| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 701 |
|
NCJ SHARE & STOCK BROKERS LTD.
(PAN:AABCN3702G)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR TRANSACTIONS IN SCRIP OF G.G.AUTOMOTIVE GEARS LTD.
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, NOT EXERCISING DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLYING 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 G.G.AUTOMOTIVE GEARS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.15,00,000 VIDE CONSENT ORDER)
14-FEB-2012
|
|
| 702 |
|
|
NCJ SHARE & STOCK BROKERS LTD.
(PAN:AABCN3702G)
(Member : BSE)
|
|
|
AIDED AND ABETTED ITS CLIENTS IN INDULGING IN SYNCHRONIZED TRADING IN SCRIP OF OASIS MEDIA MATRIX LTD.
|
IMPOSED PENALTY RS.2,00,000
26-AUG-2008
|
|
| 703 |
|
|
NCJ SHARE & STOCK BROKERS LTD.
(PAN:AABCN3702G)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND CIRCULAR TRANSACTIONS AND REVERSAL OF TRADE TRANSACTONS IN SCRIP OF KRBL LTD.
DID NOT MAINTAINING 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 KRBL LTD.
|
IMPOSED PENALTY RS.6,00,000
23-JUN-2011
|
|
| 704 |
|
|
NCJ SHARE & STOCK BROKERS LTD.
(PAN:AABCN3702G)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED/CIRCULAR AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF RAJESH EXPORTS LTD.
|
IMPOSED PENALTY RS.3,00,000
03-JUN-2011
|
|
| 705 |
|
|
NCJ SHARE & STOCK BROKERS LTD.
(PAN:AABCN3702G)
(Member : BSE/NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION 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.1,00,000
18-JUL-2011
|
|
| 706 |
|
|
NCJ SHARE & STOCK BROKERS LTD.
(PAN:AABCN3702G)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, CIRCULAR TRANSACTIONS AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF WELLWORTH OVERSEAS LTD.
DID NOT MAINTAIN INTEGRITY, DID NOT EXERCISE DUE SKILL AND CARE, 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 WELLWORTH OVERSEAS LTD.
|
IMPOSED PENALTY RS.1,00,000
27-JAN-2011
|
|
| 707 |
|
|
NCJ SHARE & STOCK BROKERS LTD.
(PAN:AABCN3702G)
(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
|
| 708 |
|
|
NDA SECURITIES LTD.
(Member : BSE/OTC/NSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN VARIOUS SCRIPS
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(2),A(3) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
30-JAN-2008
|
|
| 709 |
|
|
NEER-OCEAN MULTITRADE PVT.LTD.
(PAN:AADCN3061E)
(Member : NCDEX)
|
|
|
DELAYED PAYMENT OF MARKET TO MARKET (MTM) OBLIGATIONS IN MATTER OF CASTOR SEED CONTRACTS
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
SAT: SAT VIDE ITS ORDER DATED 11/09/2017 DISPOSED OFF THE APPEAL AS THE COUNSEL FOR SEBI ON INSTRUCTION STATED THAT WTM OF SEBI WOULD HEAR THE APPELANT AND PASS APPROPRIATE ORDER ON THE REPRESENTATIONS AS EARLY AS POSSIBLE AND IN ANY EVENT WITHIN SIX WEEKS FROM THE DATE OF THE APPELLANT FURNISHING ALL THE RELEVANT DOCUMENTS. NO COSTS
SEBI VIDE ITS ORDER DATED 14/11/2018 REVOKED DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 02/03/2016 AND CONFIRMATORY ORDER DATED 08/03/2017
|
| 710 |
|
|
NEON VINIMAY PVT.LTD.
(PAN:AABCN1093J)
(Member : NSE)
|
|
|
|
PARAS MAL JAIN
|
|
|
SUBHASH CHAND SETHI
|
|
MANIPULATED PRICE IN SCRIP OF SUBHASH PROJECTS & MARKETING LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 09-SEP-2004 TO 08-OCT-2004
19-AUG-2004
|
|
| 711 |
|
|
NEREYETH SECURITIES PVT.LTD.
(Member : BGSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF HOME TRADE LTD.
DEFAULTED IN VERIFYING FINANCIAL CAPABILITIES AND NET WORTH OF CLIENTS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
30-NOV-2005
|
|
| 712 |
|
|
NEWAGE SHARES & STOCK BROKERS PVT.LTD.
(Member : OTC)
|
|
|
|
PRAMOD JAIN
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME IN SCRIP OF SRG INFOTECH LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 23-SEP-2008 TO 22-MAR-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-SEP-2008 TO 22-MAR-2009
23-SEP-2008
|
|
| 713 |
|
|
NEWAGE SHARES & STOCK BROKERS PVT.LTD.
(Member : OTC)
|
|
|
|
ASHOK AGGARWAL
|
|
|
SANDEEP BANSAL
|
|
|
SANJEEV BANSAL
|
|
EXECUTED STRUCTURED/SYNCHRONIZED DEALS IN SCRIP OF VATSA MUSIC LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-JAN-2009 TO 08-JAN-2011
09-JAN-2009
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER SET ASIDE. CASE REMANDED TO SEBI FOR FRESH HEARING WITH NO ORDER AS TO COSTS
|
| 714 |
|
|
NH SECURITIES LTD.
(PAN:AAACS7140Q)
(Member : NSE)
|
|
|
|
KARTIK KIRTIKUMAR PAREKH
DIN:00009502
|
|
|
KETAN VINAYCHANDRA PAREKH
DIN:00009468
PAN:AADPP1505A
|
|
INDULGED IN MARKET MANIPULATION IN SCRIPS OF DSQ SOFTWARE LTD. AND AFTEK INFOSYS LTD.
INDULGED IN SYNCHRONIZED DEALS IN SCRIP OF DSQ SOFTWARE LTD. & AFTEK INFOSYS LTD.
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 08-MAR-2004
31-MAR-2004
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
|
| 715 |
|
|
NH SECURITIES LTD.
(PAN:AAACS7140Q)
(Member : NSE)
|
|
|
|
KARTIK KIRTIKUMAR PAREKH
DIN:00009502
|
|
|
KETAN VINAYCHANDRA PAREKH
DIN:00009468
PAN:AADPP1505A
|
|
|
KIRTIKUMAR NARBHERAM PAREKH
DIN:00009494
|
|
|
NAVINCHANDRA NARBHERAM PAREKH
DIN:00009547
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF GLOBAL TRUST BANK LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF GLOBAL TRUST BANK LTD.
PARKED SHARES TO CIRCUMVENT SEBI TAKEOVER CODE, 1997
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-JUN-2003 TILL INVESTIGATIONS COMPLETED
06-JUN-2003
|
|
| 716 |
|
|
NH SECURITIES LTD.
(PAN:AAACS7140Q)
(Member : BSE)
|
|
|
INDULGED IN MANIPULATIVE TRADES
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 08-MAR-2004
08-MAR-2004
|
ENQUIRY PROCEEDINGS INITIATED AGAINST NOTICEE IN MATTER OF RANBAXY LABORATORIES LTD. DISPOSED OFF VIDE ORDER DATED 03/08/2010,AS CERTIFICATE OF REGISTRATION OF NOTICEE HAS ALREADY BEEN CANCELLED BY SEBI VIDE ORDER DATED 08/03/2004
|
| 717 |
|
|
NH SECURITIES LTD.
(PAN:AAACS7140Q)
(Member : NSE/BSE)
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF HFCL, ZEE, ADANI, GTL, RANBAXY, SAB TV, SHONKH, PADMINI (FORMERLY PADMINI POLYMERS LTD.) AND AFTEK WITH KP ENTITIES
INDULGED IN MANIPULATIVE ACTIVITIES LIKE SYNCHRONIZED TRADING
FINANCED TRANSACTIONS TO GIVE SEMBLANCE OF PURCHASE AND SALE OF SHARES AT THE EXCHANGES
INDULGED IN CIRCULAR TRADING
CREATED ARTIFICIAL MARKET
BENCHMARKED PRICES OF CERTAIN SCRIPS BY EXECUTING NON-GENUINE TRANSACTIONS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-NOV-2007 TO 11-NOV-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-NOV-2007 TO 11-NOV-2012
12-NOV-2007
|
|
| 718 |
|
|
NH SECURITIES LTD.
(PAN:AAACS7140Q)
(Member : BSE/NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIPS OF MASCON GLOBAL LTD.AND DSQ BIOTECH LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-NOV-2007 TO 11-NOV-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-NOV-2007 TO 11-NOV-2012
23-SEP-2010
|
|
| 719 |
|
|
NH SECURITIES LTD.
(PAN:AAACS7140Q)
(Member : BSE/NSE)
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF GLOBAL TRUST BANK LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF GLOBAL TRUST BANK LTD.
PARKED SHARES TO CIRCUMVENT SEBI TAKEOVER CODE, 1997
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2002 TILL INVESTIGATION COMPLETED
31-DEC-2002
|
|
| 720 |
|
|
NIRAJ KUMAR BALASARIA PVT.LTD.
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF DSQ INDUSTRIES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 28-JAN-2005 TO 27-APR-2005
07-JAN-2005
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 36 of 62
|
