| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 861 |
|
R.K.STOCK HOLDING PVT.LTD.
(PAN:AACCR0011K)
(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
|
| 862 |
|
|
R.S.INVESTMENT & FINANCIAL SERVICES
(Member : NSE)
|
|
|
|
RAJESH CHUNILAL MEGHANI
|
|
IRREGULARITIES IN BUYING, SELLING AND DEALING IN SCRIP OF AMARA RAJA BATTERIES LTD.
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
DID NOT EXERCISE DUE SKILL AND CARE IN MATTER OF AMARA RAJA BATTERIES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 19-AUG-2003 TO 18-FEB-2004
29-JUL-2003
|
|
| 863 |
|
|
RADHESHYAM KHANDELWAL,M/S
(Member : BSE)
|
|
|
|
RADHESHYAM KHANDELWAL
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE RIGGING IN SCRIP OF NAPA PAPERS LTD.
|
DIRECTED BSE TO IMPOUND THE AUCTION AND CLOSE OUT PROCEEDS
19-DEC-2007
|
|
| 864 |
|
|
RAGAVI INVESTMENTS
(Member : CMBSE)
|
|
|
|
M.JAYAKUMAR
|
|
MANIPULATION IN BUYING, SELLING AND DEALINGS IN SCRIP OF JINDAL IRON & STEEL CO.LTD. IN COLLUSION WITH WELDEAL SHARES PVT.LTD.
EXECUTED FRAUDULENT TRANSACTIONS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-JAN-2003 TO 10-JAN-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-JAN-2003 TO 10-JAN-2005
11-JAN-2003
|
|
| 865 |
|
|
RAGHUNANDAN CAPITAL PVT.LTD.
(PAN:AADCR7430F)
(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
|
|
| 866 |
|
|
RAHIL INVESTMENTS & FINANCE LTD.
(Member : ASE/OTC/NSE)
|
|
|
IN THE CASE OF KAMAL OVERSEAS LTD.
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 26-JUN-2002
15-JUL-2002
|
|
| 867 |
|
|
RAHUL R.SHAH,M/S
(Member : PSE)
|
|
|
|
RAHUL R.SHAH
|
|
AIDED AND ABETTED BHAVESH & RAMESH DADHIA IN CREATING ARTIFICIAL MARKET IN SCRIP OF SYNTHIKO FOILS LTD.
VIOLATED REGULATIONS 4(A), 4(B), 4(C) AND 4(D) OF SEBI (PFUTP) REGULATIONS, 1995
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-SEP-2004 TO 20-SEP-2005
21-SEP-2004
|
|
| 868 |
|
|
RAIMA EQUITIES PVT.LTD.
(CIN:U67120WB1994PTC065572
PAN:AABCE2177Q)
(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
|
|
| 869 |
|
|
RAJENDRA JAYANTILAL SHAH,M/S
(PAN:ACIPS6614E)
(Member : ASE,Sub-Broker of ASE CAPITAL MARKETS LTD., Member : BSE)
|
|
|
|
RAJENDRA JAYANTILAL SHAH
PAN:ACIPS6614E
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF ADANI EXPORTS 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 ADANI EXPORTS LTD.(NOW KNOWN AS ADANI ENTERPRISES LTD.)
|
SUSPENDED REGISTRATION AS SUB-BROKER FROM 24-MAY-2012 TO 23-JUL-2012
SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-MAY-2012 TO 23-JUL-2012
03-MAY-2012
|
SAT: APPEAL ALLOWED WITH NO ORDER AS TO COSTS
|
| 870 |
|
|
RAJENDRA MODI SHARE BROKERS PVT.LTD.
(PAN:AADCR4907R)
(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
|
|
| 871 |
|
|
RAJENDRA PRASAD SHAH,M/S
(PAN:AKUPS5078C)
(Member : CSE)
|
|
|
|
RAJENDRA PRASAD SHAH
PAN:AKUPS5078C
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF SANGOTRI CONSTRUCTIONS LTD.
DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(5) 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.9,50,000
03-FEB-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 872 |
|
|
RAJENDRA PRASAD SHAH,M/S
(PAN:AKUPS5078C)
(Member : CSE)
|
|
|
|
RAJENDRA PRASAD SHAH
PAN:AKUPS5078C
|
|
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 11-MAY-2010 TO 25-JUL-2010
20-APR-2010
|
|
| 873 |
|
|
RAJENDRA PRASAD SHAH,M/S
(PAN:AKUPS5078C)
(Member : CSE)
|
|
|
|
RAJENDRA PRASAD SHAH
PAN:AKUPS5078C
|
|
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
30-AUG-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 874 |
|
|
RAJENDRA PRASAD SHAH,M/S
(PAN:AKUPS5078C)
(Member : CSE)
|
|
|
|
RAJENDRA PRASAD SHAH
PAN:AKUPS5078C
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF SCINTILLA COMMERCIAL & CREDIT 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 SCINTILLA COMMERCIAL & CREDIT LTD.
|
IMPOSED PENALTY RS.3,00,000
09-JUN-2010
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 875 |
|
|
RAJENDRA PRASAD SHAH,M/S
(PAN:AKUPS5078C)
(Member : CSE)
|
|
|
|
RAJENDRA PRASAD SHAH
PAN:AKUPS5078C
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS AND CROSS DEALS IN SCRIP OF LIMTEX INVESTMENTS 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 LIMTEX INVESTMENTS LTD.
|
IMPOSED PENALTY RS.1,50,000
10-MAR-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 876 |
|
|
RAJENDRA PRASAD SHAH,M/S
(PAN:AKUPS5078C)
(Member : CSE)
|
|
|
|
RAJENDRA PRASAD SHAH
PAN:AKUPS5078C
|
|
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 BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-SEP-2005 TILL FURTHER ORDERS
29-SEP-2005
|
DIRECTED THAT INTERIM ORDER DATED 29/09/2005 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
|
| 877 |
|
|
RAJENDRA PRASAD SHAH,M/S
(PAN:AKUPS5078C)
(Member : CSE)
|
|
|
|
RAJENDRA PRASAD SHAH
PAN:AKUPS5078C
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF STENLY CREDIT CAPITAL 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) IN MATTER OF STENLY CREDIT CAPITAL LTD.
|
IMPOSED PENALTY RS.4,00,000
30-AUG-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 878 |
|
|
RAJENDRA PRASAD SHAH,M/S
(PAN:AKUPS5078C)
(Member : CSE)
|
|
|
|
RAJENDRA PRASAD SHAH
PAN:AKUPS5078C
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS AND CROSS-TRADES IN SCRIP OF G.K.CONSULTANTS 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 G.K.CONSULTANTS LTD.
|
IMPOSED PENALTY RS.5,00,000
15-APR-2015
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 879 |
|
|
RAJENDRA PRASAD SHAH,M/S
(PAN:AKUPS5078C)
(Member : CSE)
|
|
|
|
RAJENDRA PRASAD SHAH
PAN:AKUPS5078C
|
|
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.4,00,000
09-JUL-2009
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 880 |
|
|
RAJESH FINANCE & INVESTMENT PVT.LTD.
|
|
|
|
RICHA SHAH
|
|
AIDED AND ABETTED BHAVESH & RAMESH DADHIA IN CREATING ARTIFICIAL MARKET IN SCRIP OF SYNTHIKO FOILS LTD.
VIOLATED REGULATIONS 4(A), 4(B), 4(C) AND 4(D) OF SEBI (PFUTP) REGULATIONS, 1995
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-SEP-2004 TO 20-SEP-2005
21-SEP-2004
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 44 of 62
|
