| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 921 |
|
RSS INVESTMENTS PVT.LTD.
(PAN:AACCR0364F)
(Member : NSE)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-JAN-2007 TILL FURTHER ORDERS
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
28-NOV-2008
|
AD INTERIM EX-PARTE ORDERS DATED 17/01/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.2,00,000.00 AS PER CONSENT ORDER DATED 28/11/2008
|
| 922 |
|
|
RUCHIRAJ SHARES & STOCK BROKERS PVT.LTD.
(PAN:AABCR4896H)
(Member : BSE)
|
|
|
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
|
| 923 |
|
|
RUCHIRAJ SHARES & STOCK BROKERS PVT.LTD.
(PAN:AABCR4896H)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET & PRICE MANIPULATION IN SCRIP OF GUJARAT ARTH 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) REGULATIONS, 1992 IN MATTER OF GUJARAT ARTH LTD.
|
IMPOSED PENALTY RS.47,00,000
02-MAR-2015
|
SAT: APPEAL DISPOSED OFF. NO COSTS
|
| 924 |
|
|
RUCHIRAJ SHARES & STOCK BROKERS PVT.LTD.
(PAN:AABCR4896H)
(Along with : KETAN B.MEHTA,M/S)
|
|
|
|
KETAN B.MEHTA
|
|
INDULGED IN ABNORMAL PRICE RISE AND MARKET MANIPULATIONS IN SCRIP OF SVA UDYOG INDIA LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-APR-1998 TO 26-JUN-1998
23-APR-1998
|
|
| 925 |
|
|
RUCHIRAJ SHARES & STOCK BROKERS PVT.LTD.
(PAN:AABCR4896H)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH STRUCTURED DEALS IN SCRIP OF KOLAR BIOTECH LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF KOLAR BIOTECH LTD.
|
IMPOSED PENALTY RS.14,00,000
30-JUN-2010
|
SAT: APPEAL FAILED AND DISMISSED. NO COSTS
|
| 926 |
|
|
RUCHIRAJ SHARES & STOCK BROKERS PVT.LTD.
(PAN:AABCR4896H)
(Member : BSE)
|
|
|
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) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF G-TECH INFO TRAINING LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF G-TECH INFO TRAINING LTD.
|
IMPOSED PENALTY RS.1,00,000
19-NOV-2009
|
|
| 927 |
|
|
RUCHIRAJ SHARES & STOCK BROKERS PVT.LTD.
(PAN:AABCR4896H)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF MEGA CORP.LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-OCT-2005 TILL FURTHER ORDERS
24-OCT-2005
|
CONFIRMED INTERIM ORDER DATED 24/10/2005
|
| 928 |
|
|
RUCHIRAJ SHARES & STOCK BROKERS PVT.LTD.
(PAN:AABCR4896H)
(Member : BSE)
|
|
|
INDULGED IN IRREGULAR TRANSACTIONS IN SCRIP OF PARSOLI CORP.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 PARSOLI CORP.LTD.
|
IMPOSED PENALTY RS.3,00,000
24-DEC-2010
|
|
| 929 |
|
|
RUCHIRAJ SHARES & STOCK BROKERS PVT.LTD.
(PAN:AABCR4896H)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR AND STRUCTURED TRANSACTIONS IN SCRIP OF EMPOWER INDUSTRIES (INDIA) 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) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF EMPOWER INDUSTRIES (INDIA) LTD.
|
IMPOSED PENALTY RS.1,25,000
08-JUN-2010
|
|
| 930 |
|
|
RUDRA SHARES & STOCK BROKERS LTD.
(PAN:AADCG1458J)
(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
|
|
| 931 |
|
|
S.B.BHUTRA & CO.
(Member : CSE)
|
|
|
|
S.B.BHUTRA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF GLOBE STOCKS & SECURITIES LTD.
VIOLATED CODE OF CONDUCT AS PRESCRIBED UNDER STOCK BROKER REGULATIONS
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, DID NOT MAINTAIN HIGH STANDARD OF INTEGRITY, PROMPTITUDE, FAIRNESS IN CONDUCT OF BUSINESS IN SCRIP OF GLOBE STOCK & SECURITIES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 04-MAY-2007 TO 03-NOV-2007
13-APR-2007
|
|
| 932 |
|
|
S.I.AGARWAL,M/S
(Member : BSE)
|
|
|
|
S.I.AGARWAL
|
|
INDULGED IN MARKET MANIPULATION IN SCRIP OF MAGAN INDUSTRIES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 10-NOV-1997 TO 09-JAN-1998
29-OCT-1997
|
|
| 933 |
|
|
S.J.TIBREWALA,M/S
(Member : BSE)
|
|
|
|
S.J.TIBREWALA
|
|
INDULGED IN ABNORMAL PRICE RISE AND MARKET MANIPULATIONS IN SCRIP OF SVA UDYOG INDIA LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-APR-1998 TO 26-JUN-1998
23-APR-1998
|
|
| 934 |
|
|
S.JHUNJHUNWALA & CO.
(Member : CSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE TRADING ON BEHALF OF CLIENT IN SCRIP OF RADIANT FINANCIAL SERVICES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF RADIANT FINANCIAL SERVICES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 05-JAN-2010 TO 04-FEB-2010
14-DEC-2009
|
|
| 935 |
|
|
S.JHUNJHUNWALA & CO.
(Member : CSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE TRADING ON BEHALF OF CLIENTS IN SCRIP OF SARANG VINIYOG LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SARANG VINIYOG LTD.
|
IMPOSED PENALTY RS.3,00,000
08-APR-2009
|
INCLUDED IN SEBI LIST DATED 30/06/2010, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 936 |
|
|
S.JHUNJHUNWALA & CO.
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF TOPLIGHT COMMERCIAL 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 IN MATTER OF TOPLIGHT COMMERCIAL LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 09-DEC-2009 TO 08-FEB-2010
18-NOV-2009
|
|
| 937 |
|
|
S.JHUNJHUNWALA & CO.
(Member : CSE)
|
|
|
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
|
| 938 |
|
|
S.JHUNJHUNWALA & CO.
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS IN SCRIP OF S.T.SERVICES LTD.
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(2) 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.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JAN-2010
29-DEC-2009
|
|
| 939 |
|
|
S.K.JHUNJHUNWALA,M/S
(Member : CSE)
|
|
|
|
R.K.CHOUDHARY
|
|
INDULGED IN MATCHED AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF AKSHAY FISCAL SERVICES LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
28-MAY-2009
|
|
| 940 |
|
|
S.K.KHEMKA,M/S
(Member : CSE)
|
|
|
|
S.K.KHEMKA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF BRELS INFOTECH LTD.
|
IMPOSED PENALTY RS.3,00,000
20-MAR-2009
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 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 47 of 62
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