| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1101 |
|
SUNFLOWER BROKING PVT.LTD.
(PAN:AAACN5165E)
(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
|
|
| 1102 |
|
|
SUNGLOW CAPITAL SERVICES LTD.
(PAN:AABCS8877R)
(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
|
|
| 1103 |
|
|
SUNIDHI CONSULTANCY SERVICES LTD.
(Depository Participants : CDSL,Member : BSE/NSE)
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF GLOBAL TRUST BANK LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF GLOBAL TRUST BANK LTD.
PARKED SHARES TO CIRCUMVENT SEBI TAKEOVER CODE, 1997
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2002 TILL INVESTIGATION COMPLETED
31-DEC-2002
|
INTERIM ORDER DATED 31/12/2002 REVOKED BY SEBI
|
| 1104 |
|
|
SUNIDHI SECURITIES & FINANCE LTD.
(PAN:AADCS1657D)
(Member : BSE/NSE/OTC)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE AND DILIGENCE AS A STOCK BROKER
ALLEGED INDULGENCE IN PRICE MANIPULATION IN SCRIP OF SOFTBPO GLOBAL SERVICES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
17-MAR-2009
|
|
| 1105 |
|
|
SUNIL GUPTA & CO.
(Member : LSE)
|
|
|
|
SUNIL GUPTA
|
|
DID NOT EXERCISE DUE SKILL AND DILIGENCE
INDULGED IN MANIPULATIVE TRANSACTIONS IN SCRIP OF SHIVALIK LOHA MILLS LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 10-AUG-2002 TO 09-FEB-2003
27-JUL-2002
|
|
| 1106 |
|
|
SUNIL INVESTMENTS
(Member : BGSE)
|
|
|
|
JUHARMAL
|
|
IRREGULARITIES IN DEALING IN SCRIP OF PROSOFT SYSTEMS LTD.
DEFAULTED IN MAINTENANCE OF RECORD OF PLACEMENT OF ORDERS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 09-SEP-2004 TO 08-DEC-2004
19-AUG-2004
|
|
| 1107 |
|
|
SUNIL KEDIA,M/S
(Member : CSE)
|
|
|
|
SUNIL KEDIA
|
|
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 ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-NOV-2005 TILL FURTHER ORDERS
30-NOV-2005
|
DIRECTED THAT INTERIM ORDER 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
|
| 1108 |
|
|
SUNIL SHARES & STOCK BROKER LTD.
(PAN:AAFCS5114D)
(Member : MPSE)
|
|
|
ACTED IN CONCERT WITH BROKERS AND CLIENTS TO CREATE ARTIFICIAL MARKET/PRICE RISE THROUGH CROSS DEALS BY MATCHING ORDER QUANTITY, PRICE AND TIMINGS OF BUY AND SELL TRANSACTIONS IN SCRIP OF KWALITY DAIRY (INDIA) LTD.
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
|
IMPOSED PENALTY RS.10,00,000
14-SEP-2006
|
SAT: APPEAL DISMISSED WITH NO ORDER AS TO COSTS
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS ORDER DATED 16/07/2014 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS NOTICE DATED 08/02/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.30,81,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 1109 |
|
|
SUNIL SHARES & STOCK BROKER LTD.
(PAN:AAFCS5114D)
(Member : MPSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF HINDUSTAN CONTINENTAL LTD. AND PRIYANS SAREE INDUSTRIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-MAR-2010 TO 28-MAR-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-MAR-2010 TO 28-MAR-2012
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
29-MAR-2010
|
|
| 1110 |
|
|
SUNSTAR SECURITIES
(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 BROUGHT ON RECORD THAT TRADING MEMBER HAVE VOLUNTARILY CLOSED THE BUSINESS AT BSE EQUITY DERIVATIVES SEGMENT W.E.F. 19/05/2016
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
|
| 1111 |
|
|
SURENDRA KUMAR DUGAR & CO.
(Member : CSE)
|
|
|
|
J.P.RATHI
|
|
|
SURENDRA KUMAR DUGAR
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF CYBERSPACE MULTIMEDIA LTD.
INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLIED WITH REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(3), A(4) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF CYBERSPACE MULTIMEDIA LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
02-DEC-2009
|
|
| 1112 |
|
|
SURESH KUMAR SOMANI,M/S.
(Member : CSE)
|
|
|
|
SURESH KUMAR SOMANI
|
|
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.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH PROPRIETARY AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF AURANGABAD CRYOGENICS LTD.
|
IMPOSED PENALTY RS.2,50,000
21-MAY-2010
|
|
| 1113 |
|
|
SVS SECURITIES PVT.LTD.
(PAN:AABCS5982K)
(Member : NSE/OTC/BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KARUNA CABLES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-NOV-2005 TILL FURTHER ORDERS
29-NOV-2005
|
CONFIRMED INTERIM ORDER DATED 29/11/2005
|
| 1114 |
|
|
SWADHA SECURITIES LTD.
(Member : CSE)
|
|
|
|
NARESH KUMAR JALAN
|
|
IRREGULARITIES IN DEALING IN SCRIP OF OFFSHORE FINVEST LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-JAN-2005 TO 26-JUL-2005
27-JAN-2005
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PERIOD OF SUSPENSION FROM 6 MONTHS TO 7 DAYS
|
| 1115 |
|
|
SWADHA SECURITIES LTD.
(Member : CSE)
|
|
|
|
NARESH KUMAR JALAN
|
|
ALLEGED IRREGULARITIES IN DEALING IN SCRIP OF BLUE PRINT SECURITIES LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
27-JAN-2005
|
|
| 1116 |
|
|
SWADHA SECURITIES LTD.
(Member : CSE)
|
|
|
ACTED IN CONCERT WITH OTHER BROKERS/CLIENTS TO DEPRESS MARKET PRICE OF THE SECURITIES BY MATCHING BUY AND SELL ORDERS IN CASE OF M.P.INVESTMENT & FINANCIAL CONSULTANCY SERVICES LTD.
UNDERTOOK TRANSACTIONS IN LARGE SCALE WITH SOLE OBJECT OF GENERATING BROKERAGE THUS VIOLATING CODE OF CONDUCT OF STOCK BROKER REGULATIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 18-JAN-2006 TO 17-FEB-2006
28-DEC-2005
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PERIOD OF SUSPENSION FROM ONE MONTH TO ONE WEEK
|
| 1117 |
|
|
SWADHA SECURITIES PVT.LTD.
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND OFF-MARKET TRANSACTIONS IN SCRIP OF TWENTY FIRST CENTURY (INDIA) LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
19-MAY-2010
|
|
| 1118 |
|
|
SWAGATH SECURITIES PVT.LTD.
(Member : BGSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF HOME TRADE LTD.
DEFAULTED IN VERIFYING FINANCIAL CAPABILITIES AND NET WORTH OF CLIENTS
DID NOT ADHERE TO "KNOW YOUR CLIENT" DIRECTIVES/INSTRUCTIONS/GUIDELINES
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 21-DEC-2005 TO 20-MAR-2006
30-NOV-2005
|
|
| 1119 |
|
|
SWAN SECURITIES PVT.LTD.
(PAN:AAACS6741B)
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF AND SYNCHRONIZED TRADES IN VARIOUS SCRIPS
INDULEGD IN TRANSFER OF TRADES PUNCHED BY ONE CLIENT TO ANOTHER CLIENT BY CHANGING CLIENT CODE AT BACK OFFICE
DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSE A (5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992
INDULGED IN MIS-UTILIZATION OF CLIENT SECURITIES AND THIRD PARTY SHARES
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
DID NOT ISSUE CONTRACT NOTES IN SPECIFIED FORMAT
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-JAN-2014 TO 23-APR-2014
03-JAN-2014
|
|
| 1120 |
|
|
SWASTIKA INVESTMART LTD.
(PAN:AABCS6585J)
(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
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 56 of 62
|
