| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 741 |
|
OPG SECURITIES PVT.LTD.
(PAN:AAACO1081C)
(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
|
|
| 742 |
|
|
OPG SECURITIES PVT.LTD.
(PAN:AAACO1081C)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF-TRADES IN SCRIP OF ALKALI METALS 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(4) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF ALKALI METALS LTD.
|
IMPOSED PENALTY RS.2,50,000
30-AUG-2011
|
SAT: APPEAL DISMISSED AS WITHDRAWN
|
| 743 |
|
|
OPTION SECURITIES PVT.LTD.
(Member : DSE)
|
|
|
IRREGULARITIES IN DEALING IN SCRIP OF VATSA WORLD LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 06-SEP-2004 TO 05-OCT-2004
16-AUG-2004
|
|
| 744 |
|
|
OPULENT BROKING PVT.LTD.
(PAN:AAACO2790A)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF SUN INFOWAYS LTD.
DID NOT MAINTAIN 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 SUN INFOWAYS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-OCT-2011 TO 18-JAN-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-OCT-2011 TO 18-JAN-2012
19-OCT-2011
|
|
| 745 |
|
|
ORIENT SHARE & STOCK BROKERS LTD.
(Member : BSE)
|
|
|
MANIPULATION IN SCRIP OF AMARA RAJA BATTERIES LIMITED DURING THE PERIOD AUGUST 2000 TO MARCH 2001
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-OCT-2002 TO 31-MAR-2003
17-SEP-2002
|
|
| 746 |
|
|
ORION STOCKS LTD.
(PAN:AABCO0296Q)
(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.5,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 747 |
|
|
P R B SECURITIES PVT.LTD.
(PAN:AABCP5425G)
(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
|
|
| 748 |
|
|
P SURYAKANT SHARE & STOCK BROKERS PVT.LTD.
(PAN:AACCP3112F)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, CIRCULAR AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF HAVELLS INDIA LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
27-APR-2009
|
|
| 749 |
|
|
P SURYAKANT SHARE & STOCK BROKERS PVT.LTD.
(PAN:AACCP3112F)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, CIRCULAR AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF KRBL LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
27-APR-2009
|
|
| 750 |
|
|
P SURYAKANT SHARE & STOCK BROKERS PVT.LTD.
(PAN:AACCP3112F)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN MARKET MANIPULATION AND PRICE MANIPULATION THROUGH CIRCULAR TRADING IN SCRIP OF STOCKNET INTERNATIONAL 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 STOCKNET INTERNATIONAL LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.4,00,000 VIDE CONSENT ORDER)
21-JAN-2011
|
|
| 751 |
|
|
P SURYAKANT SHARE & STOCK BROKERS PVT.LTD.
(PAN:AACCP3112F)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS/REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF IND SWIFT LTD.
FAILED IN MAINTAINING INTEGRITY, NOT EXERCISED DUE SKILL AND CARE, 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 IND SWIFT LTD.
|
IMPOSED PENALTY RS.1,00,000
26-AUG-2009
|
|
| 752 |
|
|
P.C.S.SECURITIES LTD.
(PAN:AABCP2139B)
(Member : BSE/OTC/NSE)
|
|
|
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
|
|
| 753 |
|
|
P.K.AGARWAL & CO.
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF M.P.INVESTMENT & CONSULTANCY SERVICES 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 M.P.INVESTMENT & CONSULTANCY SERVICES LTD.
|
IMPOSED PENALTY RS.4,00,000
25-MAR-2010
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SAT: SAT VIDE ITS ORDER DATED 29/09/2017 DISPOSED OFF THE APPEAL AND DIRECTED SEBI TO ISSUE SHOW CAUSE NOTICE WITHIN 2 WEEKS FROM THE DATE OF THIS ORDER DEMANDING INTEREST, IF DEEMED FIT. NO COSTS
SEBI VIDE ITS ORDER DATED 12/12/2017 DIRECTED NOTICEE TO MAKE PAYMENT OF RS.7,60,592.00 (INCLUDING INTEREST) BY 05/01/2018 EITHER THROUGH DD IN FAVOUR OF SEBI PAYABLE AT KOLKATA, OR THROUGH EFT/NEFT/RTGS FOLLOWED BY AN INTIMATION TO RECOVERY CELL (ERO)
SEBI VIDE ITS ORDER DATED 09/01/2018 FULL AND FINAL PAYMENT OF RS,16,93,776.00 PAID BY P.K.AGARWAL & CO.
|
| 754 |
|
|
P.K.AGARWAL & CO.
(Member : CSE)
|
|
|
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.1,50,000
10-NOV-2009
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 28/07/2022 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 30/11/2022 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 28/07/2022
SEBI VIDE ITS ORDER DATED 30/11/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.4993 OF 2022 DATED 29/06/2022
|
| 755 |
|
|
P.K.AGARWAL & CO.
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS AND CROSS DEALS IN SCRIP OF KAY VEE AAR 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 KAY VEE AAR LTD.
|
IMPOSED PENALTY RS.3,00,000
03-DEC-2009
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SAT: SAT VIDE ITS ORDER DATED 29/09/2017 DISPOSED OFF THE APPEAL AND DIRECTED SEBI TO ISSUE SHOW CAUSE NOTICE WITHIN 2 WEEKS FROM THE DATE OF THIS ORDER DEMANDING INTEREST, IF DEEMED FIT. NO COSTS
SEBI VIDE ITS ORDER DATED 12/12/2017 DIRECTED NOTICEE TO MAKE PAYMENT OF RS.5,81,490.00 (INCLUDING INTEREST) BY 05/01/2018 EITHER THROUGH DD IN FAVOUR OF SEBI PAYABLE AT KOLKATA, OR THROUGH EFT/NEFT/RTGS FOLLOWED BY AN INTIMATION TO RECOVERY CELL (ERO)
SEBI VIDE ITS ORDER DATED 09/01/2018 FULL AND FINAL PAYMENT OF RS,16,93,776.00 PAID BY P.K.AGARWAL & CO.
|
| 756 |
|
|
P.K.AGARWAL & CO.
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS AND CROSS DEALS IN SCRIP OF LIMTEX INVESTMENTS LTD.
|
IMPOSED PENALTY RS.2,50,000
01-DEC-2009
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SAT: SAT VIDE ITS ORDER DATED 29/09/2017 DISPOSED OFF THE APPEAL AND DIRECTED SEBI TO ISSUE SHOW CAUSE NOTICE WITHIN 2 WEEKS FROM THE DATE OF THIS ORDER DEMANDING INTEREST, IF DEEMED FIT. NO COSTS
SEBI VIDE ITS ORDER DATED 12/12/2017 DIRECTED NOTICEE TO MAKE PAYMENT OF RS.4,84,740.00 (INCLUDING INTEREST) BY 05/01/2018 EITHER THROUGH DD IN FAVOUR OF SEBI PAYABLE AT KOLKATA, OR THROUGH EFT/NEFT/RTGS FOLLOWED BY AN INTIMATION TO RECOVERY CELL (ERO)
SEBI VIDE ITS ORDER DATED 09/01/2018 FULL AND FINAL PAYMENT OF RS,16,93,776.00 PAID BY P.K.AGARWAL & CO.
|
| 757 |
|
|
P.K.AGARWAL & CO.
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF CYBER FAMILY.COM LTD.
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING IN SCRIP OF CYBER FAMILY.COM LTD.
|
IMPOSED PENALTY RS.5,00,000
17-JUN-2009
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 28/07/2022 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
SAT: SAT VIDE ITS ORDER DATED 29/09/2022 DIRECTED TO FILE FORMAL APPLICATION FOR CONDONATION OF DELAY IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 03/11/2022 DISMISSED THE APPEAL. NO COSTS
SEBI VIDE ITS NOTICE DATED 30/11/2022 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 28/07/2022
SEBI VIDE ITS ORDER DATED 30/11/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.4991 OF 2022 DATED 29/06/2022
|
| 758 |
|
|
P.K.AGARWAL & CO.
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF BLUE PRINT SECURITIES 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 BLUE PRINT SECURITIES LTD.
|
IMPOSED PENALTY RS.6,00,000
29-MAR-2010
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SAT: SAT VIDE ITS ORDER DATED 29/09/2017 DISPOSED OFF THE APPEAL AND DIRECTED SEBI TO ISSUE SHOW CAUSE NOTICE WITHIN 2 WEEKS FROM THE DATE OF THIS ORDER DEMANDING INTEREST, IF DEEMED FIT. NO COSTS
SEBI VIDE ITS ORDER DATED 12/12/2017 DIRECTED NOTICEE TO MAKE PAYMENT OF RS.11,40,099.00 (INCLUDING INTEREST) BY 05/01/2018 EITHER THROUGH DD IN FAVOUR OF SEBI PAYABLE AT KOLKATA, OR THROUGH EFT/NEFT/RTGS FOLLOWED BY AN INTIMATION TO RECOVERY CELL (ERO)
SEBI VIDE ITS ORDER DATED 09/01/2018 FULL AND FINAL PAYMENT OF RS,16,93,776.00 PAID BY P.K.AGARWAL & CO.
|
| 759 |
|
|
P.K.AGARWAL & CO.
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF BOLTON PROPERTIES 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 BOLTON PROPERTIES LTD.
|
IMPOSED PENALTY RS.3,00,000
19-JAN-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SAT: SAT VIDE ITS ORDER DATED 29/09/2017 DISPOSED OFF THE APPEAL AND DIRECTED SEBI TO ISSUE SHOW CAUSE NOTICE WITHIN 2 WEEKS FROM THE DATE OF THIS ORDER DEMANDING INTEREST, IF DEEMED FIT. NO COSTS
SEBI VIDE ITS ORDER DATED 12/12/2017 DIRECTED NOTICEE TO MAKE PAYMENT OF RS.5,76,855.00 (INCLUDING INTEREST) BY 05/01/2018 EITHER THROUGH DD IN FAVOUR OF SEBI PAYABLE AT KOLKATA, OR THROUGH EFT/NEFT/RTGS FOLLOWED BY AN INTIMATION TO RECOVERY CELL (ERO)
SEBI VIDE ITS ORDER DATED 09/01/2018 FULL AND FINAL PAYMENT OF RS,16,93,776.00 PAID BY P.K.AGARWAL & CO.
|
| 760 |
|
|
P.K.AGARWAL & CO.
(Member : CSE)
|
|
|
|
PRAMOD KUMAR AGARWAL
|
|
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 12-DEC-2009 TO 31-MAR-2012
SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-DEC-2009 TO 31-MAR-2012
30-NOV-2005
|
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 VIDE ORDER DATED 11/08/2008
DIRECTIONS PASSED VIDE EX-PARTE INTERIM ORDER DATED 30/11/2005 SHALL REMAIN IN FORCE TILL FURTHER ORDERS AS PER ORDER DATED 31/05/2006
SUSPENDED REGISTRATION AS STOCK BROKER FOR A PERIOD OF FIVE YEARS. THE PERIOD OF PROHIBITION ALREADY UNDERGONE SHALL BE SET OFF AS PER ORDER DATED 20/11/2009
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 38 of 62
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