| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 101 |
|
DILIP H.BHANDARI,M/S
(Member : PSE)
|
|
|
|
DILIP H.BHANDARI
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
02-JUN-2010
|
|
| 102 |
|
|
DSP MERRILL LYNCH LTD.
(PAN:AAACD0535G)
(Member : BSE/OTC/NSE)
|
|
|
ALLEGED INDULGENCE IN EXECUTION OF SYNCHRONIZED/STRUCTURED TRANSACTIONS IN SCRIP OF BHARTI HEALTHCARE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.30,00,000 VIDE CONSENT ORDER)
18-NOV-2008
|
|
| 103 |
|
|
ECONO BROKING PVT.LTD.
(PAN:AADCB8817A)
(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
|
|
| 104 |
|
|
EDELWEISS SECURITIES LTD.
(Member : BSE/NSE/OTC)
|
|
|
ALLEGED FAILURE IN SEGREGATING CLIENTS FUNDS AND SECURITIES
ALLEGED MAPPING OF OWN BANK ACCOUNT INSTEAD OF CLIENT’S BANK ACCOUNT IN DEMAT ACCOUNT WHEREIN CLIENT SECURITIES WERE KEPT
ALLEGED FAILURE IN USING WORD CLIENT IN NAME OF CLIENT’S BANK ACCOUNT
ALLEGED LAPSES IN INTERNAL CONTROL MEASURES FOR ACCESS TO INSTITUTIONAL TRADING DESK DEALING ROOM OPERATION
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.35,31,537 VIDE CONSENT ORDER)
13-MAR-2019
|
|
| 105 |
|
|
EMKAY GLOBAL FINANCIAL SERVICES LTD.
(Member : BSE/NSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET & PRICE MANIPULATION THROUGH SYNCHRONISED TRANSACTIONS IN SCRIP OF AAREY DRUGS & PHARMACEUTICALS LTD.
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE AS REQUIRED UNDER CLAUSE A (2) OF CODE OF CONDUCT FOR STOCK BROKERS AS SPECIFIED UNDER REGULATION 7 OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF AAREY DRUGS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.11,00,800 VIDE CONSENT ORDER)
05-JUN-2015
|
|
| 106 |
|
|
EMKAY GLOBAL FINANCIAL SERVICES LTD.
(Member : BSE/NSE)
|
|
|
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE AND 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 ASIAN STAR CO.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
07-SEP-2011
|
|
| 107 |
|
|
ENPEE ENTERPRISES PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRADING IN SCRIP OF NEDUNGADI BANK LTD.
ALLEGED VIOLATION OF REGULATION 7 READ WITH CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF NEDUNGADI BANK LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000, LEGAL EXPENSES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 06-OCT-2009 TO 28-AUG-2010
01-OCT-2009
|
|
| 108 |
|
|
ENPEE ENTERPRISES PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF ROBINSON WORLDWIDE TRADE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,70,890 VIDE CONSENT ORDER)
23-DEC-2009
|
|
| 109 |
|
|
EXCEL STOCK BROKING PVT.LTD.
(PAN:AABCE8639D)
(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
|
|
| 110 |
|
|
EXCLUSIVE SECURITIES LTD.
(PAN:AAACE4332L)
(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
|
|
| 111 |
|
|
EXPRESS SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF ROOFIT INDUSTRIES LTD.
ALLEGED FAILURE IN MAINTENANCE OF 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 ROOFIT INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER) FROM 21-DEC-2009 TO 20-JAN-2010
15-DEC-2009
|
|
| 112 |
|
|
FARSIGHT BROKERS PVT.LTD.
(Member : OTC)
|
|
|
ALLEGED VIOLATION OF REGULATION 15A (2) OF SCHEDULE II OF CODE OF CONDUCT OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992 IN MATTER OF VERONICA LABORATORIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
27-JAN-2009
|
|
| 113 |
|
|
FINCAP PORTFOLIO LTD.
(Member : NSE)
|
|
|
ALLEGED CREATION OF ARTIFICIAL VOLUME/SYNCHRONIZED TRADES, SELF TRADES AND CROSS DEALS IN CONNIVANCE WITH OTHER BROKERS IN SCRIP OF ALPS INDUSTRIES LIMITED
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
30-JAN-2008
|
|
| 114 |
|
|
FINCAP PORTFOLIO LTD.
(Member : NSE)
|
|
|
VIOLATED REGULATIONS 4(A), 4(B), 4(C) AND 4(D) OF SEBI (PFUTP) REGULATIONS, 1995
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH MISUSING OF SCREEN BASED TRADING
INDULGED IN SYNCHRONISED TRANSACTIONS AND STRUCTURED DEALS IN SCRIP OF ASTRASENECA PHARMA INDIA LTD.
AIDED AND ABETTED ITS CLIENT IN CREATION OF ARTIFICIAL MARKET AND ENTERED INTO NON-GENUINE TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-JAN-2007 TO 23-FEB-2007
04-JAN-2007
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000, LEGAL EXPENSES RS.25,000 VIDE CONSENT ORDER)
28-NOV-2007
|
SAT: ORDER SET ASIDE AS APPLICANT PAID RS.2,00,000 TOWARDS SETTLEMENT CHARGES AND RS.25,000 TOWARDS LEGAL EXPENSES AS PER CONSENT ORDER
|
| 115 |
|
|
FINDOC INVESTMART PVT.LTD.
(PAN:AABCF8332L)
(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
|
|
| 116 |
|
|
FIRST CUSTODIAN FUND (INDIA) LTD.,THE
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF SPANCO TELESYSTEMS & SOLUTIONS LTD.
VIOLATED REGULATION 7 READ WITH CODE OF CONDUCT AS SPECIFIED IN SCHEDULE 11 OF STOCK BROKER REGULATION
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 19-APR-2007 TO 03-MAY-2007
29-MAR-2007
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,50,000, LEGAL EXPENSES RS.25,000 VIDE CONSENT ORDER)
20-DEC-2007
|
SAT: ORDER SET ASIDE AS APPLICANT AGREED TO PAY RS.1,75,000 AS PER CONSENT ORDER
|
| 117 |
|
|
FIRST CUSTODIAN FUND (INDIA) LTD.,THE
(Member : NSE)
|
|
|
ALLEGED IRREGULAR TRANSACTIONS IN SCRIP OF BLUE INFORMATION TECHNOLOGY LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
20-NOV-2007
|
|
| 118 |
|
|
FIRST CUSTODIAN FUND (INDIA) LTD.,THE
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF NEDUNGADI BANK LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE DURING TRADE IN SCRIP OF NEDUNGADI BANK LTD.
VIOLATED CODE OF CONDUCT AS PRESCRIBED UNDER STOCK BROKER REGULATIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-MAY-2007 TO 06-AUG-2007
16-APR-2007
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000, LEGAL EXPENSES RS.25,000 VIDE CONSENT ORDER)
26-MAY-2008
|
SAT: AGREED TO PAY RS.10,25,000 AS PER CONSENT ORDER DATED 26/05/2008
|
| 119 |
|
|
FMS SECURITIES LTD.
(Member : BSE)
|
|
|
ALLEGED DELAY IN MAKING PAYMENT TO CLIENTS
ALLEGED FAILURE IN MAKING PAYMENTS OF CORPORATE BENEFITS TO CLIENTS WITHIN STIPULATED TIME
ALLEGED FAILURE IN SEGREGATING CLIENTS FUNDS AND SECURITIES
ALLEGED DISCREPANCY IN ISSUANCE OF CONTRACT NOTES
ALLEGED DISCREPANCIES IN MAINTENANCE OF CLIENT REGISTRATION FORMS & CLIENT AGREEMENT
ALLEGED NON-DISCLOSURE OF PROPRIETARY TRADING TO CLIENTS
DEALT WITH UN-REGISTERED SUB-BROKERS
ALLEGED INSTALLATION OF TERMINALS AT UNAUTHORIZED PLACES
ALLEGED FAILURE IN TRANSFER OF SECURITIES TO INVESTORS
ALLEGED FAILURE IN MAKING DISCLOSURE OF CONTENTS OF RISK DISCLOSURE DOCUMENT TO CLIENTS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,00,000 VIDE CONSENT ORDER)
12-AUG-2010
|
|
| 120 |
|
|
FORT SHARE BROKING PVT.LTD.
(CIN:U67120WB2005PTC106224
PAN:AAACF9358F)
(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
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 6 of 22
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