| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1121 |
|
SYKES & RAY EQUITIES (INDIA) LTD.
(PAN:AAECS5168A)
(Member : BSE/NSE)
|
|
|
IN THE CASE OF AMARA RAJA BATTERIES LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
15-JUL-2002
|
|
| 1122 |
|
|
SYSTEMATIX SHARES & STOCKS (INDIA) LTD.
(PAN:AAECS8827N)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR/SYNCHRONIZED TRANSACTIONS IN SCRIP OF JINDAL POLYESTER LTD.
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, NOT EXERCISED 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 JINDAL POLYESTER LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
11-SEP-2009
|
|
| 1123 |
|
|
SYSTEMATIX SHARES & STOCKS (INDIA) LTD.
(PAN:AAECS8827N)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN SYNCHRONIZED TRANSACTIONS IN SCRIP OF GRANULES INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
29-DEC-2008
|
|
| 1124 |
|
|
SYSTEMATIX SHARES & STOCKS (INDIA) LTD.
(PAN:AAECS8827N)
(Member : BSE/NSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF TODAY’S WRITING PRODUCTS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
03-JUN-2009
|
|
| 1125 |
|
|
SYSTEMATIX SHARES & STOCKS (INDIA) LTD.
(PAN:AAECS8827N)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR/REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF GRAVITY INDIA LTD.
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, 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 GRAVITY INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)
09-OCT-2009
|
|
| 1126 |
|
|
SYSTEMATIX SHARES & STOCKS (INDIA) LTD.
(PAN:AAECS8827N)
(Member : BSE/NSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET THROUGH STRUCTURED, SELF AND CIRCULAR TRADES IN SCRIP OF TASC PHARMACEUTICALS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,50,000 VIDE CONSENT ORDER)
11-JAN-2011
|
|
| 1127 |
|
|
SYSTEMATIX SHARES & STOCKS (INDIA) LTD.
(PAN:AAECS8827N)
(Member : BSE/NSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, CIRCULAR AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF KRBL LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
20-MAR-2009
|
|
| 1128 |
|
|
SYSTEMATIX SHARES & STOCKS (INDIA) LTD.
(PAN:AAECS8827N)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF OREGON COMMERCIAL LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS AND DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 7 READ WITH CLAUSES A(1) AND A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF OREGON COMMERCIAL LTD.
|
IMPOSED PENALTY RS.3,00,000
07-DEC-2011
|
SAT: SAT VIDE ITS ORDER DATED 23/04/2012 REDUCED THE PENALTY AMOUNT TO RS.2 LACS FROM RS.3 LACS. NO COSTS
|
| 1129 |
|
|
T.H.VAKIL SHARES & SECURITIES PVT.LTD.
(PAN:AABCT3010D)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF ELTROL LTD.
|
IMPOSED PENALTY RS.4,00,000
23-SEP-2010
|
SEBI VIDE ITS NOTICE DATED 21/12/2017 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS 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
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 1130 |
|
|
T.H.VAKIL SHARES & SECURITIES PVT.LTD.
(PAN:AABCT3010D)
(Member : BSE)
|
|
|
SUBMITTED FALSE CONTRACT NOTES IN MATTER OF FAST TRACK ENTERTAINMENT LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF FAST TRACK ENTERTAINMENT 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 FAST TRACK ENTERTAINMENT LTD.
|
IMPOSED PENALTY RS.2,00,000
22-DEC-2009
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 1131 |
|
|
TCFC SECURITIES LTD.
(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
CONSIDERED THE MATTER AND NO FURTHER DIRECTIONS ARE REQUIRED
|
| 1132 |
|
|
TECHNO SHARES & STOCKS PVT.LTD.
(PAN:AAACT4464G)
(Member : BSE/NSE)
|
|
|
AIDED AND ABETTED CLIENTS IN CREATION OF ARTIFICIAL VOLUME THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF VALECHA ENGINEERING LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS 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) REGULATIONS, 1992 IN MATTER OF VALECHA ENGINEERING LTD.
|
IMPOSED PENALTY RS.7,00,000
02-JAN-2015
|
|
| 1133 |
|
|
THAKKAR STOCK BROKERS PVT.LTD.
(Member : VSE)
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ALLEGED INDULGENCE IN CREATION OF FALSE MARKET IN SCRIP OF AXEL POLYMERS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)
31-MAR-2009
|
|
| 1134 |
|
|
THAR SHARE BROKERS PVT.LTD.
(PAN:AACCT0147Q)
(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
|
|
| 1135 |
|
|
TITAN STOCK BROKING PVT.LTD.
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRADES/MATCHING ORDERS IN SCRIP OF DSQ INDUSTRIES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 05-MAR-2007 TO 04-SEP-2007
12-FEB-2007
|
|
| 1136 |
|
|
TJ STOCK BROKING SERVICES PVT.LTD.
(Member : BSE)
|
|
|
MANIPULATION IN SCRIP OF AMARA RAJA BATTERIES LIMITED DURING THE PERIOD AUGUST 2000 TO MARCH 2001
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-JUN-2002 TO 26-JUL-2002
14-JUN-2002
|
SAT: APPEAL DISMISSED
|
| 1137 |
|
|
TODI SECURITIES PVT.LTD.
(PAN:AABCT4191R)
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF JUBILANT ORGANOSYS LTD.
|
IMPOSED PENALTY RS.2,00,000
31-JUL-2008
|
|
| 1138 |
|
|
TODI SECURITIES PVT.LTD.
(PAN:AABCT4191R)
(Member : USEIL)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF TRADES IN CURRENCY DERIVATIVES SEGMENT
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(2) TO A(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
IMPOSED PENALTY RS.12,00,000
29-APR-2015
|
SAT: SAT VIDE ITS ORDER DATED 10/02/2017 QUASHED AND SET ASIDED IMPUGNED ORDER AND REMANDED TO SEBI TO PASS FRESH ORDER ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
SEBI VIDE ITS ORDER DATED 28/05/2021 REDUCED PENALTY TO RS.10 LAC FROM RS.1 CRORE U/S 15HA AND RS.2 LAC FROM RS.10 LAC U/S 15HB OF SEBI ACT.
|
| 1139 |
|
|
TODI SECURITIES PVT.LTD.
(PAN:AABCT4191R)
(Member : BSE/NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF TIJARIA POLYPIPES LTD.
UTILIZED IPO PROCEEDS TO MAKE GOOD LOSSES OF ENTITIES WHO SUPPORTED THE PRICE OF FUND CLIENTS WHO INCURRED LOSSES WHILE TRANSACTED IN SCRIP OF TIJARIA POLYPIPES LTD.
FUNDED PERSONS/ENTITIES WHO PROVIDED EXIT ROUTE TO QIBS AND/OR RETAIL ALLOTTEES AT A PREMIUM TO THE ISSUE PRICE
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OR DEAL IN SECURITIES IN OWN/PROPRIETARY ACCOUNT FROM 28-DEC-2011 TILL FURTHER ORDERS
PROHIBITED FROM ENTERING ANY FRESH AGREEMENTS WITH NEW CLIENTS IN OPERATIONS AS STOCK BROKER FROM 28-DEC-2011 TILL FURTHER ORDERS
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 11/05/2012 CONFIRMED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
SAT: APPEAL DISMISSED AS INFRUCTUOUS
SAT: SAT VIDE ITS ORDER DATED 27/06/2012 DIRECTED SEBI TO COMPLETE THE INVESTIGATION BY 30/09/2012. NO ORDER AS TO COSTS
SEBI VIDE ITS ORDER DATED 02/11/2012 REVOKED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
SEBI VIDE ITS ORDER DATED 19/04/2021 DISPOSE OFF THE ENQUIRY PROCEEDINGS AND SCN DATED 11/04/2018 WITHOUT ANY FURTHER DIRECTION
|
| 1140 |
|
|
TOSS FINANCIAL SERVICES PVT.LTD.
(PAN:AAACT1625K)
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF ALEMBIC LTD.
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND FINANCED ITS CLIENT VIOLATING REGULATION 7 READ WITH CLAUSES A(2) AND C(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF ALEMBIC LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
18-JUL-2011
|
|
| 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 57 of 62
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