| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
ANGEL ONE LTD.
(PAN:AAACM6094R)
(Member : NSE)
|
|
|
TRADING TERMINALS MAPPED TO AUTHORISED PERSON OPERATED BY UNAPPROVED AND UNAUTHORISED USERS
TRADING TERMINALS MAPPED TO AUTHORISED PERSON WERE NOT OPERATED FROM THE LOCATIONS REPORTED TO STOCK EXCHANGE
DID NOT ENSURE THAT AUTHORISED PERSONS NOT TO DEAL WITH OTHER AUTHORISED PERSONS
DID NOT MAINTAIN ADEQUATE SUPERVISION OVER AUTHORISED PERSONS
|
IMPOSED PENALTY RS.3,00,000
11-NOV-2025
|
|
| 82 |
|
|
ANIKET N.AGGARWAL & CO.
(Member : LSE)
|
|
|
ALLEGED DISCREPANCY IN ISSUANCE OF CONTRACT NOTES
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF CLASSIC GLOBAL IMPEX LTD.(NOW KNOWN AS DEVINE IMPEX LTD.)
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
07-JAN-2011
|
|
| 83 |
|
|
ANS PVT.LTD.
(PAN:AACCA4841J)
(Member : BSE/NSE/SKSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, SELF TRADES AND REVERSAL OF TRADE TRANSACTIONS IN SCRIPS OF GUJARAT HOTELS LTD.,JINDAL HOTELS LTD.,SCOOTERS INDIA LTD.,RELAXO FOOTWEARS LTD.,TULSYAN NEC LTD.,ARCHIES LTD.,KARUR K.C.P.PACKAGING LTD.,VADILAL INDUSTRIES LTD.,JAGATJIT INDUSTRIES LTD.,AHLCON PARENTERALS LTD.,LINC PENS & PLASTICS LTD.,MACHINO PLASTICS LTD.,JJ EXPORTERS LTD.,HINDUSTAN TIN WORKS LTD.,VAMSHI RUBBER LIMITED AND ARTSON ENGG.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),A(3) AND A(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) IN MATTER OF GUJARAT HOTELS LTD., JINDAL HOTELS LTD., SCOOTERS INDIA LTD.,RELAXO FOOTWEARS LTD., TULSYAN NEC LTD., ARCHIES LTD., KARUR K.C.P.PACKAGING LTD., VADILAL INDUSTRIES LTD., JAGATJIT INDUSTRIES LTD., AHLCON PARENTERALS LTD., LINC PENS & PLASTICS LTD., MACHINO PLASTICS LTD.,JJ EXPORTERS LTD., HINDUSTAN TIN WORKS LTD., VAMSHI RUBBER LTD.,HIND INDUSTRIES LTD.AND ARTSON ENGINEERING LTD.
|
IMPOSED PENALTY RS.5,00,000
20-APR-2010
|
SAT: APPEAL DISMISSED WITH NO ORDER AS TO COSTS
|
| 84 |
|
|
ANTIQUE STOCK BROKING LTD.
(PAN:AADCA3011B)
(Member : BSE/NSE)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL AND CARE AS A STOCK BROKER WHICH ENABLED ITS EMPLOYEE TO USE MOBILE PHONE INSIDE THE DEALING ROOM IN CONTRAVENTION OF ITS OWN INTERNAL POLICY
ALLEGED FAILURE TO ENSURE THAT THE TRADES OF ITS CLIENTS EXECUTED ONLY AFTER KEEPING EVIDENCE OF PLACING ORDER
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.29,25,000 VIDE CONSENT ORDER)
15-APR-2025
|
|
| 85 |
|
|
ANUGRAH STOCK & BROKING PVT.LTD.
(PAN:AAACW2920N)
(Member : BSE/NSE)
|
|
|
ALLEGED NON-SEGREGATION OF CLIENTS FUND AND SECURITIES FROM OWN FUNDS AND SECURITIES
ALLEGED PLEDGING SECURITIES OF CLIENTS EVEN THOUGH CREDIT BALANCE
ALLEGED FAILURE IN SENDING STATEMENT OF ACCOUNT TO CLIENTS
ALLEGED TRANSFERRING SECURITIES FROM CLIENT BENEFICIARY ACCOUNT TO POOL ACCOUNT TO MEET PROPRIETARY OBLIGATIONS
ALLEGED REPORTING WRONG MARGINS
ALLEGED FAILURE IN MAINTENANCE OF HIGH STANDARDS OF INTEGRITY, PROMPTITUDE & FAIRNESS IN CONDUCT OF BUSINESS AS A STOCK BROKER
ALLEGED DISCREPANCIES IN MAINTENANCE OF CLIENT REGISTRATION FORMS & CLIENT AGREEMENT
ALLEGED INDULGENCE IN FUND-BASED ACTIVITIES BY LENDING MONEY TO OTHER CLIENTS
ALLEGED INDULGENCE IN TRANSFER OF SECURITIES IN CONTRAVENTION OF SEBI’S ORDER DATED 22/05/2009
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.28,00,000 VIDE CONSENT ORDER)
18-OCT-2010
|
|
| 86 |
|
|
ANUJ JAIN,M/S
(PAN:ABEPJ8083F)
(Member : NCDEX)
|
|
|
|
ANUJ JAIN
PAN:ABEPJ8083F
|
|
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), A(2) AND A(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992 IN MATTER OF CASTOR SEED CONTRACTS
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-MAR-2016 TILL FURTHER ORDERS
02-MAR-2016
|
SEBI VIDE ITS ORDER DATED 23/12/2016 RELAXED INTERIM ORDER PASSED 02/03/2016 AND 24/05/2016 TO THE LIMITED EXTENT TO ENABLE THEM TO PROTECT THEIR PORTFOLIO FROM MARKET VOLATILITY A) NOTICEE MAY SELL THE SECURITIES LYING IN THEIR DEMAT ACCOUNTS AS ON THE DATE OF INTERIM ORDER, OTHER THAN THE SHARES OF THE COMPANIES WHICH ARE SUSPENDED FROM TRADING BY THE CONCERNED STOCK EXCHANGE, IN AN ORDERLY MANNER UNDER SUPERVISION OF THE STOCK EXCHANGE SO AS NOT TO DISTURB MARKET EQUILIBRIUM AND DEPOSIT SALE PROCEEDS IN AN INTEREST BEARING ESCROW ACCOUNT WITH A NATIONALIZED BANK B) NOTICEES MAY TENDER THE SHARES LYING IN THEIR DEMAT ACCOUNT IN ANY OPEN OFFER / DELISTING OFFER / BUYBACK OFFER UNDER THE RELEVANT REGULATIONS OF SEBI AND DEPOSIT THE SALE PROCEEDS IN AN INTEREST BEARING ESCROW ACCOUNT WITH A NATIONALIZED BANK C) NOTICEES SHALL AVAIL THE BENEFIT OF CORPORATE ACTIONS LIKE RIGHTS ISSUE, BONUS ISSUE, STOCK SPLIT DIVIDEND ETC. D) WINDOW FOR SALE OF SHARES LYING IN RESPECTIVE PORTFOLIO SHALL STAND WITHDRAWN IF ANY ENTITY FOUND TO EXECUTE ANY TRADE IN BREACH OF THE CONDITIONS
SEBI VIDE ITS ORDER DATED 08/03/2017 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDERS DATED 02/03/2016 AND 24/05/2016
SEBI VIDE ITS ORDER DATED 14/11/2018 REVOKED DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 02/03/2016 AND CONFIRMATORY ORDER DATED 08/03/2017
|
| 87 |
|
|
ARCADIA SHARE & STOCK BROKERS PVT.LTD.
(PAN:AAACA4562G)
(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(3) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKER) REGULATIONS, 1992 IN MATTER OF GOLSTONE TECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.2,00,000
30-OCT-2014
|
|
| 88 |
|
|
ARCADIA SHARE & STOCK BROKERS PVT.LTD.
(PAN:AAACA4562G)
(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(3) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKER) REGULATIONS, 1992 IN MATTER OF SPECTACLE INFOTEK LTD.
|
IMPOSED PENALTY RS.2,00,000
26-SEP-2014
|
|
| 89 |
|
|
ARCADIA SHARE & STOCK BROKERS PVT.LTD.
(PAN:AAACA4562G)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS AND SELF TRADES IN SCRIP OF SPECTACLE INFOTEK 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(3) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKER) REGULATIONS, 1992 IN MATTER OF SPECTACLE INFOTEK LTD.
|
IMPOSED PENALTY RS.2,00,000
22-DEC-2014
|
|
| 90 |
|
|
ARCADIA SHARE & STOCK BROKERS PVT.LTD.
(PAN:AAACA4562G)
(Member : NSE/BSE)
|
|
|
ALLEGED VIOLATION OF REGULATIONS 3(A) TO (D), 4(1) AND 4(2) (G) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SHREE ASHTAVINAYAK CINE VISION LTD.
ALLEGED INDULGENCE IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 9 READ WITH CLAUSES A(3) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SHREE ASHTAVINAYAK CINE VISION LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
02-JAN-2018
|
|
| 91 |
|
|
ARCADIA SHARE & STOCK BROKERS PVT.LTD.
(PAN:AAACA4562G)
(Member : BSE/NSE)
|
|
|
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(3) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKER) REGULATIONS, 1992 IN MATTER OF LGS GLOBAL LTD. (NOW KNOWN AS YBRANT DIGITAL LTD.)
|
IMPOSED PENALTY RS.2,00,000
23-SEP-2014
|
|
| 92 |
|
|
ARCADIA SHARE & STOCK BROKERS PVT.LTD.
(PAN:AAACA4562G)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF TRADES IN SCRIP OF VERITAS (INDIA) LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1), A(3) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF VERITAS (INDIA) LTD.
|
IMPOSED PENALTY RS.5,00,000
27-AUG-2014
|
SAT: SAT VIDE ITS ORDER DATED 27/02/2015 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 27/08/2014 AND REMANDED CASE BACK TO SEBI TO START FRESH ADJUDICATION PROCEEDINGS
|
| 93 |
|
|
ARCADIA SHARE & STOCK BROKERS PVT.LTD.
(PAN:AAACA4562G)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS AND SELF TRADES IN SCRIP OF WELL PACK PAPERS & CONTAINERS 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(3) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF WELL PACK PAPERS & CONTAINERS LTD.
|
IMPOSED PENALTY RS.2,00,000
16-FEB-2015
|
|
| 94 |
|
|
ARCADIA SHARE & STOCK BROKERS PVT.LTD.
(PAN:AAACA4562G)
(Member : BSE/NSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH IREGULAR TRANSACTINS AND SELF TRADES IN SCRIP OF VERITAS (INDIA) LTD.
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1), A(3) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF VERITAS (INDIA) LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000, LEGAL EXPENSES RS.86,375 VIDE CONSENT ORDER)
06-SEP-2017
|
|
| 95 |
|
|
ARCADIA SHARE & STOCK BROKERS PVT.LTD.
(PAN:AAACA4562G)
(Member : BSE/NSE)
|
|
|
ALLEGED FAILURE IN MAINTENANCE OF 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(3) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKER) REGULATIONS, 1992 IN MATTER OF LGS GLOBAL LTD. (NOW KNOWN AS YBRANT DIGITAL LTD.), SPECTACLE INFOTEK LTD., WELL PACK PAPERS & CONTAINERS LTD. AND GOLDSTONE TECHNOLOGIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.24,70,840 VIDE CONSENT ORDER)
16-OCT-2017
|
|
| 96 |
|
|
ARCADIA SHARE & STOCK BROKERS PVT.LTD.
(PAN:AAACA4562G)
(Member : NSE/BSE)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 7 READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992 IN MATTER OF KWALITY LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.65,507 VIDE CONSENT ORDER)
28-DEC-2017
|
|
| 97 |
|
|
ARGUS STOCK BROKING LTD.
(Member : DSE)
|
|
|
MANIPULATED PRICE IN SCRIP OF VATSA WORLD LTD.
VIOLATED SEBI CODE OF CONDUCT
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
31-AUG-2004
|
|
| 98 |
|
|
ARIHANT CAPITAL MARKETS LTD.
(PAN:AABCA6832G)
(Member : BSE/NSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 7 READ WITH CLAUSE A(2) OF CODE OF CONDUCT OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF MORYO INDUSTRIES LTD.
|
IMPOSED PENALTY RS.5,00,000
29-MAY-2020
|
SAT: SAT VIDE ITS ORDER DATED 24/03/2021 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER
SAT: SAT VIDE ITS ORDER DATED 11/05/2021 RECALLED ORDER DATED 01/03/2021 AND ALLOWED RESTORATION APPLICATION. DIRECTED APPELLANT TO FILE REJOINDER WITHIN A WEEK FROM DATE OF THIS ORDER
|
| 99 |
|
|
ARJ SHARES & STOCK BROKERS PVT.LTD.
(Member : BSE/NSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIPS OF HIMACHAL FUTURISTIC COMMUNICATIONS LTD.,TATA ENGINEERING & LOCOMOTIVE CO.LTD., INFOSYS TECHNOLOGIES LTD. AND SOFTWARE SOLUTIONS INDIA LTD.
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE AND FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE AND 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 HIMACHAL FUTURISTIC COMMUNICATIONS LTD.,TATA ENGINEERING & LOCOMOTIVE CO.LTD.,INFOSYS TECHNOLOGIES LTD. AND SOFTWARE SOLUTIONS INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 04-MAY-2011 TO 03-NOV-2011
03-MAY-2011
|
|
| 100 |
|
|
ARJ SHARES & STOCK BROKERS PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(3) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF GLOBAL TELESYSTEMS LTD.
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF GLOBAL TELESYSTEMS LTD.
ALLEGED VIOLATION OF SECTION 13 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 26-APR-2010 TO 25-APR-2011
26-APR-2010
|
|
| 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 5 of 39
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