| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 661 |
|
MOTILAL OSWAL SECURITIES LTD.
(PAN:AAACD3654Q)
(Member : NSE)
|
|
|
IN THE CASE OF AMARA RAJA BATTERIES LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
15-JUL-2002
|
|
| 662 |
|
|
MOTILAL OSWAL SECURITIES LTD.
(PAN:AAACD3654Q)
(Member : BSE/NSE/OTC)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DIRECTED BSE LTD.TO SUBMIT DETAILED REPORT IN MATTER OF ALKA SECURITIES LTD.
28-JUL-2009
|
|
| 663 |
|
|
MOTISONS SHARES PVT.LTD.
(PAN:AAECM3530C)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 664 |
|
|
MOUSUMI DEB ROY,M/S
(PAN:AWLPR6540D)
(Member : BSE)
|
|
|
|
MOUSUMI DEB ROY
PAN:AWLPR6540D
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 665 |
|
|
MOUSUMI DEB ROY,M/S
(PAN:AWLPR6540D)
(Member : BSE)
|
|
|
|
MOUSUMI DEB ROY
PAN:AWLPR6540D
|
|
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 18/03/2016 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 17/02/2016. APPELLANTS HEREIN WOULD NOT COME IN WAY OF SEBI TO INITIATE PROCEEDINGS AGAINST APPELLANTS. NO COSTS
SEBI VIDE ITS ORDER DATED 12/08/2016 BROUGHT ON RECORD THAT TRADING MEMBER HAVE VOLUNTARILY CLOSED THE BUSINESS AT BSE EQUITY DERIVATIVES SEGMENT W.E.F. 06/06/2016
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
|
| 666 |
|
|
MPC SECURITIES LTD.
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUBHASH PROJECTS & MARKETING 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 FOR SUB-BROKERS UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SUBHASH PROJECTS & MARKETING LTD.
|
IMPOSED PENALTY RS.3,00,000
28-FEB-2011
|
SAT: SAT VIDE ITS ORDER DATED 19/04/2023 ALLOWED APPELLANT TO TWO WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 14/07/2023 REJECTED THE REVIEW APPLICATION
SAT: SAT VIDE ITS ORDER DATED 20/10/2023 DISMISSED REVIEW APPLICATION. NO COSTS
|
| 667 |
|
|
MR SHARE BROKING PVT.LTD.
(Member : BSE)
|
|
|
ACTED IN CONCERT TO CREATE ARTIFICIAL MARKET/PRICE IN SCRIP OF ELTROL LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-OCT-2005 TILL FURTHER ORDERS
05-OCT-2005
|
DIRECTION ISSUED VIDE AD INTERIM EX-PARTE ORDER DATED 05/10/2005 REVOKED VIDE ORDER DATED 28/07/2010
|
| 668 |
|
|
MR SHARE BROKING PVT.LTD.
(Member : BSE)
|
|
|
|
R.K.PANDEY
|
|
INDULGED IN PRICE MANIPULATION BY CIRCULAR AND STRUCTURED TRANSACTIONS IN SCRIP OF SOUNDCRAFT INDUSTRIES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 03-JAN-2009 TO 02-FEB-2009
12-DEC-2008
|
SAT: APPEAL ALLOWED. IMPUGNED ORDER SET ASIDE AND CASE REMANDED TO SEBI FOR FRESH DECISION. NO ORDER AS TO COSTS
|
| 669 |
|
|
MSB E-TRADE SECURITIES LTD.
(PAN:AAACB2837M)
(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
|
| 670 |
|
|
MSB E-TRADE SECURITIES LTD.
(PAN:AAACB2837M)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 671 |
|
|
MUKESH BABU SECURITIES LTD.
(Member : BSE/NSE)
|
|
|
INDULGED IN SYNCHRONIZED TRADING IN SCRIP OF GLOBAL TRUST BANK LTD.
VIOLATED SEBI CODE OF CONDUCT
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-OCT-2004 TO 30-SEP-2005
10-SEP-2004
|
SAT: APPEAL DISMISSED LEAVING PARTIES TO BEAR THEIR OWN COSTS
|
| 672 |
|
|
MUKESH BABU SECURITIES LTD.
(Member : BSE/NSE)
|
|
|
|
MUKESH BABU
|
|
AIDED AND ABETTED KP ENTITIES TO CREATE FALSE AND MISLEADING APPEARANCE OF TRADING IN SCRIP OF HIMACHAL FUTURISTIC COMMUNICATIONS LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-MAR-2008 TO 12-MAR-2008
20-FEB-2008
|
|
| 673 |
|
|
MUKESH BROKERAGE & FINANCIAL (INDIA) LTD.
(Member : NSE)
|
|
|
AIDED AND ABETTED A SET OF ENTITIES IN CREATING ARTIFICIAL MARKET IN SCRIP OF HITECHI JEWELLERY INDUSTRIES LTD. AND RIGGING THE PRICE OF SCRIP OF HITECHI JEWELLERY INDUSTRIES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-SEP-2002 TO 19-OCT-2002
22-AUG-2002
|
|
| 674 |
|
|
MUKESH DOKANIA & CO.
(Member : CSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING IN SCRIP OF MINOLTA FINANCE LTD
INDULGED IN MARKET MANIPULATION AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF MINOLTA FINANCE LTD.
|
IMPOSED PENALTY RS.6,00,000
09-JUL-2009
|
SAT: APPEAL FAILED AND DISMISSED. NO ORDER AS TO COSTS
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 675 |
|
|
MUKESH DOKANIA & CO.
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF SANGOTRI CONSTRUCTIONS 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 SANGOTRI CONSTRUCTIONS LTD.
|
IMPOSED PENALTY RS.5,00,000
21-JAN-2010
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 676 |
|
|
MUKUL BHATTACHARJEE,M/S
(Member : CSE)
|
|
|
|
MUKUL BHATTACHARJEE
|
|
ACTED IN CONCERT TO CREATE ARTIFICIAL MARKET/PRICE RISE THROUGH CROSS DEALS EXECUTED AT SAME TERMINAL IN SCRIP OF OFFSHORE FINVEST LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 13-JAN-2006 TO 12-MAY-2006
23-DEC-2005
|
|
| 677 |
|
|
MUKUL BHATTACHARJEE,M/S
(Member : CSE)
|
|
|
|
MUKUL BHATTACHARJEE
|
|
ACTED IN CONCERT TO CREATE ARTIFICIAL MARKET/PRICE RISE THROUGH CROSS DEALS EXECUTED AT SAME TERMINAL IN SCRIP OF BLUE PRINT SECURITIES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 13-JAN-2006 TO 12-JUL-2006
23-DEC-2005
|
|
| 678 |
|
|
MULTIGAIN SECURITIES SERVICES PVT.LTD.
(PAN:AAFCM6197E)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 679 |
|
|
MURARI LAL GOENKA,M/S
(Member : CSE)
|
|
|
|
MURARI LAL GOENKA
|
|
ACTED IN CONCERT WITH OTHER BROKERS TO CREATE ARTIFICIAL MARKET AND PRICE RISE THROUGH CONTINUOUS SELF DEALS EXECUTED AT ONE TERMINAL AND CROSS DEALS AMONG THEMSELVES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-NOV-2005 TILL FURTHER ORDERS
30-NOV-2005
|
DIRECTED THAT INTERIM ORDER SHALL REMAIN IN FORCE TILL FURTHER ORDERS
RESTRAINT ORDER IMPOSED BY WAY OF INTERIM ORDERS DATED 29/09/2005 AND 30/11/2005 AND LATER CONFIRMED BY ORDERS DATED 12/01/2006 AND 31/05/2006 VACATED
|
| 680 |
|
|
MURARI LAL GOENKA,M/S
(Member : CSE)
|
|
|
|
MURARI LAL GOENKA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS/CROSS DEALS IN SCRIP OF BSR FINANCE & CONSTRUCTION LTD.
|
IMPOSED PENALTY RS.3,00,000
10-JUN-2009
|
|
| 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 34 of 62
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