| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 101 |
|
NINE STAR COMMODITIES PVT.LTD.
(PAN:AADCN4180G)
|
|
|
ALLEGED ALLOWING SHORT SALES ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
ALLEGED PARTICIPATING IN AND/OR FACILITATING CLIENTS IN ENTERING INTO PAIRED CONTRACTS ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM TRADING IN PROPRIETARY CAPACITY AND FROM TAKING UP NEW CLIENTS IN COMMODITY SEGMENT FROM PASSING OF SETTLEMENT ORDER) FROM 09-SEP-2026 TO 08-MAR-2027
09-SEP-2026
|
|
| 102 |
|
|
NIRVANA MALL MANAGEMENT CO.PVT.LTD.
(PAN:AACCN2665B)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SHANTANU SHEOREY AQUAKULT LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
01-JUN-2021
|
|
| 103 |
|
|
NISKALP INFRASTRUCTURE SERVICES LTD.
(PAN:AABCN9239J)
|
|
|
FALSIFIED BOOKS OF ACCOUNTS OF NISKALP BY BACK DATING TRANSACTIONS OF SALE OF SHARES OF GLOBAL TELESYSTEMS LTD. AND GLOBAL E-COMMERCE SERVICES LTD. AND THEN MADE REVERSAL OF THESE TRADE
DID NOT MAKE DISCLOSURE OF TRUE AND CORRECT FINANCIAL STATUS TO STAKEHOLDERS AND CONCEALED MATERIAL FACTS IN OFFER DOCUMENT OF RIGHTS ISSUEOF TATA FINANCE LTD. IN MATTER OF GLOBAL TELESYSTEMS LTD. AND GLOBAL E-COMMERCE SERVICES LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
09-JUN-2022
|
|
| 104 |
|
|
OM VIJAY NIVESH PVT.LTD.
|
|
|
|
AMIT JAIN
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF ORACLE CREDIT LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
26-MAR-2010
|
|
| 105 |
|
|
OMPRAKASH (HUF)
|
|
|
|
HARISH KUMAR
|
|
|
OMPRAKASH
|
|
INDULGED IN CREATING FALSE AND MISLEADING APPEARANCE OF TRADING IN SHARES OF ELECTROLUX KELVINATOR LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
20-AUG-2008
|
|
| 106 |
|
|
PACE COMMODITY BROKERS PVT.LTD.
(PAN:AADCP3231E)
|
|
|
ALLEGED ALLOWING SHORT SALES ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
ALLEGED PARTICIPATING IN AND/OR FACILITATING CLIENTS IN ENTERING INTO PAIRED CONTRACTS ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.36,04,748 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM TRADING IN PROPRIETARY CAPACITY AND FROM TAKING UP NEW CLIENTS IN COMMODITY SEGMENT FROM PASSING OF SETTLEMENT ORDER) FROM 09-SEP-2026 TO 08-OCT-2026
09-SEP-2026
|
|
| 107 |
|
|
PADMAKSHI COMMODITIES PVT.LTD.
(PAN:AADCP2756J)
|
|
|
ALLEGED ALLOWING SHORT SALES ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
ALLEGED PARTICIPATING IN AND/OR FACILITATING CLIENTS IN ENTERING INTO PAIRED CONTRACTS ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.15,38,361 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM TRADING IN PROPRIETARY CAPACITY AND FROM TAKING UP NEW CLIENTS IN COMMODITY SEGMENT FROM PASSING OF SETTLEMENT ORDER) FROM 09-SEP-2026 TO 08-MAR-2027
09-SEP-2026
|
|
| 108 |
|
|
PATEL AMBALAL RANCHHODBHAI (HUF)
(PAN:AACHP4026P)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
|
| 109 |
|
|
PHILODEN AGROCHEM PVT.LTD.
|
|
|
|
DILIP THAKKAR
|
|
ACTED AS MEDIATOR FOR VISION ORGANICS LTD. TO GET ITS IPO SUBSCRIBED WITH AN UNDERSTANDING THAT SHARES ALLOTTED WILL BE REPURCHASED BY ISSUER COMPANY AT A COMMISSION
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
24-JAN-2006
|
|
| 110 |
|
|
PINNACLE BROCOM PVT.LTD.
(PAN:AADCP8584C)
|
|
|
ALLEGED ALLOWING SHORT SALES ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
ALLEGED PARTICIPATING IN AND/OR FACILITATING CLIENTS IN ENTERING INTO PAIRED CONTRACTS ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM TRADING IN PROPRIETARY CAPACITY AND FROM TAKING UP NEW CLIENTS IN COMMODITY SEGMENT FROM PASSING OF SETTLEMENT ORDER) FROM 09-SEP-2026 TO 08-MAR-2027
09-SEP-2026
|
|
| 111 |
|
|
PINNACLE TRADES & INVESTMENTS LTD.
|
|
|
INDULGED IN PRICE MANIPULATION BY CREATION OF ARTIFICIAL MARKET IN SCRIP OF SOUTH EAST ASIA MARINE ENGINEERING & CONSTRUCTIONS LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
12-DEC-2008
|
|
| 112 |
|
|
PIRAMAL ENTERPRISES LTD.
(PAN:AAACN4538P)
|
|
|
|
AJAY G.PIRAMAL
PAN:AAEPP7726Q
|
|
|
NANDINI PIRAMAL
PAN:AEOPP0388Q
|
|
|
SWATI A.PIRAMAL
PAN:AAJPP8862G
|
|
DID NOT CLOSE TRADING WINDOW DURING THE TIME OF PRICE SENSITIVE INFORMATION WAS UNPUBLISHED VIOLATING CLAUSES 3.2-1 AND 3.2-3(F) OF MODEL CODE OF CONDUCT FOR PREVENTION OF INSIDER TRADING FOR LISTED COMPANIES IN SCHEDULE I PART A READ WITH REGULATION 12(3) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PIRAMAL ENTERPRISES LTD.
DID NOT HANDLE PRICE SENSITIVE INFORMATION RELATING TO SALE OF DOMESTIC HEALTHCARE BUSINESS TO ABOTT ON NEED TO KNOW BASIS VIOLATING CLAUSES 1.2 AND 2.2 OF MODEL CODE OF CONDUCT FOR PREVENTION OF INSIDER TRADING FOR LISTED COMPANIES IN SCHEDULE I PART A READ WITH REGULATION 12(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF PIRAMAL ENTERPRISES LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
03-OCT-2016
|
SAT: SAT VIDE ITS ORDER DATED 15/05/2019 ALLOWED THE APPEAL BY MODIFYING THE IMPUGNED ORDER FROM IMPOSITION OF PENALTY TO WARNING WITH FURTHER DIRECTIONS IF ANY SUCH INCIDENT OCCURS IN FUTURE, IT WOULD BE OPEN TO SEBI TO PROCEED IN ACCORDANCE WITH LAW. NO COSTS
|
| 113 |
|
|
PNR SECURITIES LTD.
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF SURYA ROSHNI LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
30-MAR-2010
|
|
| 114 |
|
|
PRAGYA COMMODITY BROKERS PVT.LTD.
(PAN:AAACP3248G)
|
|
|
ALLEGED ALLOWING SHORT SALES ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
ALLEGED PARTICIPATING IN AND/OR FACILITATING CLIENTS IN ENTERING INTO PAIRED CONTRACTS ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM TRADING IN PROPRIETARY CAPACITY AND FROM TAKING UP NEW CLIENTS IN COMMODITY SEGMENT FROM PASSING OF SETTLEMENT ORDER) FROM 09-SEP-2026 TO 08-MAR-2027
09-SEP-2026
|
|
| 115 |
|
|
PRAVEENCHANDRA AMICHAND (HUF)
(PAN:AAFHP5115A)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
|
| 116 |
|
|
PRIME CAPITAL MARKET LTD.
(CIN:L67120OR1994PLC003649
PAN:AABCP9313M)
|
|
|
|
SIBU PD.SINGH
|
|
|
VIMAL JOSHI
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF PRIME CAPITAL MARKET LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
14-DEC-2009
|
|
| 117 |
|
|
PRITHVI BROKING PVT.LTD.
(PAN:AAECP3832E)
|
|
|
ALLEGED ALLOWING SHORT SALES ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
ALLEGED PARTICIPATING IN AND/OR FACILITATING CLIENTS IN ENTERING INTO PAIRED CONTRACTS ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM TRADING IN PROPRIETARY CAPACITY AND FROM TAKING UP NEW CLIENTS IN COMMODITY SEGMENT FROM PASSING OF SETTLEMENT ORDER) FROM 09-SEP-2026 TO 08-MAR-2027
09-SEP-2026
|
|
| 118 |
|
|
PROGRESSIVE COMTRADE PVT.LTD.
(PAN:AABCH1563M)
|
|
|
ALLEGED ALLOWING SHORT SALES ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
ALLEGED PARTICIPATING IN AND/OR FACILITATING CLIENTS IN ENTERING INTO PAIRED CONTRACTS ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,28,348 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM TRADING IN PROPRIETARY CAPACITY AND FROM TAKING UP NEW CLIENTS IN COMMODITY SEGMENT FROM PASSING OF SETTLEMENT ORDER) FROM 09-SEP-2026 TO 08-MAR-2027
09-SEP-2026
|
|
| 119 |
|
|
PURVAG COMMODITIES & DERIVATIVES PVT.LTD.
(PAN:AAACS5626H)
|
|
|
ALLEGED ALLOWING SHORT SALES ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
ALLEGED PARTICIPATING IN AND/OR FACILITATING CLIENTS IN ENTERING INTO PAIRED CONTRACTS ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.51,91,686 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM TRADING IN PROPRIETARY CAPACITY AND FROM TAKING UP NEW CLIENTS IN COMMODITY SEGMENT FROM PASSING OF SETTLEMENT ORDER) FROM 09-SEP-2026 TO 08-MAR-2027
09-SEP-2026
|
|
| 120 |
|
|
RAMESH CHALLANI (HUF)
(PAN:AALHR9880C)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 6 of 8
|
