| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 661 |
|
PUNE E STOCK BROKING LTD.
(PAN:AAECP2962K)
(Depository Participants : CDSL,Member : NSE/BSE)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DELAY IN SETTLING ACCOUNTS OF INACTIVE CLIENTS
DELAY IN SETTLING OF RUNNING ACCOUNTS OF CLIENTS
PROVIDED EXPOSURE TO CLIENTS HAVING DEBIT BALANCE
DISCREPANCIES IN NETWORTH REPORTED TO STOCK EXCHANGE
MADE INCORRECT AND/OR DID NOT REPORT ENHANCED SUPERVISION OF DATA TO STOCK EXCHANGES
|
IMPOSED PENALTY RS.4,50,000
30-JUN-2022
|
|
| 662 |
|
|
QUANTUM GLOBAL SECURITIES & LEASING CO.LTD.
(PAN:AAACQ0053A)
(Member : NSE/OTC)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR, SELF, SYNCHRONIZED AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF GANGOTRI TEXTILES 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 GANGOTRI TEXTILES LTD.
|
IMPOSED PENALTY RS.75,00,000
22-JUL-2014
|
SAT: APPEAL DISMISSED. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 18/03/2021 DISMISSED THE APPEAL FOR WANT OF PROSECUTION
SEBI VIDE ITS NOTICE DATED 22/06/2022 DIRECTED ALL THE BANKS AND MUTUAL FUNDS 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 19/07/2022 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNTS OF QUANTUM GLOBAL SECURITIES & LEASING CO.LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS ORDER DATED 27/07/2026 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.2822 OF 2020 DATED 05/02/2020
|
| 663 |
|
|
QUANTUM GLOBAL SECURITIES LTD.
(PAN:AAACQ0053A)
(Depository Participants : CDSL,Member : BSE/NSE)
|
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
MISUSED PLEDGING OF CLIENT’S SECURITIES
PROVIDED WRONG NOMENCLATURE OF ACCOUNTS
DID NOT FURNISH ANY INFORMATION ABOUT BANK ACCOUNTS
PROVIDED EXPOSURE TO CLIENTS HAVING DEBIT BALANCE
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES
REPORTED WRONG NET WORTH TO EXCHANGE
DID NOT PROVIDE CORRECT DATA TO STOCK EXCHANGE UNDER RISK-BASED SUPERVISION
DISCREPANCIES IN KNOW YOUR CLIENTS (KYC) AND ACCOUNT OPENING PROCESS
DID NOT UPLOAD KNOW YOUR CLIENTS (KYC) DOCUMENTS TO KRA PROCESSES
DISCREPANCIES IN DEMAT AND REMAT REQUESTS
DISCREPANCIES IN ACCOUNT MODIFICATION
DISCREPANCIES IN ISSUANCE AND EXECUTION OF DIS
DISCREPANCIES RELATED TO INVESTOR GRIEVANCES
COMPLIANCE OFFICER DID NOT HAVE NISM SERIES VI-DOCE CERTIFICATION
ALLOWED TERMINAL TO UNAUTHORISED USERS
|
IMPOSED PENALTY RS.20,00,000
29-SEP-2022
|
SEBI VIDE ITS NOTICE DATED 06/02/2023 DIRECTED TO PAY RS.21,21,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 24/02/2023 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
|
| 664 |
|
|
R K GLOBAL SHARES & SECURITIES LTD.
(PAN:AAACR5786P)
(Member : BSE)
|
|
|
DELAY IN UPLOADING CLIENT KYC DOCUMENTS VIOLATING SEBI CIRCULAR NO.MIRSD/CIR-5/2012 DATED 13/04/2012
|
IMPOSED PENALTY RS.2,00,000
28-DEC-2017
|
|
| 665 |
|
|
R K GLOBAL SHARES & SECURITIES LTD.
(PAN:AAACR5786P)
(Member : NSE)
|
|
|
DELAY IN UPLOADING CLIENT KYC DOCUMENTS VIOLATING SEBI CIRCULAR NO.MIRSD/CIR-5/2012 DATED 13/04/2012
|
IMPOSED PENALTY RS.2,00,000
29-DEC-2017
|
|
| 666 |
|
|
R K GLOBAL SHARES & SECURITIES LTD.
(PAN:AAACR5786P)
(Member : NSE/BSE)
|
|
|
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
|
IMPOSED PENALTY RS.3,00,000
08-NOV-2024
|
SEBI VIDE ITS NOTICE DATED 21/01/2025 DIRECTED TO PAY RS.3,10,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 667 |
|
|
R.K.COMMODITIES SERVICES PVT.LTD.
(PAN:AADCR3305H)
(Member : MCX)
|
|
|
PLAYED AN ACTIVE ROLE IN THE SCHEME OF CORNERING SUBSTANTIAL AMOUNT OF MENTHA OIL FUTURE CONTRACT 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
|
IMPOSED PENALTY RS.5,00,000
31-MAR-2023
|
SEBI VIDE ITS ORDER DATED 05/09/2023 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
SAT: SAT VIDE ITS ORDER DATED 08/09/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 668 |
|
|
R.K.STOCK HOLDING PVT.LTD.
(PAN:AACCR0011K)
(Member : NSE)
|
|
|
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
DID NOT SEND PLEDGE STATEMENTS TO CLIENTS
MISUSED PLEDGING OF CLIENT’S SECURITIES
|
IMPOSED PENALTY RS.5,00,000
24-NOV-2020
|
|
| 669 |
|
|
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
|
|
| 670 |
|
|
R.M.THANVI,M/S
(Member : BSE)
|
|
|
|
R.M.THANVI
|
|
DELIVERY OF 27,500 SHARES WAS MADE BY OTHER DEMAT ACCOUNT VIOLATING CLAUSE 4 OF SEBI CIRCULAR NO.SEBI/MRD/SE/CIR-33/2003/27/08 DATED AUGUST 27, 2003
|
IMPOSED PENALTY RS.5,000
28-DEC-2010
|
|
| 671 |
|
|
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
|
| 672 |
|
|
RADHESHYAM CHIRANJILAL GOENKA,M/S
(Member : BSE)
|
|
|
|
RADHESHYAM CHIRANJILAL GOENKA
|
|
DID NOT MAKE PAYMENT TO CLIENTS
|
IMPOSED PENALTY RS.1,00,000
16-FEB-2000
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.1,00,000 FROM RS.3,98,000
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 673 |
|
|
RADHESHYAM CHIRANJILAL GOENKA,M/S
(Member : BSE)
|
|
|
|
RADHESHYAM CHIRANJILAL GOENKA
|
|
DID NOT MAKE PAYMENT TO CLIENTS
|
IMPOSED PENALTY RS.3,00,000
25-OCT-2000
|
SAT: APPEAL DISMISSED
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 674 |
|
|
RAGA SECURITIES & FINANCE PVT.LTD.
(Member : BSE)
|
|
|
DID NOT SETTLE ACCOUNTS OF THE CLIENTS VIOLATING CLAUSE 12(E) OF ANNEXURE TO SEBI CIRCULAR NO.MIRSD/SE/CIR-19/2009 DATED 03/12/2009
DID NOT SEND STATEMENT OF ACCOUNTS FOR SEVEN SETTLED ACCOUNTS TO CLIENTS VIOLATING CLAUSE 12(E) OF ANNEXURE TO SEBI CIRCULAR NO.MIRSD/SE/CIR-19/2009 DATED 03/12/2009
|
IMPOSED PENALTY RS.4,00,000
16-FEB-2018
|
|
| 675 |
|
|
RAGHUNANDAN CAPITAL PVT.LTD.
(PAN:AADCR7430F)
(Member : NCDEX/NSE/BSE/MCX)
|
|
|
MADE INCORRECT REPORTING OF BALANCES IN CLIENT ASSETS REPORTS
MADE INCORRECT REPORTING OF CLIENT FUNDS AND/OR SECURITIES
MADE INCORRECT AND/OR DID NOT REPORT ENHANCED SUPERVISION OF DATA TO STOCK EXCHANGES
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
PASSED PENALTY TO CLIENTS ON SHORT/NON-COLLECTION AND/OR REPORTING OF UPFRONT MARGINS
DELAY IN ISSUANCE OF DAILY MARGIN STATEMENTS
|
IMPOSED PENALTY RS.8,00,000
27-NOV-2024
|
|
| 676 |
|
|
RAGHUNANDAN CAPITAL PVT.LTD.
(PAN:AADCR7430F)
(Member : NSE/BSE/MSEI)
|
|
|
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
|
IMPOSED PENALTY RS.1,00,000
25-OCT-2019
|
|
| 677 |
|
|
RAHUL CHOKHANY,M/S
(PAN:ACAPC2036Q)
(Member : NSE)
|
|
|
|
RAHUL CHOKHANY
PAN:ACAPC2036Q
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES
MISMATCHED CLIENTS EMAIL IDS AND/OR MOBILE NUMBERS
DID NOT UPDATE CLIENTS EMAIL IDS AND MOBILE NUMBERS
DID NOT HAVE CALL RECORDING SYSTEM FOR PREVENTION OF UNAUTHORIZED TRADING
MADE INCORRECT AND/OR DID NOT REPORT ENHANCED SUPERVISION OF DATA TO STOCK EXCHANGES
|
IMPOSED PENALTY RS.9,00,000 ALONG WITH OTHER ENTITIES/PERSONS
25-MAR-2021
|
SEBI VIDE ITS NOTICE DATED 23/06/2022 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 05/07/2022 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 23/06/2022
|
| 678 |
|
|
RAIMA EQUITIES PVT.LTD.
(CIN:U67120WB1994PTC065572
PAN:AABCE2177Q)
(Member : NSE/BSE)
|
|
|
MAPPED UNIQUE MOBILE NUMBER TO MORE THAN ONE UNIQUE CLIENT CODE (UCC) WITHOUT OBTAINING FAMILY DECLARATION
PROVIDED EXPOSURE TO CLIENTS HAVING DEBIT BALANCE
DID NOT HAVE CALL RECORDING/ORDER PLACEMENT MECHANISM AND/OR DID NOT MAINTAIN RECORDS AND/OR SUBMITTED FORGED AND FALSIFIED EVIDENCE
|
IMPOSED PENALTY RS.3,00,000
28-JUN-2024
|
|
| 679 |
|
|
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
|
|
| 680 |
|
|
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
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 34 of 48
|
