| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 601 |
|
S.J.CAPITAL LTD.
(CIN:U67120DL1994PLC058136)
(Member : DSE)
|
|
|
|
JAGDISH CHAND GUPTA
|
|
|
MANOJ MITTAL
|
|
|
SARASWATI GUPTA
|
|
DID NOT CO-OPERATE WITH SEBI DURING INVESTIGATIONS AND TRIED TO ELUDE DSE AND/OR SEBI BY VACATING ITS PREMISES WITHOUT INFORMING
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND DID NOT SUBMIT REQUIRED RETURNS VIOLATING REGULATION 7 READ WITH CLAUSES A(1),A(2) AND C(6) OF CODE OF CONDUCT FOR SUB-BROKERS UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
IMPOSED PENALTY RS.1,00,000
07-FEB-2011
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 602 |
|
|
S.JHUNJHUNWALA & CO.
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS IN SCRIP OF S.T.SERVICES LTD.
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(2) 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.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JAN-2010
29-DEC-2009
|
|
| 603 |
|
|
S.JHUNJHUNWALA & CO.
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF TOPLIGHT COMMERCIAL 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 IN MATTER OF TOPLIGHT COMMERCIAL LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 09-DEC-2009 TO 08-FEB-2010
18-NOV-2009
|
|
| 604 |
|
|
S.K.KHEMKA,M/S
(Member : CSE)
|
|
|
|
S.K.KHEMKA
|
|
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.3,00,000
10-NOV-2009
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 03/08/2022 DIRECTED TO PAY RS.7,63,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 605 |
|
|
S.L.GUPTA & CO.
(Member : DSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIPS OF SKYWEB INFOTECH LTD. AND SUNSHINE CAPITAL LTD.
ALLEGED VIOLATION OF CLAUSES A(1) , (3) AND (4) OF CODE OF CONDUCT FOR STOCK BROKERS AS CONTAINED IN SCHEDULE II READ WITH REGULATION 7 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER) FROM 20-MAY-2009 TO 19-SEP-2009
19-MAY-2009
|
|
| 606 |
|
|
S.P.J.STOCK BROKERS PVT.LTD.
(PAN:AAHCS8124R)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED/CIRCULAR TRANSACTIONS IN SCRIP OF K SERA SERA PRODUCTION 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 K SERA SERA PRODUCTIONS LTD.
|
IMPOSED PENALTY RS.2,50,000
28-JUL-2011
|
|
| 607 |
|
|
S.P.J.STOCK BROKERS PVT.LTD.
(PAN:AAHCS8124R)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR TRANSACTIONS/REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF GRAVITY INDIA LTD.
FAILED IN MAINTAINING INTEGRITY, 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 GRAVITY INDIA LTD.
|
IMPOSED PENALTY RS.1,00,000
25-FEB-2010
|
|
| 608 |
|
|
S.P.J.STOCK BROKERS PVT.LTD.
(PAN:AAHCS8124R)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR TRANSACTIONS/REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF SUN INFOWAYS 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 SUN INFOWAYS LTD.
|
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER) FROM 03-DEC-2009 TO 02-FEB-2010
04-AUG-2009
|
|
| 609 |
|
|
S.P.J.STOCK BROKERS PVT.LTD.
(PAN:AAHCS8124R)
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE EXECUTING TRANSACTIONS IN SCRIP OF VERONICA LABORATORIES LTD.
VIOLATED CODE OF CONDUCT FOR STOCK BROKERS AS PER REGULATION 7A (2) OF SEBI (STOCK BROKERS & SUB-BROKERS) REGULATIONS, 1992
|
IMPOSED PENALTY RS.1,00,000
22-JAN-2009
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
|
| 610 |
|
|
S.P.J.STOCK BROKERS PVT.LTD.
(PAN:AAHCS8124R)
(Member : BSE)
|
|
|
INDULGED IN CREATION ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED 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.)
|
IMPOSED PENALTY RS.20,00,000
08-FEB-2013
|
SAT: APPEAL ALLOWED WITH NO ORDER AS TO COSTS
|
| 611 |
|
|
S.P.J.STOCK BROKERS PVT.LTD.
(PAN:AAHCS8124R)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED/CIRCULAR TRANSACTIONS IN SCRIP OF K SERA SERA PRODUCTION LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) AND A(3) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF K SERA SERA PRODUCTIONS LTD.
|
IMPOSED PENALTY RS.75,000
30-SEP-2010
|
|
| 612 |
|
|
S.P.J.STOCK BROKERS PVT.LTD.
(PAN:AAHCS8124R)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND CIRCULAR 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.4,00,000
19-MAR-2010
|
|
| 613 |
|
|
S.P.J.STOCK BROKERS PVT.LTD.
(PAN:AAHCS8124R)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH CIRCULAR, SYNCHRONIZED AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF TODAY’S WRITING PRODUCTS 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 TODAYS WRITING PRODUCTS LTD.
|
IMPOSED PENALTY RS.50,000
14-DEC-2010
|
|
| 614 |
|
|
S.P.J.STOCK BROKERS PVT.LTD.
(PAN:AAHCS8124R)
(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 TODAYS WRITING PRODUCTS LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF TODAY’S WRITING PRODUCTS LTD.
|
IMPOSED PENALTY RS.2,00,000
20-NOV-2009
|
INCLUDED IN SEBI LIST DATED 30/09/2011, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 615 |
|
|
S.P.J.STOCK BROKERS PVT.LTD.
(PAN:AAHCS8124R)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF SKS LOGISTICS 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 SKS LOGISTICS LTD. (ERSTWHILE SKS (SHIP) LTD.)
|
IMPOSED PENALTY RS.14,00,000
11-MAY-2018
|
SAT: SAT VIDE ITS ORDER DATED 11/06/2019 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY TO RS.8.00 LACS FROM RS.16.00 LACS U/S 15HA AND DIRECTED APPELLANT TO PAY TOTAL AMOUNT RS.14.00 LACS WITHIN FOUR WEEKS FROM DATE OF THIS ORDER. NO COSTS
|
| 616 |
|
|
S.P.J.STOCK BROKERS PVT.LTD.
(PAN:AAHCS8124R)
(Member : BSE)
|
|
|
ALLEGED VIOLATION OF REGULATION 4(1),4(2) (A),(B),(G) AND (N) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF VIJAY TEXTILES LTD.
ALLEGED VIOLATION OF CLAUSES A (1), (2), (3), (4) AND (5) OF CODE OF CONDUCT OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 WHILE DEALING IN SCRIP OF VIJAY TEXTILES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
27-JUL-2009
|
|
| 617 |
|
|
S.P.JAIN SECURITIES PVT.LTD.
(PAN:AADCS2423F)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND CIRCULAR 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.2,50,000
11-MAY-2010
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
INCLUDED IN SEBI LIST DATED 30/06/2012, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 618 |
|
|
S.R.UPPAL & CO.
(Member : LSE)
|
|
|
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
|
|
| 619 |
|
|
SAI BROKING
(PAN:ACKPN1415A)
(Member : ICSE)
|
|
|
|
ANANDHI P.NAIG
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIPS OF BSEL INFRASTRUCTURE REALTY LTD. AND MAHARASHTRA SEAMLESS LTD.
ALLEGED FAILURE IN MAINTENANCE OF 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 BSEL INFRASTRUCTURE REALTY LTD. AND MAHARASHTRA SEAMLESS LTD.
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLIED WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 15 READ WITH CLAUSES A(1),A(2),D(1),D(4) AND D(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF BSEL INFRASTRUCTURE REALTY LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
03-JUN-2011
|
|
| 620 |
|
|
SAJENDRA MOOKIM,M/S
(Member : CSE)
|
|
|
|
SAJENDRA MOOKIM
|
|
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) AND B(4)(A) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF OASIS CINE COMMUNICATIONS LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF OASIS CINE COMMUNICATIONS LTD.
|
IMPOSED PENALTY RS.1,50,000
12-APR-2010
|
INCLUDED IN SEBI LIST DATED 30/09/2010, 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 31 of 40
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