHARGED EXCESS BROKERAGE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
20-JUL-1999
|
|
| 58 |
|
|
DB (INTERNATIONAL) STOCK BROKERS LTD.
(CIN:L67120HR1992PLC035349
PAN:AAACD0852G)
(Member : NSE)
|
|
|
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
18-NOV-2004
|
|
| 59 |
|
|
DEEPAK BHOGILAL SHAH,M/S
(Member : ASE,Sub-Broker of ASE CAPITAL MARKETS LTD., Member : BSE)
|
|
|
|
BHARAT SHAH
|
|
|
DEEPAK BHOGILAL SHAH
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE EXECUTING TRANSACTIONS IN SCRIP OF DATABASE FINANCE LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
13-JAN-2009
|
|
| 60 |
|
|
DEVENDRA SHANTILAL KOTHARI,M/S
(Member : BSE)
|
|
|
|
DEVENDRA SHANTILAL KOTHARI
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING WITH CLIENTS IN SCRIP OF GREENFIELD TRADING & FINANCE LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
15-MAR-2007
|
|
| 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 3 of 15
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