| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 61 |
|
MBL & CO.LTD.
(CIN:U74899HR1995PLC041583
PAN:AADCM8394F)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF-TRADES IN SCRIP OF GUJARAT NRE COKE LTD.
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 7 (REGULATION 9-POST AMENDMENT) READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS & SUB-BROKERS) REGULATIONS, 1992
|
IMPOSED PENALTY RS.15,00,000
17-MAR-2020
|
SAT: SAT: SAT VIDE ITS ORDER DATED 18/03/2021 DISMISSED THE APPLICATION
SAT: SAT VIDE ITS ORDER DATED 13/05/2022 DISMISSED THE APPEAL. NO COSTS
|
| 62 |
|
|
MEHTA EQUITIES LTD.
(PAN:AAACR4143C)
|
|
|
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS AND DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 9(F) READ WITH CLAUSES A(1) TO A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF GENERIC ENGINEERING CONSTRUCTION & PROJECTS LTD.
|
IMPOSED PENALTY RS.3,00,000
31-MAY-2023
|
SAT: SAT VIDE ITS ORDER DATED 03/08/2023 RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS THEREAFTER. IN THE MEANWHILE, APPELLANTS MAY DEPOSIT PENALTY AMOUNT
SAT: SAT VIDE ITS ORDER DATED 05/10/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
|
| 63 |
|
|
MOH LTD.
(PAN:AABCM0385L)
|
|
|
|
ANISH B.SHAH
|
|
|
B.PALINICKER
|
|
|
CHAGAN BHAI A.MANANI
|
|
|
MANUBHAI OGHADLAL SHAH
|
|
|
S.SANKARAN
|
|
|
SUNIL MANUBHAI SHAH
|
|
ISSUED MISLEADING ADVERTISEMENT IN NEWSPAPERS REGARDING POSSIBILITIES OF BUYBACK WHICH WAS SUBSEQUENTLY WITHDRAWN BUT WITHOUT INFORMING THE SHAREHOLDERS
VIOLATED SEBI CODE OF CONDUCT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-MAY-2007 TO 17-MAY-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-MAY-2007 TO 17-MAY-2009
18-MAY-2007
|
|
| 64 |
|
|
MONEYPLEX SECURITIES PVT.LTD.
(PAN:AAHCM9331N)
|
|
|
DID NOT IDENTIFY AND GENERATE ALERTS IN REVERSAL OF TRADE TRANSACTIONS VIOLATING CLAUSE A(2) OF CODE OF CONDUCT FOR STOCK BROKERS UNDER SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKER) REGULATIONS, 1992 IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.1,00,000
07-AUG-2023
|
|
| 65 |
|
|
OPG SECURITIES PVT.LTD.
(PAN:AAACO1081C)
|
|
|
|
SANJAY GUPTA
PAN:AAHPG3047Q
|
|
GAINED ADVANTAGE BY CONSISTENTLY LOGGED IN FIRST ACROSS POP SERVERS ON ACCOUNT OF BEING AWARE OF THE WEAKNESS OF THE TCP/IP TBT SYSTEM ARCHITECTURE
TRIED TO CROWD OUT OTHER TRADING MEMBERS FROM TCP/IP TBT SYSTEM PLATFORM
GAINED UNFAIR ACCESS AND ADVANTAGE BY CONSISTENTLY LOGGING INTO SECONDARY POP SERVER FOR LARGE NUMBER OF DAYS VIOLATING CLAUSES A(1), A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF OPG SECURITIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-APR-2024 TO 29-OCT-2024
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 30-APR-2024 TO 29-OCT-2024
DIRECTED TO DISGORGE RS.77,75,46,000
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
30-APR-2019
|
|
| 66 |
|
|
PADMINI TECHNOLOGIES LTD.
(CIN:L25202DL1990PLC039395)
|
|
|
|
PRAVEEN KUMAR JAIN
|
|
|
VISHNU SARUP GUPTA
|
|
|
VIVEK NAGPAL
|
|
ALLOTMENT OF SHARES IN THE PREFERENTIAL ISSUES WERE MALAFIDE AND TOOK PLACE WITHOUT ANY REAL INFUSION OF FUNDS
PREFERENTIAL ALLOTMENT WAS IRREGULAR AND NOT IN ACCORDANCE WITH LAW IN AS MUCH AS THE COMPANY HAS RESORTED TO FICTITIOUS BOOK ENTRIES FOR SHOWING RECEIPT OF SUBSCRIPTION TOWARDS PREFERENTIAL ALLOTMENT OF SHARES
AIDED ALLOTTEES BY WAY OF UNUSUAL FINANCIAL ACCOMMODATION IN CASE OF PREFERENTIAL ALLOTMENT OF PADMINI TECHNOLOGIES LTD.
INDULGED IN MARKET/PRICE MANIPULATION IN SCRIP OF PADMINI TECHNOLOGIES LTD.
DELAYED CONVERSION OF SHARES OF PADMINI TECHNOLOGIES LTD. FOR PHYSICAL TO DEMAT ALLOTTED IN PREFERENTIAL ALLOTMENT
VIOLATED REGULATION 3, 6(A), (C), (D) OF FUTP REGULATIONS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JAN-2007 TO 30-JAN-2012
31-JAN-2007
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
|
| 67 |
|
|
PELF FINSTOCK LTD.
(PAN:AAACP3943N)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME AND PRICE MANIPULATION THROUGH STRUCTURED AND SYNCHRONISED TRADES IN SCRIP OF BHARATIYA GLOBAL INFOMEDIA LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATION ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSE A OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
|
IMPOSED PENALTY RS.2,00,00,000
25-MAR-2014
|
SAT: SAT VIDE ITS ORDER DATED 06/04/2016 SET ASIDED THE IMPUGNED ORDER DATED 25/03/2014 AND RESTORED ALL THE MATTERS TO FILE OF AO TO PASS FRESH ORDER ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
|
| 68 |
|
|
PHILLIPCAPITAL (INDIA) PVT.LTD.
(PAN:AABCR6382C)
|
|
|
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
ALLEGED VIOLATION OF VARIOUS NSE CIRCULARS
ALLEGED NON COMPLIANCE WITH STATUTORY REQUIREMENTS VIOLATING REGULATIONS 9, 26(XVI) AND 26(XX) READ WITH CLAUSE A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.51,00,000 VIDE CONSENT ORDER)
09-MAY-2019
|
|
| 69 |
|
|
PREM SOMANI SHARE BROKERS PVT.LTD.
(PAN:AABCP4104E)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME AND PRICE MANIPULATION THROUGH STRUCTURED AND SYNCHRONISED TRADES IN SCRIP OF BHARATIYA GLOBAL INFOMEDIA LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATION ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSE A OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
DID NOT ADHERE TO VARIOUS SEBI CIRCULARS
|
IMPOSED PENALTY RS.1,00,00,000
25-MAR-2014
|
SAT: SAT VIDE ITS ORDER DATED 06/04/2016 SET ASIDED THE IMPUGNED ORDER DATED 25/03/2014 AND RESTORED ALL THE MATTERS TO FILE OF AO TO PASS FRESH ORDER ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
|
| 70 |
|
|
RAMNIKLAL MOHANLAL CAPITAL MARKETS PVT.LTD.
(PAN:AAACR5382B)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR, SYNCHRONIZED AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF JAYBHARAT TEXTILES & REAL ESTATE LTD.
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(2),A(3) AND A(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF JAYBHARAT TEXTILES & REAL ESTATE LTD.
|
IMPOSED PENALTY RS.2,00,000
12-OCT-2011
|
SAT: APPEAL FAILED AND DISMISSED. NO COSTS
|
| 71 |
|
|
RELYBULLS STOCK BROKING PVT.LTD.
(PAN:AAPCS3322M)
|
|
|
DID NOT IDENTIFY AND GENERATE ALERTS IN REVERSAL OF TRADE TRANSACTIONS VIOLATING CLAUSE A(2) OF CODE OF CONDUCT FOR STOCK BROKERS UNDER SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKER) REGULATIONS, 1992 IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.1,00,000
23-MAY-2023
|
|
| 72 |
|
|
RTG SHARE BROKING LTD.
(PAN:AADCR9629L)
|
|
|
DID NOT HAVE ANY SYSTEM IN PLACE TO IDENTIFY REVERSALS OF TRADE TRANSACTIONS VIOLATING REGULATION 9(F) READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
31-MAR-2023
|
|
| 73 |
|
|
SAMEER SUDHIR JOSHI (HUF)
(PAN:AAPHS5352A)
|
|
|
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE TRANSACTIONS VIOLATING REGULATION 15 READ WITH CLAUSES A(1), A(2) AND D(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS & SUB-BROKERS) REGULATIONS, 1992
INDULGED IN FUND BASED ACTIVITIES INVOLVING PERSONAL FINANCIAL LIABILITY VIOLATING RULE 8(3) (F) OF SECURITIES CONTRACTS (REGULATIONS) RULES, 1957
|
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET FROM 08-JAN-2016 TO 07-JAN-2021
DIRECTED TO REFUND ALL THE MONIES TO INVESTORS ALONG WITH INCOME, PROFITS OR RETURNS PROMISED UNDER THE SCHEMES
PROHIBITED FROM TRANSFERRING FUNDS / DEPOSITS MOBILISED FROM THE CLIENTS OR OTHER INVESTORS OR FROM DISPOSING OF OR ALIENATING ANY ASSET THAT HAS BEEN CREATED FROM THE FUNDS/DEPOSITS RECEIVED FROM THEIR CLIENTS OR OTHER INVESTORS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-JAN-2016 TO 07-JAN-2021
PROHIBITED FROM MOBILIZING OR POOLING FUNDS FROM ITS CLIENTS, OTHER GENERAL INVESTORS OR PUBLIC OR ANY OTHER UNREGISTERED ACTIVITY, IN WHATEVER FORM FROM 08-JAN-2016 TO 07-JAN-2021
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-JAN-2016 TO 07-JAN-2021
20-JAN-2015
|
SEBI VIDE ITS ORDER DATED 08/01/2016 1) PROHIBITED FROM MOBILIZING OR POOLING ANY FRESH FUNDS FROM ITS CLIENTS, OTHER GENERAL INVESTORS OR PUBLIC IN WHATEVER FORM 2) NOT TO, DIRECTLY OR INDIRECTLY, ACCESS SECURITIES MARKET AND ARE FURTHER RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FOR A PERIOD OF FIVE YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS
|
| 74 |
|
|
SHAHI PROPERTY DEVELOPERS PVT.LTD.
(Along with : ADANI ENTERPRISES LTD.)
|
|
|
VIOLATED SEBI CODE OF CONDUCT
AIDED AND ABETTED KP ENTITIES IN MANIPULATING SCRIP OF ADANI ENTERPRISES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-MAY-2007 TO 24-MAY-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-MAY-2007 TO 24-MAY-2009
25-MAY-2007
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,00,000, LEGAL EXPENSES RS.50,000 VIDE CONSENT ORDER)
24-APR-2008
|
SAT: APPEAL DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.7,50,000 AS PER CONSENT ORDER
|
| 75 |
|
|
SHASWAT STOCK BROKERS LTD.
(PAN:AACCS1143H)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME AND PRICE MANIPULATION THROUGH STRUCTURED AND SYNCHRONISED TRADES IN SCRIP OF BHARATIYA GLOBAL INFOMEDIA 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 OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
|
IMPOSED PENALTY RS.1,00,00,000
25-MAR-2014
|
SAT: SAT VIDE ITS ORDER DATED 06/04/2016 SET ASIDED THE IMPUGNED ORDER DATED 25/03/2014 AND RESTORED ALL THE MATTERS TO FILE OF AO TO PASS FRESH ORDER ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
|
| 76 |
|
|
SHREE BAHUBALI INTERNATIONAL LTD.
(PAN:AAECS4019E)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME AND PRICE MANIPULATION THROUGH STRUCTURED AND SYNCHRONISED TRADES IN SCRIP OF BHARATIYA GLOBAL INFOMEDIA LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATION ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSE A OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
|
IMPOSED PENALTY RS.2,00,00,000
25-MAR-2014
|
SAT: SAT VIDE ITS ORDER DATED 06/04/2016 SET ASIDED THE IMPUGNED ORDER DATED 25/03/2014 AND RESTORED ALL THE MATTERS TO FILE OF AO TO PASS FRESH ORDER ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
|
| 77 |
|
|
SPFL SECURITIES LTD.
(PAN:AABCS2452C)
|
|
|
DID NOT TAKE NECESSARY STEPS TO GENERATE ALERTS BY PUTTING A SYSTEM IN PLACE TO DETECT AND CURB REVERSAL OF PROPRIETARY TRADES VIOLATING CLAUSES A(1) TO A(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.2,00,000
25-APR-2023
|
|
| 78 |
|
|
SRU SECURITIES LTD.
(PAN:AACCS1853J)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF-TRADES IN SCRIP OF CEREBRA INTEGRATED TECHNOLOGIES LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE TRANSACTIONS VIOLATING REGULATION 15 READ WITH CLAUSES A(1), A(2) AND D(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS & SUB-BROKERS) REGULATIONS, 1992 IN MATTER OF CEREBRA INTEGRATED TECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.6,00,000
09-SEP-2019
|
SEBI VIDE ITS NOTICE DATED 01/04/2021 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1.ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) 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 27/04/2021 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 01/04/2021
|
| 79 |
|
|
SUMPOORNA PORTFOLIO LTD.
(PAN:AAOCS8998N)
|
|
|
DID NOT IDENTIFY AND GENERATE ALERTS IN REVERSAL OF TRADE TRANSACTIONS VIOLATING CLAUSE A(2) OF CODE OF CONDUCT FOR STOCK BROKERS UNDER SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKER) REGULATIONS, 1992 IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.1,00,000
24-MAY-2023
|
SEBI VIDE ITS NOTICE DATED 04/10/2024 DIRECTED TO PAY RS.1,19,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 16/07/2025 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 10/09/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.1,30,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS NOTICE DATED 22/12/2025 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 16/07/2025
SEBI VIDE ITS ORDER DATED 22/12/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.8133 OF 2024 DATED 04/10/2024
|
| 80 |
|
|
SUNSTAR SECURITIES
(PAN:ABOFS9148Q)
|
|
|
DID NOT HAVE ANY SYSTEM IN PLACE TO IDENTIFY REVERSALS OF TRADE TRANSACTIONS VIOLATING REGULATION 9(F) READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.1,00,000
31-JUL-2023
|
|
| 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 4 of 5
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