| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1141 |
|
TRADEBULLS SECURITIES PVT.LTD.
(PAN:AADCT2020P)
(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
|
|
| 1142 |
|
|
TRAMBAKLAL RATILAL PAREKH & SONS SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED VIOLATION OF CODE OF CONDUCT FOR STOCK BROKERS
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF RECRON SYNTHETICS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
27-APR-2009
|
|
| 1143 |
|
|
TRANS SCAN SECURITIES PVT.LTD.
(PAN:AAACT9239M)
(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
|
|
| 1144 |
|
|
TRANSPARENT SHARES & SECURITIES PVT.LTD.
(Member : NSE/BSE)
|
|
|
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
|
|
| 1145 |
|
|
TRIUMPH INTERNATIONAL FINANCE INDIA LTD.
(PAN:AAACE0308A)
(Member : NSE)
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF HFCL, ZEE, ADANI, GTL, RANBAXY, SAB TV, SHONKH, PADMINI (FORMERLY PADMINI POLYMERS LTD.) AND AFTEK WITH KP ENTITIES
INDULGED IN MANIPULATIVE ACTIVITIES LIKE SYNCHRONIZED TRADING
FINANCED TRANSACTIONS TO GIVE SEMBLANCE OF PURCHASE AND SALE OF SHARES AT THE EXCHANGES
INDULGED IN CIRCULAR TRADING
CREATED ARTIFICIAL MARKET
BENCHMARKED PRICES OF CERTAIN SCRIPS BY EXECUTING NON-GENUINE TRANSACTIONS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-NOV-2007 TO 11-NOV-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-NOV-2007 TO 11-NOV-2012
12-NOV-2007
|
SAT: APPEAL DISMISSED AS INFRUCTUOUS
|
| 1146 |
|
|
TRIUMPH INTERNATIONAL FINANCE INDIA LTD.
(PAN:AAACE0308A)
(Member : NSE)
|
|
|
INDULGED IN MARKET MANIPULATION IN SCRIPS OF LUPIN LABORATORIES LTD. AND GLOBAL TRUST BANK LTD.
MANIPULATED MARKET AND CREATED ARTIFICIAL MARKETS
ENTERED INTO LARGE BUY ORDERS AT A PRICE PROGRESSIVELY HIGHER THAN THE LAST TRADED PRICE
DID NOT HONOUR TRADE COMMITMENTS
FAILED TO DELIVER SHARES TO CLIENTS
DID NOT MAKE PAYMENT TO CLIENTS
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 16-MAY-2002
16-MAY-2002
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
ENQUIRY PROCEEDINGS IN MATTER OF RANBAXY LABORATORIES LTD. DISPOSED OFF VIDE ORDER DATED 17/03/2011,AS CERTIFICATE OF REGISTRATION OF NOTICEE HAS ALREADY BEEN CANCELLED BY SEBI VIDE ORDER DATED 16/05/2002
ENQUIRY PROCEEDINGS IN MATTER OF SSI LTD. DISPOSED OFF VIDE ORDER DATED 17/03/2011,AS CERTIFICATE OF REGISTRATION OF NOTICEE HAS ALREADY BEEN CANCELLED BY SEBI VIDE ORDER DATED 16/05/2002
|
| 1147 |
|
|
TRIUMPH INTERNATIONAL FINANCE INDIA LTD.
(PAN:AAACE0308A)
(Member : 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
|
|
| 1148 |
|
|
TRIUMPH INTERNATIONAL FINANCE INDIA LTD.
(PAN:AAACE0308A)
(Member : NSE)
|
|
|
INDULGED IN SYNCHRONIZED & STRUCTURED TRANSACTIONS IN SCRIP OF DSQ BIOTECH LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-JAN-2009 TO 12-JAN-2014
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-JAN-2009 TO 12-JAN-2014
13-JAN-2009
|
|
| 1149 |
|
|
TRIUMPH SECURITIES LTD.
(PAN:AAACT2152P)
(Member : BSE)
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF HFCL, ZEE, ADANI, GTL, RANBAXY, SAB TV, SHONKH, PADMINI (FORMERLY PADMINI POLYMERS LTD.) AND AFTEK WITH KP ENTITIES
INDULGED IN MANIPULATIVE ACTIVITIES LIKE SYNCHRONIZED TRADING
FINANCED TRANSACTIONS TO GIVE SEMBLANCE OF PURCHASE AND SALE OF SHARES AT THE EXCHANGES
INDULGED IN CIRCULAR TRADING
CREATED ARTIFICIAL MARKET
BENCHMARKED PRICES OF CERTAIN SCRIPS BY EXECUTING NON-GENUINE TRANSACTIONS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-NOV-2007 TO 11-NOV-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-NOV-2007 TO 11-NOV-2012
12-NOV-2007
|
|
| 1150 |
|
|
TRIUMPH SECURITIES LTD.
(PAN:AAACT2152P)
(Member : BSE)
|
|
|
|
KARTIK KIRTIKUMAR PAREKH
DIN:00009502
|
|
|
KETAN VINAYCHANDRA PAREKH
DIN:00009468
PAN:AADPP1505A
|
|
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 06-JUN-2003 TILL INVESTIGATIONS COMPLETED
06-JUN-2003
|
|
| 1151 |
|
|
TRIUMPH SECURITIES LTD.
(PAN:AAACT2152P)
(Member : BSE)
|
|
|
INDULGED IN MANIPULATIVE TRADES
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 08-MAR-2004
08-MAR-2004
|
ENQUIRY PROCEEDINGS INITIATED AGAINST NOTICEE IN MATTER OF RANBAXY LABORATORIES LTD. DISPOSED OFF VIDE ORDER DATED 03/08/2010,AS CERTIFICATE OF REGISTRATION OF NOTICEE HAS ALREADY BEEN CANCELLED BY SEBI VIDE ORDER DATED 08/03/2004
ENQUIRY PROCEEDINGS INITIATED AGAINST NOTICEE IN MATTER OF SSI LTD.DISPOSED OFF VIDE ORDER DATED 03/08/2010,AS CERTIFICATE OF REGISTRATION OF NOTICEE HAS ALREADY BEEN CANCELLED BY SEBI VIDE ORDER DATED 08/03/2004
|
| 1152 |
|
|
TRIUMPH SECURITIES LTD.
(PAN:AAACT2152P)
(Member : BSE)
|
|
|
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
|
|
| 1153 |
|
|
TRIUMPH SECURITIES LTD.
(PAN:AAACT2152P)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIPS OF MASCON GLOBAL LTD.AND DSQ BIOTECH LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-NOV-2007 TO 11-NOV-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-NOV-2007 TO 11-NOV-2012
23-SEP-2010
|
|
| 1154 |
|
|
TRIVENI MANAGEMENT CONSULTANCY SERVICES LTD.
(PAN:AABCT4249C)
(Member : NSE/BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, STRUCTURED, CIRCULAR AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF ASIAN STAR CO.LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, NOT EXERCISING DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLYING 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 ASIAN STAR CO.LTD.
|
IMPOSED PENALTY RS.25,00,000
13-DEC-2012
|
SAT: APPEAL DISMISSED. NO COSTS
SEBI VIDE ITS NOTICE DATED 14/11/2014 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
SEBI VIDE ITS ORDER DATED 18/11/2014 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS/LOCKERS AND DEMAT ACCOUNTS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 14/11/2014
|
| 1155 |
|
|
TRIVENI MANAGEMENT CONSULTANCY SERVICES LTD.
(PAN:AABCT4249C)
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SPECULATIVE TRANSACTIONS DONE BY THE CLIENTS WITHOUT ANY INTENTION OF GIVING OR TAKING DELIVERY OF SHARES OF MOREPEN HOTELS LTD.
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE IN MATTER OF MOREPEN HOTELS LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
27-DEC-2005
|
|
| 1156 |
|
|
TRIVENI MANAGEMENT CONSULTANCY SERVICES LTD.
(PAN:AABCT4249C)
(Member : BSE)
|
|
|
AIDED AND ABETTED ITS CLIENTS IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, STRUCTURED AND CIRCULAR TRANSACTIONS IN SCRIPS OF ALLCARGO GLOBAL LOGISTICS LTD., ASIAN STAR CO.LTD., KSL & INDUSTRIES LTD., MAVENS BIOTECH LTD., PANORAMIC UNIVERSAL LTD., RASI ELECTRODES LTD., SAT INDUSTRIES LTD., USHDEV INTERNATIONAL LTD., KBS CAPITAL MANAGEMENT LTD., LOTUS EYE CARE HOSPITALS LTD., MVL LTD. AND ANIL PRODUCTS 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 AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF ALLCARGO GLOBAL LOGISTICS LTD., ASIAN STAR CO.LTD., KSL & INDUSTRIES LTD., MAVENS BIOTECH LTD., PANORAMIC UNIVERSAL LTD., RASI ELECTRODES LTD., SAT INDUSTRIES LTD., USHDEV INTERNATIONAL LTD., KBS CAPITAL MANAGEMENT LTD., LOTUS EYE CARE HOSPITALS LTD., MVL LTD. AND ANIL PRODUCTS LTD.
|
IMPOSED PENALTY RS.1,50,000
09-JAN-2013
|
SAT: SAT VIDE ITS ORDER DATED 31/10/2013 REDUCED THE PENALTY AMOUNT TO RS.50,000.00 FROM RS.1,50,000.00. NO COSTS
|
| 1157 |
|
|
TROPICAL SECURITIES & INVESTMENTS PVT.LTD.
(PAN:AAACT1670N)
(Member : BSE)
|
|
|
|
MILAN DALAL
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH STRUCTURED, SYNCHRONIZED TRANSACTIONS AND FINANCING DEALS IN SCRIP OF JAGSONPAL PHARMACEUTICALS 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 JAGSONPAL PHARMACEUTICALS LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-JUN-2011 TO 29-AUG-2011
09-JUN-2011
|
|
| 1158 |
|
|
TROPICAL SECURITIES & INVESTMENTS PVT.LTD.
(PAN:AAACT1670N)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF PRUDENTIAL PHARMACEUTICALS 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 PRUDENTIAL PHARMACEUTICALS LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
30-SEP-2013
|
|
| 1159 |
|
|
TROPICAL SECURITIES & INVESTMENTS PVT.LTD.
(PAN:AAACT1670N)
(Member : BSE)
|
|
|
INDULGED IN MARKET MANIPULATION IN SCRIP OF SURYA ROSHNI LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 19-OCT-2004 TO 18-DEC-2004
29-SEP-2004
|
|
| 1160 |
|
|
TROPICAL SECURITIES & INVESTMENTS PVT.LTD.
(PAN:AAACT1670N)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH STRUCTURED DEALS IN SCRIP OF CEAT LTD.
INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 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 CEAT LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 17-JAN-2011 TO 16-FEB-2011
17-JAN-2011
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 58 of 62
|
