| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 881 |
|
RAJESH JHAVERI STOCK BROKERS PVT.LTD.
(CIN:U67120GJ1995PTC024321)
(Member : ASE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF MONALISA INFOTECH LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER) FROM 15-JUN-2009 TO 14-JUL-2009
15-JUN-2009
|
|
| 882 |
|
|
RAJKUMAR CHAINRAI BASANTANI,M/S
(PAN:AESPB2834F)
(Member : NSE)
|
|
|
|
RAJKUMAR C.BASANTANI
PAN:AESPB2834F
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH COUNTERS OF DIFFERENT BROKERS
MANIPULATED PRICE IN SCRIP OF SOUNDCRAFT INDUSTRIES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 02-SEP-2002 TO 01-MAR-2003
22-AUG-2002
|
SAT: APPEAL DISMISSED WITH NO ORDER AS TO COSTS
|
| 883 |
|
|
RAJKUMAR CHAINRAI BASANTANI,M/S
(PAN:AESPB2834F)
(Member : NSE)
|
|
|
|
RAJKUMAR C.BASANTANI
PAN:AESPB2834F
|
|
INDULGED IN PRICE MANIPULATION BY CIRCULAR AND STRUCTURED TRANSACTIONS IN SCRIP OF SOUNDCRAFT INDUSTRIES LTD.
ALLEGED NOT RESPONDING TO LETTERS/SUMMONS ISSUED BY SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 03-JAN-2009 TO 02-JAN-2011
12-DEC-2008
|
|
| 884 |
|
|
RAJRATAN R.MOHTA,M/S
(Member : BSE)
|
|
|
|
RAJRATAN R.MOHTA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF BPL LTD., VIDEOCON INTERNATIONAL LTD. AND STERLITE INDUSTRIES LTD.
ACTED IN CONCERT WITH OTHER BROKERS TO CORNER A VERY LARGE QUANTITY OF SHARES OF BPL, VIDEOCON AND STERLITE
DID NOT COLLECT MARGINS FROM CLIENTS
DEFAULTED IN PAY-IN OBLIGATIONS
PROVIDED WRONG/INCOMPLETE INFORMATION TO EXCHANGES
DID NOT REPORT SPOT TRANSACTIONS TO THE EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-JUN-1998 TO 11-JUN-2001
17-NOV-1999
|
|
| 885 |
|
|
RAJRATAN R.MOHTA,M/S
(Member : BSE)
|
|
|
|
RAJRATAN R.MOHTA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF BPL LTD., VIDEOCON INTERNATIONAL LTD. AND STERLITE INDUSTRIES LTD.
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 02-NOV-1998
30-OCT-1998
|
|
| 886 |
|
|
RAJRATAN R.MOHTA,M/S
(Member : BSE)
|
|
|
|
RAJRATAN R.MOHTA
|
|
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
|
DIRECTED BSE TO TRANSFER THE AUCTION AND CLOSE OUT THE PROCEEDS RETAINED BY IT TO INVESTOR PROTECTION FUND OF THE EXCHANGE
DIRECTED BSE TO 1) REFUND MONEY ALONGWITH INTEREST ACCRUED IN INVESTOR PROTECTION FUND 2) ENSURE THAT SAME IS RELEASED TO ULTIMATE CLIENTS AND OBTAIN PROOF OF PAYMENTS 3) FORWARD REPORT OF COMPLIANCE SHOWING TOTAL AMOUNT LEFT AFTER SUCH PAYOUTS
|
| 887 |
|
|
RAJRATAN R.MOHTA,M/S
(Member : BSE)
|
|
|
|
RAJRATAN R.MOHTA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KREB BIOCHEMICALS LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
30-DEC-2005
|
|
| 888 |
|
|
RAM MOHAN SARDA,M/S
(Member : CSE)
|
|
|
|
RAM MOHAN SARDA
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF S.T.SERVICES LTD.
ALLEGED FAILURE IN MAINTAINING 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 S.T.SERVICES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
03-DEC-2009
|
|
| 889 |
|
|
RAM MOHAN SARDA,M/S
(Member : CSE)
|
|
|
|
RAM MOHAN SARDA
|
|
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
|
| 890 |
|
|
RAMABEN SAMANI FINANCE PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIPS OF OASIS MEDIA MATRIX LTD.,GRANULES INDIA LTD.,WELLWORTH OVERSEAS LTD.,GG AUTOMOTIVE LTD.,T.SPIRITUAL WORLD LTD. AND RASHEL AGROTECH LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.18,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER) FROM 01-JAN-2010 TO 31-MAY-2010
24-DEC-2009
|
|
| 891 |
|
|
RAMABEN SAMANI FINANCE PVT.LTD.
(Member : BSE)
|
|
|
AIDED AND ABETTED CLIENTS IN CREATING FALSE AND MISLEADING APPEARANCE OF TRADING IN SCRIP OF RASHEL AGROTECH LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE IN CONDUCT OF ITS BUSINESS AS A BROKER
|
IMPOSED PENALTY RS.10,00,000
25-MAY-2006
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER SET ASIDE
|
| 892 |
|
|
RAMABEN SAMANI FINANCE PVT.LTD.
(Member : BSE)
|
|
|
|
SUDHA B.VITHLANI
|
|
CREATED ARTIFICIAL MARKETS IN SCRIP OF AKL SOFT & INFOSYS LTD.
|
IMPOSED PENALTY RS.75,000
11-APR-2005
|
|
| 893 |
|
|
RAMABEN SAMANI FINANCE PVT.LTD.
(Member : BSE)
|
|
|
|
SUDHA B.VITHLANI
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE
CREATED ARTIFICIAL MARKETS IN SCRIP OF AKL SOFT & INFOSYS LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 13-JUL-2007 TO 27-JUL-2007
22-JUN-2007
|
|
| 894 |
|
|
RAMABEN SAMANI FINANCE PVT.LTD.
(Member : ICSE,Sub-Broker of ISE SECURITIES & SERVICES LTD., Member : NSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIPS OF OASIS MEDIA MATRIX LTD.,GRANULES INDIA LTD.,WELLWORTH OVERSEAS LTD.,GG AUTOMOTIVE LTD.,T.SPIRITUAL WORLD LTD. AND RASHEL AGROTECH LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.18,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER) FROM 01-JAN-2010 TO 31-MAY-2010
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS SUB-BROKER) FROM 01-JAN-2010 TO 31-MAY-2010
24-DEC-2009
|
|
| 895 |
|
|
RAMABEN SAMANI FINANCE PVT.LTD.
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR/SYNCHRONIZED/STRUCTURED AND OFF MARKET TRANSACTIONS IN SCRIP OF ZIGMA SOFTWARE LTD.
FAILED IN MAINTAINING INTEGRITY, DUE SKILL & CARE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO (5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF ZIGMA SOFTWARE LTD.
|
IMPOSED PENALTY RS.2,00,000
15-JUL-2009
|
|
| 896 |
|
|
RAMANLAL D.SHAH,M/S
(Member : BSE)
|
|
|
|
RAMANLAL D.SHAH
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF MALVICA ENGINEERING LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE IN CONDUCT OF ITS BUSINESS AS A BROKER
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 17-JAN-2007 TO 16-JUL-2007
27-DEC-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
07-DEC-2007
|
SAT: ORDER SET ASIDE AS APPLICANT PAID RS.5,00,000 AS PER CONSENT ORDER
|
| 897 |
|
|
RAMANLAL D.SHAH,M/S
(Member : BSE)
|
|
|
|
RAMANLAL D.SHAH
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, CIRCULAR AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF MALVICA ENGINEERING LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE 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 MALVICA ENGINEERING LTD.
|
IMPOSED PENALTY RS.1,50,000
24-MAY-2010
|
|
| 898 |
|
|
RAMNIKLAL MOHANLAL CAPITAL MARKETS PVT.LTD.
(PAN:AAACR5382B)
(Member : BSE)
|
|
|
AIDED AND ABETTED ITS CLIENTS IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, STRUCTURED AND CIRCULAR TRANSACTIONS IN SCRIPS OF ALLCARGO GLOBAL LOGISTICS LTD., ASIAN STAR CO.LTD., KSL & INDUSTRIES LTD., MAVENS BIOTECH LTD., PANORAMIC UNIVERSAL LTD., RASI ELECTRODES LTD., SAT INDUSTRIES LTD., USHDEV INTERNATIONAL LTD., KBS CAPITAL MANAGEMENT LTD., LOTUS EYE CARE HOSPITALS LTD., MVL LTD. AND ANIL PRODUCTS LTD.
|
IMPOSED PENALTY RS.2,00,000
30-MAY-2013
|
|
| 899 |
|
|
RAMRAKH R.BOHRA,M/S
(Member : BSE)
|
|
|
|
RAMRAKH R.BOHRA
|
|
AIDED AND ABETTED VINOD KHETAN AND ASK HOLDINGS PVT.LTD. IN CREATING FALSE MARKET IN SCRIP OF AKL SOFT & INFOSYS LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 13-SEP-2007 TO 12-OCT-2007
23-AUG-2007
|
SAT: IMPUGNED ORDER DATED 23/08/2007 SET ASIDE AND CASE REMANDED TO WHOLE TIME MEMBER TO PASS A FRESH ORDER AFTER AFFORDING A OPPORTUNITY TO APPELLANT TO CROSS EXAMINE PERSONS ON WHOSE STATEMENTS RELIANCE HAS BEEN PLACED IN SHOW CAUSE NOTICE WITH NO ORDER AS TO COSTS
|
| 900 |
|
|
RAMRAKH R.BOHRA,M/S
(Member : BSE)
|
|
|
|
RAMRAKH R.BOHRA
|
|
CREATED ARTIFICIAL MARKETS IN SCRIP OF AKL SOFT & INFOSYS LTD.
|
IMPOSED PENALTY RS.75,000
11-APR-2005
|
|
| 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 45 of 62
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