| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 801 |
|
PEE DEE KAPUR STOCK & SECURITIES LTD.
(PAN:AELPK4977J)
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SELF TRADES IN SCRIP OF RADICO KHAITAN LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS AND DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 7 READ WITH CLAUSES A(1) AND A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF RADICO KHAITAN LTD.
|
IMPOSED PENALTY RS.1,75,000
11-JUL-2011
|
SAT: APPEAL DISMISSED WITH NO ORDER AS TO COSTS
INCLUDED IN SEBI LIST DATED 30/09/2013, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 802 |
|
|
PEE DEE KAPUR STOCK & SECURITIES LTD.
(PAN:AELPK4977J)
(Member : NSE)
|
|
|
AIDED AND ABETTED CLIENTS IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF-TRADES AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF CORAL HUB LTD.
|
IMPOSED PENALTY RS.4,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-FEB-2022
|
|
| 803 |
|
|
PENINSULAR CAPITAL MARKET LTD.
(Member : BSE/NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF IFSL LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-SEP-2005 TILL FURTHER ORDERS
28-SEP-2005
|
CONFIRMED INTERIM ORDER DATED 28/09/2005
|
| 804 |
|
|
PILOT CREDIT CAPITAL LTD.
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR TRANSACTIONS/REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF GRAVITY INDIA LTD.
FAILED IN MAINTAINING INTEGRITY, 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 GRAVITY INDIA LTD.
|
IMPOSED PENALTY RS.3,00,000
31-JUL-2009
|
SAT: APPEAL FAILED AND DISMISSED WITH PARTIES TO BEAR THEIR OWN COSTS
|
| 805 |
|
|
PILOT CREDIT CAPITAL LTD.
(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.2,00,000
29-NOV-2010
|
|
| 806 |
|
|
PILOT CREDIT CAPITAL LTD.
(Member : BSE)
|
|
|
ALLOWED JAY SHAH TO TRADE IN IFSL SHARES DESPITE SEBI'S ORDER
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-OCT-2005 TILL FURTHER ORDERS
24-OCT-2005
|
|
| 807 |
|
|
PLG SECURITIES PVT.LTD.
(PAN:AAFCP5917M)
(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
|
|
| 808 |
|
|
POONA INDUSTRIAL & FINANCE PVT.LTD.
(Sub-Broker of BNR CAPITAL SERVICES PVT.LTD., Member : BSE,Member : PSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF BILCARE LTD.
|
IMPOSED PENALTY RS.1,00,000
11-MAY-2009
|
|
| 809 |
|
|
PORECHA GLOBAL SECURITIES PVT.LTD.
(PAN:AAACP6228N)
(Member : BSE)
|
|
|
|
SAMIR PORECHA
|
|
|
SUDHIR PORECHA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH STRUCTURED TRANSACTIONS/CROSS DEALS IN SCRIP OF MOBILE TELECOMMUNICATIONS LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, NOT EXERCISED DUE SKILL, CARE & DILIGENCE, 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 MOBILE TELECOMMUNICATIONS LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-SEP-2009 TO 29-OCT-2009
09-SEP-2009
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 09/09/2009 SET ASIDE WITH PARTIES TO BEAR THEIR OWN COSTS
|
| 810 |
|
|
PRABHAT & CO.
(Member : UPSE)
|
|
|
|
VIMAL KUMAR SHARMA
|
|
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
|
|
| 811 |
|
|
PRABHAT FINANCIAL SERVICES LTD.
(PAN:AAACP8036A)
(Member : NSE)
|
|
|
ALLEGED INVOLVEMENT IN SYNCHRONIZED AND MANIPULATIVE TRANSACTIONS ON BEHALF OF CLIENTS IN SCRIP OF VATSA MUSIC LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
04-JAN-2008
|
|
| 812 |
|
|
PRABHAT INVESTMENTS
(Member : DSE)
|
|
|
IRREGULARITIES IN DEALING IN SCRIP OF VATSA WORLD LTD.
DID NOT EXERCISE DUE SKILL AND CARE IN MATTER OF VATSA WORLD LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 21-SEP-2004 TO 20-NOV-2004
31-AUG-2004
|
|
| 813 |
|
|
PRABHAT KUMAR JHUNJHUNWALA,M/S
(Member : CSE)
|
|
|
|
PRABHAT KUMAR JHUNJHUNWALA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF GROB TEA LTD.
DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSE A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF OFF-MARKET TRANSACTIONS IN SCRIP OF GROB TEA LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
15-FEB-2010
|
|
| 814 |
|
|
PRABHUDAS LILLADHER PVT.LTD.
(PAN:AAACP2733Q)
(Depository Participants : CDSL,Member : NSE/BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF MISLEADING APPEARANCE OF TRADING THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF DSQ SOFTWARE LTD. AND DSQ BIOTECH LTD.
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE AND DILIGENCE WHILE DEALING IN SECURITIES MARKET
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,05,00,000 VIDE CONSENT ORDER)
16-FEB-2009
|
|
| 815 |
|
|
PRABHUDAS LILLADHER PVT.LTD.
(PAN:AAACP2733Q)
(Member : BSE)
|
|
|
MANIPULATED MARKET IN SCRIP OF SAWACA BUSINESS MACHINES LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
27-APR-2004
|
|
| 816 |
|
|
PRADEEP KUMAR BANSAL,M/S
(Member : UPSE/CSE/ICSE)
|
|
|
|
PRADEEP KUMAR BANSAL
|
|
EXECUTED SINGLE TRADES AT EXCHANGE TO ASCERTAIN PRICES FOR EXECUTING BULK ORDERS ILLEGALLY OUTSIDE THE EXCHANGE MECHANISM
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT FURNISH CORRECT INFORMATION TO INSPECTING TEAM REGARDING BANK ACCOUNTS
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF AURANGABAD CRYOGENICS LTD. (NOW KNOWN AS BANSAL NATUREVEST LTD.)
DEFICIENCIES IN MEMBER-CLIENT AGREEMENTS
DEFICIENCIES IN REGISTRATION FORMS
DID NOT ISSUE CONTRACT NOTES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT COLLECT MARGINS FROM CLIENTS
DID NOT RECORD TIME OF PLACEMENT OF ORDERS ON CONTRACT NOTES
DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
EXECUTED TRADES FOR CLIENTS THROUGH PROPRIETARY ACCOUNT TO EVADE COLLECTION OF MARGINS
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 23-JUL-2003 TO 22-JUL-2008
28-JUN-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,00,000, LEGAL EXPENSES RS.2,50,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER) FROM 23-JUL-2003 TO 22-JUL-2008
09-JUN-2008
|
SAT: APPLICANT AGREED TO PAY A SUM OF RS.25,00,000 TOWARDS SETTLEMENT CHARGES AND RS.2,50,000 TOWARDS LEGAL EXPENSES AS PER CONSENT ORDER DATED 09/06/2008 AND VOLUNTARILY UNDERTAKEN TO REMAIN SUSPENDED FOR A PERIOD OF 5 YEARS COMMENCING FROM 23/07/2003. ORDER DATED 28/06/2006 SET ASIDE
|
| 817 |
|
|
PRADEEP KUMAR BANSAL,M/S
(Member : CSE)
|
|
|
|
PRADEEP KUMAR BANSAL
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF AURANGABAD CRYOGENICS LTD. (NOW KNOWN AS BANSAL NATUREVEST 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 AURANGABAD CRYOGENICS LTD.
|
IMPOSED PENALTY RS.1,00,000
22-FEB-2011
|
SAT: APPEAL DISMISSED WITH NO ORDER AS TO COSTS
|
| 818 |
|
|
PRAKASH BAID SECURITIES PVT.LTD.
(Member : CSE)
|
|
|
|
PRAMOD BAID
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF PATRIOT TRADING CO.LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE IN CONDUCT OF ITS BUSINESS AS A BROKER
VIOLATED CODE OF CONDUCT AS PRESCRIBED UNDER STOCK BROKER REGULATIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 19-APR-2007 TO 18-OCT-2007
29-MAR-2007
|
|
| 819 |
|
|
PRAKASH NAHATA & CO.
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS/CROSS DEALS IN SCRIP OF BSR FINANCE & CONSTRUCTION LTD.
|
IMPOSED PENALTY RS.6,00,000
10-JUN-2009
|
SAT: CASE REMANDED TO AO FOR FRESH DECISION IN ACCORDANCE WITH LAW. WITH COSTS OF RS.50000
|
| 820 |
|
|
PRAKASH NAHATA & CO.
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF TOPLIGHT COMMERCIAL LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE IN CONDUCT OF ITS BUSINESS AS A BROKER
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-JUL-2009 TO 11-AUG-2009
22-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 41 of 62
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