| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1081 |
|
SMK SHARES & STOCK BROKING PVT.LTD.
(Member : BSE)
|
|
|
|
DINESH S.KHEMKA
|
|
MANIPULATION IN SCRIP OF AMARA RAJA BATTERIES LIMITED DURING THE PERIOD AUGUST 2000 TO MARCH 2001
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
01-AUG-2002
|
|
| 1082 |
|
|
SOMAYAJULU & CO.LTD.
(Member : NSE)
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF MARUTI ORGANICS LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE IN SCRIP OF MARUTI ORGANICS LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-SEP-2002 TO 07-OCT-2002
16-SEP-2002
|
SAT: APPEAL DISMISSED
|
| 1083 |
|
|
SONA GLOBAL LTD.
(PAN:AADCS7343C)
(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
|
|
| 1084 |
|
|
SONTHALIA & CO.
(Member : CSE)
|
|
|
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.
AIDED AND ABETTED PROCESS OF PRICE MANIPULATION AND FRAUDULENT TRANSACTIONS IN SCRIP OF AURANGABAD CRYOGENICS LTD.
|
IMPOSED PENALTY RS.1,25,000
30-SEP-2009
|
|
| 1085 |
|
|
SONY SECURITIES LTD.
(Member : NSE)
|
|
|
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 04-NOV-1998
30-OCT-1998
|
|
| 1086 |
|
|
SONY SECURITIES LTD.
(Member : NSE)
|
|
|
ACTED IN CONCERT WITH OTHER BROKERS TO CORNER A VERY LARGE QUANTITY OF SHARES OF BPL, VIDEOCON AND STERLITE
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF BPL LTD., VIDEOCON INTERNATIONAL LTD. AND STERLITE INDUSTRIES LTD.
DID NOT COLLECT MARGINS FROM CLIENTS
DID NOT REPORT SPOT TRANSACTIONS TO THE EXCHANGE
DEFAULTED IN PAY-IN OBLIGATIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 11-JUN-1998 TO 10-JUN-2000
05-AUG-1999
|
|
| 1087 |
|
|
SPARK SECURITIES PVT.LTD.
(PAN:AADCS6039D)
(Member : NSE/CSE)
|
|
|
ALLEGED INDULGENCE IN SYNCHRONIZED TRADING IN SCRIP OF JUBILANT ORGANOSYS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
24-JAN-2008
|
|
| 1088 |
|
|
SPARTEK FINANCIERS & INVESTMENT PVT.LTD.
(PAN:AADCS6113Q)
(Member : CSE)
|
|
|
|
BINOD KUMAR SINGH
|
|
INDULGED IN CROSS DEALS IN SCRIP OF OFFSHORE FINVEST LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 11-OCT-2004 TO 25-OCT-2004
20-SEP-2004
|
|
| 1089 |
|
|
SPRINGFIELDS SECURITIES LTD.
(Member : HSE/COCSE)
|
|
|
IRREGULARITIES IN DEALING IN SCRIP OF VIDEOCON INTERNATIONAL LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 03-APR-2003 TO 02-MAY-2003
13-MAR-2003
|
COMPANY HAS COMPLETED PERIOD OF SUSPENSION
|
| 1090 |
|
|
SPS SHARE BROKERS PVT.LTD.
(PAN:AABCS9622C)
(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.6,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 1091 |
|
|
SS CORPORATE SECURITIES LTD.
(PAN:AABCS3726M)
(Member : NSE)
|
|
|
|
D.D.SINGHAL
|
|
|
MANJIT JAJU
|
|
|
PRADEEP MAHESHWARI
|
|
|
SHANKAR SOMANI
|
|
|
SUNIL K.GUPTA
|
|
INDULGED IN MANIPULATIVE TRANSACTIONS IN SCRIP OF GLOBAL TRUST BANK LTD.
VIOLATED REGULATIONS 4(A), 4(B), 4(C) AND 4(D) OF SEBI (PFUTP) REGULATIONS, 1995
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 13-OCT-2004 TO 12-JAN-2005
21-SEP-2004
|
SAT: IMPUGNED ORDER SET ASIDE WITH NO ORDER AS TO COSTS
|
| 1092 |
|
|
SSJ FINANCE & SECURITIES PVT.LTD.
(PAN:AABCS4245H)
(Member : BSE/NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DIRECTED BSE LTD.TO SUBMIT DETAILED REPORT IN MATTER OF ALKA SECURITIES LTD.
28-JUL-2009
|
|
| 1093 |
|
|
STANDARD CHARTERED-STCI CAPITAL MARKETS LTD.
(Member : NSE)
|
|
|
PASSED SENSITIVE INFORMATION TO MANISH INNANI OF PRAYAS SECURITIES PVT.LTD. AND RAJEEV SHROFF OF EMKAY SHARES & STOCK BROKERS PVT.LTD. REGARDING FII DEALINGS IN SHARES OF BILT
|
DIRECTED INTERNAL ENQUIRY TO BE CONDUCTED
01-OCT-2007
|
|
| 1094 |
|
|
STAR SHARE & STOCK BROKERS LTD.
(PAN:AAACS9106Q)
(Member : NSE)
|
|
|
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 04-NOV-1998
30-OCT-1998
|
|
| 1095 |
|
|
STAR SHARE & STOCK BROKERS LTD.
(PAN:AAACS9106Q)
(Member : NSE)
|
|
|
ACTED IN CONCERT WITH OTHER BROKERS TO CORNER A VERY LARGE QUANTITY OF SHARES OF BPL, VIDEOCON AND STERLITE
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF BPL LTD., VIDEOCON INTERNATIONAL LTD. AND STERLITE INDUSTRIES LTD.
DID NOT COLLECT MARGINS FROM CLIENTS
DEFAULTED IN PAY-IN OBLIGATIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 05-DEC-1998 TO 16-SEP-1999
26-AUG-1999
|
|
| 1096 |
|
|
STENLY CREDIT CAPITAL LTD.
(CIN:L65910UP1990PLC012491)
(Member : NSE)
|
|
|
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 04-NOV-1998
30-OCT-1998
|
|
| 1097 |
|
|
SUBH STOCK BROKING PVT.LTD.
(PAN:AAHCS7985C)
(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
|
SAT: IMPUGNED ORDER DATED 08/04/2009 SET ASIDE AND CASE REMANDED TO SEBI FOR FRESH ENQUIRY. NO ORDER AS TO COSTS
|
| 1098 |
|
|
SUBH STOCK BROKING PVT.LTD.
(PAN:AAHCS7985C)
(Member : CSE)
|
|
|
|
PAWAN KAYAN
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF RADIANT FINANCIAL SERVICES 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 RADIANT FINANCIAL SERVICES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 19-NOV-2009 TO 18-FEB-2010
28-OCT-2009
|
|
| 1099 |
|
|
SUBH STOCK BROKING PVT.LTD.
(PAN:AAHCS7985C)
(Member : CSE)
|
|
|
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 18/03/2016 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 17/02/2016. APPELLANTS HEREIN WOULD NOT COME IN WAY OF SEBI TO INITIATE PROCEEDINGS AGAINST APPELLANTS. 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
|
| 1100 |
|
|
SUBH STOCK BROKING PVT.LTD.
(PAN:AAHCS7985C)
(Member : CSE)
|
|
|
|
PAWAN KAYAN
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION 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 27-NOV-2009 TO 26-DEC-2009
27-NOV-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 55 of 62
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