| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 581 |
|
RAVI GUPTA & CO.
(Member : LSE)
|
|
|
|
RAVI NANDAN GUPTA
|
|
INDULGED IN UNAUTHORISED CARRY FORWARD TRADING VIOLATING CLAUSE 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
|
|
| 582 |
|
|
RELIANCE SECURITIES LTD.
(PAN:AADCR0260P)
(Member : BSE/NSE/MCX)
|
|
|
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
ALLEGED VIOLATION OF CODE OF CONDUCT PRESCRIBED FOR STOCK BROKERS IN SCHEDULE II UNDER REGULATION 7 OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO REGISTER NEW CLIENTS FOR A PERIOD OF 45 DAYS) FROM 16-JUN-2011
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO SPEND A SUM OF RS.1 CRORE ON INVESTOR EDUCATION AND AWARENESS PROGRAMME AND ON DEVELOPMENT OF METERIALS FOCUSING ON MAKING INVESTORS MORE AWARE OF THEIR RIGHTS IN CONNECTION WITH INTERNET BASED TRADING IN SECURITIES MARKET WITHIN 6 MONTHS FROM DATE OF RECEIPT OF THIS CONSENT ORDER) FROM 16-JUN-2011
09-JUN-2011
|
|
| 583 |
|
|
RELIANCE SHARE & STOCK BROKERS PVT.LTD.
(Member : BSE/NSE/CSE/VSE/BGSE/ASE/OTC)
|
|
|
|
AMITABH JHUNJHUNWALA
|
|
|
D.H.SHAH
|
|
|
R.P.MEHTA
|
|
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS AND/OR DOCUMENTS
DEFAULTED IN MAINTENANCE OF SAUDA BOOK
DID NOT ISSUE CONTRACT NOTES
DID NOT MENTION CLIENT NUMBERS ON CONTRACT NOTES
CARRIED OUT TRANSACTION IN ITS OWN NAME INSTEAD OF CLIENTS NAME
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
PAN NO. OF CLIENTS NOT APPEARING ON CONTRACT NOTES
SEBI REGISTRATION NO., TRADE NO. AND ORDER NO. NOT INDICATED ON CONTRACT NOTES
PENDING EXECUTION OF THE ORDER AS MANDATORY ACCORDING TO THE REGULATIONS 6(B) OF PFUTP
VIOLATED REGULATION 7 READ WITH CODE OF CONDUCT AS SPECIFIED IN SCHEDULE 11 OF STOCK BROKER REGULATION
EXCEEDED INTRA DAY TRADING LIMITS
DID NOT MAINTAIN RECORD OF CLIENT'S ORDER
DID NOT ACCOUNT FOR MISSING CONTRACT NOTES
DID NOT KEEP PROPER PROPORTION OF CASH & FIXED DEPOSITS FOR CAPITAL ADEQUACY
VIOLATED CODE OF CONDUCT AS PRESCRIBED UNDER STOCK BROKER REGULATIONS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENTS' SECURITIES AND OWN SECURITIES
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-JAN-2007 TO 30-APR-2007
11-DEC-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.48,00,000, LEGAL EXPENSES RS.2,00,000 VIDE CONSENT ORDER)
07-DEC-2007
|
SAT: IMPUGNED ORDER SHALL REMAIN STAYED DURING PENDENCY OF THE APPEAL
SAT: ORDER SET ASIDE AS APPLICANT PAID RS.48,00,000 TOWARDS SETTLEMENT CHARGES AND RS.2,00,000 TOWARDS LEGAL EXPENSES AS PER CONSENT ORDER DATED 07/12/2007
|
| 584 |
|
|
RELIGARE SECURITIES LTD.
(PAN:AAACF1952D)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF TRADES IN SCRIP OF VERITAS (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) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF VERITAS (INDIA) LTD.
|
IMPOSED PENALTY RS.10,00,000
27-AUG-2014
|
SAT: SAT VIDE ITS ORDER DATED 12/01/2016 MODIFIED THE IMPUGNED ORDER DATED 27/08/2014 BY DELETING PENALTY OF RS.8 LACS IMPOSED UNDER SECTION 15HA OF SEBI ACT AND BY SUSTAINING PENALTY OF RS.2 LACS IMPOSED UNDER SECTION 15HB OF SEBI ACT. NO COSTS
|
| 585 |
|
|
RELIGARE SECURITIES LTD.
(PAN:AAACF1952D)
(Member : BSE/NSE/OTC)
|
|
|
ALLEGED VIOLATION OF CODE OF CONDUCT FOR STOCK BROKERS
ALLEGED VIOLATION OF REGULATION 4(1),4(2) (A),(B),(E),(G) & (N) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF MEGA CORP.LTD. AND KARUNA CABLES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
19-MAR-2009
|
|
| 586 |
|
|
RENU PODDAR,M/S
(Member : CSE)
|
|
|
|
RENU PODDAR
|
|
ALLOWED CROSS DEALS VIOLATING CLAUSE B (4) (A) OF CODE OF CONDUCT OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 UNDER REGULATION 7 OF STOCK BROKER REGULATIONS WHILE DEALING IN SCRIP OF TWENTY FIRST CENTURY (INDIA) LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS IN SCRIP OF TWENTY FIRST CENTURY (INDIA) LTD.
|
PROHIBITED FROM TAKING ANY NEW ASSIGNMENT AS A STOCK BROKER FROM 05-JAN-2011 TO 04-FEB-2011
15-DEC-2010
|
|
| 587 |
|
|
ROMESH BANSAL & CO.
(Member : LSE)
|
|
|
|
ROMESH BANSAL
|
|
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
|
|
| 588 |
|
|
ROONGTA RISING STOCK PVT.LTD.
(PAN:AAACH9471P)
(Member : BSE/NSE)
|
|
|
|
ANIL SATYANARAYAN ROONGTA
PAN:ABBPR3992G
|
|
|
SUDHA ANIL ROONGTA
PAN:AAQPR4466F
|
|
INDULGED IN DEALING WITH SUSPENDED SCRIP VIOLATING REGULATION 4.6.4 OF REGULATIONS FOR BSE CAPITAL MARKET SEGMENT
INDULGED IN DEALING WITH SUSPENDED SCRIP VIOLATING REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF MISHKA FINANCE & TRADING LTD.
INDULGED IN DEALING WITH SUSPENDED SCRIP VIOLATING REGULATION 4.5.4 OF REGULATIONS FOR NSE CAPITAL MARKET SEGMENT
ISSUED CONTRACT NOTES FOR OFF MARKET TRANSACTIONS VIOLATING CLAUSES 2(B) OF CHAPTER VI AND CLAUSE 5 OF CHAPTER X OF BSE BYE-LAWS AND CLAUSES 8 AND 10 OF CHAPTER IX OF NSE BYE-LAWS IN MATTER OF MISHKA FINANCE & TRADING 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 REGULATIONS 6A AND 7 READ WITH CLAUSES A(1) TO A(5) AND C(4) OF CODE OF CONDUCT SPECIFIED UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 READ WITH REGULATIONS 9(B) AND 9(F) OF SEBI (STOCK BROKERS AND SUB BROKERS) (AMENDMENT) REGULATIONS, 2014 IN MATTER OF MISHKA FINANCE & TRADING LTD.
|
IMPOSED PENALTY RS.20,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-JUL-2022
|
SEBI VIDE ITS NOTICE DATED 24/02/2025 DIRECTED TO PAY RS.26,41,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 13/03/2025 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 23/04/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.2,681,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTG
SEBI VIDE ITS NOTICE DATED 09/06/2025 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 13/03/2025
SEBI VIDE ITS ORDER DATED 09/06/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.8642 OF 2025 DATED 24/02/2025
|
| 589 |
|
|
RUCHI GLOBAL LTD.
(PAN:AAACR7202A)
(Member : NCDEX)
|
|
|
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), A(2) AND A(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992 IN MATTER OF CASTOR SEED CONTRACTS
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-MAR-2016 TILL FURTHER ORDERS
02-MAR-2016
|
SEBI VIDE ITS ORDER DATED 23/12/2016 RELAXED INTERIM ORDER PASSED 02/03/2016 AND 24/05/2016 TO THE LIMITED EXTENT TO ENABLE THEM TO PROTECT THEIR PORTFOLIO FROM MARKET VOLATILITY A) NOTICEE MAY SELL THE SECURITIES LYING IN THEIR DEMAT ACCOUNTS AS ON THE DATE OF INTERIM ORDER, OTHER THAN THE SHARES OF THE COMPANIES WHICH ARE SUSPENDED FROM TRADING BY THE CONCERNED STOCK EXCHANGE, IN AN ORDERLY MANNER UNDER SUPERVISION OF THE STOCK EXCHANGE SO AS NOT TO DISTURB MARKET EQUILIBRIUM AND DEPOSIT SALE PROCEEDS IN AN INTEREST BEARING ESCROW ACCOUNT WITH A NATIONALIZED BANK B) NOTICEES MAY TENDER THE SHARES LYING IN THEIR DEMAT ACCOUNT IN ANY OPEN OFFER / DELISTING OFFER / BUYBACK OFFER UNDER THE RELEVANT REGULATIONS OF SEBI AND DEPOSIT THE SALE PROCEEDS IN AN INTEREST BEARING ESCROW ACCOUNT WITH A NATIONALIZED BANK C) NOTICEES SHALL AVAIL THE BENEFIT OF CORPORATE ACTIONS LIKE RIGHTS ISSUE, BONUS ISSUE, STOCK SPLIT DIVIDEND ETC. D) WINDOW FOR SALE OF SHARES LYING IN RESPECTIVE PORTFOLIO SHALL STAND WITHDRAWN IF ANY ENTITY FOUND TO EXECUTE ANY TRADE IN BREACH OF THE CONDITIONS
SEBI VIDE ITS ORDER DATED 08/03/2017 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDERS DATED 02/03/2016 AND 24/05/2016
SEBI VIDE ITS ORDER DATED 12/08/2020 REVOKED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM ORDER DATED 02/03/2016 AND CONFIRMED VIDE ORDER DATED 08/03/2017
|
| 590 |
|
|
RUCHIRAJ SHARES & STOCK BROKERS PVT.LTD.
(PAN:AABCR4896H)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET & PRICE MANIPULATION IN SCRIP OF GUJARAT ARTH 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) REGULATIONS, 1992 IN MATTER OF GUJARAT ARTH LTD.
|
IMPOSED PENALTY RS.47,00,000
02-MAR-2015
|
SAT: APPEAL DISPOSED OFF. NO COSTS
|
| 591 |
|
|
RUCHIRAJ SHARES & STOCK BROKERS PVT.LTD.
(PAN:AABCR4896H)
(Member : BSE)
|
|
|
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 INTERLINK FINANCIAL SERVICES LTD.
|
IMPOSED PENALTY RS.2,00,000
25-JUN-2012
|
|
| 592 |
|
|
RUCHIRAJ SHARES & STOCK BROKERS PVT.LTD.
(PAN:AABCR4896H)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH STRUCTURED DEALS IN SCRIP OF KOLAR BIOTECH LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, 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 KOLAR BIOTECH LTD.
|
IMPOSED PENALTY RS.14,00,000
30-JUN-2010
|
SAT: APPEAL FAILED AND DISMISSED. NO COSTS
|
| 593 |
|
|
RUCHIRAJ SHARES & STOCK BROKERS PVT.LTD.
(PAN:AABCR4896H)
(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 UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SHREE YAAX PHARMA & COSMETICS LTD.
|
IMPOSED PENALTY RS.2,00,000
06-JAN-2011
|
SEBI VIDE ITS NOTICE DATED 27/04/2015 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS 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 06/05/2015 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS/LOCKERS AND DEMAT ACCOUNTS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 27/04/2015
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 594 |
|
|
RUCHIRAJ SHARES & STOCK BROKERS PVT.LTD.
(PAN:AABCR4896H)
(Member : BSE)
|
|
|
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS AND DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 7 READ WITH CLAUSES A(1) AND A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF HIGHLAND INDUSTRIES LTD.
|
IMPOSED PENALTY RS.50,000
31-MAR-2010
|
|
| 595 |
|
|
RUCHIRAJ SHARES & STOCK BROKERS PVT.LTD.
(PAN:AABCR4896H)
(Member : BSE)
|
|
|
INDULGED IN IRREGULAR TRANSACTIONS IN SCRIP OF PARSOLI CORP.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 PARSOLI CORP.LTD.
|
IMPOSED PENALTY RS.3,00,000
24-DEC-2010
|
|
| 596 |
|
|
RUCHIRAJ SHARES & STOCK BROKERS PVT.LTD.
(PAN:AABCR4896H)
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF DATASOFT APPLICATION SOFTWARE (INDIA) LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
03-NOV-2011
|
|
| 597 |
|
|
RUCHIRAJ SHARES & STOCK BROKERS PVT.LTD.
(PAN:AABCR4896H)
(Member : BSE)
|
|
|
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) REGULATIONS, 1992 IN MATTER OF G-TECH INFO TRAINING LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF G-TECH INFO TRAINING LTD.
|
IMPOSED PENALTY RS.1,00,000
19-NOV-2009
|
|
| 598 |
|
|
RUCHIRAJ SHARES & STOCK BROKERS PVT.LTD.
(PAN:AABCR4896H)
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF FAST TRACK ENTERTAINMENT LTD.
|
IMPOSED PENALTY RS.60,000
30-NOV-2009
|
|
| 599 |
|
|
RUCHIRAJ SHARES & STOCK BROKERS PVT.LTD.
(PAN:AABCR4896H)
(Member : BSE)
|
|
|
|
ARVIND BHAGWANDAS KOIKAR
|
|
|
DEEPA MILAN PARIKH
DIN:00243128
|
|
|
DITI KETAN MEHTA
|
|
|
KETAN B.MEHTA
|
|
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND NOT COMPLIED WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1),A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF MEGA CORP.LTD.
|
IMPOSED PENALTY RS.1,00,000
05-AUG-2011
|
INCLUDED IN SEBI LIST DATED 31/12/2013, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 600 |
|
|
RUCHIRAJ SHARES & STOCK BROKERS PVT.LTD.
(PAN:AABCR4896H)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR AND STRUCTURED TRANSACTIONS IN SCRIP OF EMPOWER INDUSTRIES (INDIA) 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 EMPOWER INDUSTRIES (INDIA) LTD.
|
IMPOSED PENALTY RS.1,25,000
08-JUN-2010
|
|
| 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 30 of 40
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