| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 101 |
|
SAMRIDHI SHARE & STOCK BROKERS LTD.
(Member : UPSE)
|
|
|
ALLEGED INDULGENCE IN STRUCTURED TRANSACTIONS WITH COUNTERPARTY BROKERS IN SCRIP OF SHREEVATSA FINANCE & LEASING LTD.
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND NOT COMPLIED WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1),A(2),A(4) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SHREEVATSA FINANCE & LEASING LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
15-OCT-2009
|
|
| 102 |
|
|
SANTOSH KUMAR KEJRIWAL SECURITIES PVT.LTD.
(Member : CSE)
|
|
|
ALLEGED INDULGENCE IN MANIPULATIVE TRANSACTIONS IN SCRIP OF ADINATH BIO-LABS LTD.
ALLEGED INDULGENCE IN VIOLATION OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF ADINATH BIO-LABS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
27-OCT-2009
|
|
| 103 |
|
|
SHAREKHAN LTD.
(PAN:AAECS5096H)
(Member : BSE/NSE)
|
|
|
ALLEGED INDULGENCE IN FRONT RUNNING ACTIVITIES THROUGH ITS PROPRIETARY TRADING ACCOUNT AND MADE PERSONAL GAINS VIOLATING SECTION 12A(A) TO (C) READ WITH REGULATIONS 3(A) TO (D) AND 4(1) AND 4(2) (Q) OF SEBI (PFUTP) REGULATIONS, 2003
ALLEGED FACILITATE CERTAIN FRONTRUNNERS TO CARRY OUT FRONT-RUNNING ACTIVITY DISREGARDING ALERTS RECEIVED FROM STOCK EXCHANGE AND ALLOWED IMPROPER USE OF INFORMATION OF CONFIDENTIAL NATURE OF CLIENTS BY DEALERS VIOLATING REGULATION 9 READ WITH CLAUSES A(3), A(4) AND B(3) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,93,25,000 VIDE CONSENT ORDER)
23-APR-2019
|
SEBI VIDE ITS ADDENDUM ORDER DATED 04/06/2019 CONFIRMED THAT SHAREKHAN LTD. HAS DEPOSITED RS.50,93,894.00 (ILLEGAL GAINS OF RS.30,83,807 AND INTEREST OF RS.20,10,087) IN ESCROW ACCOUNT WITH PUNJAB NATIONAL BANK ON 01/08/2015
|
| 104 |
|
|
SHRIKANT G.MANTRI,M/S
(Member : BSE)
|
|
|
|
SHRIKANT G.MANTRI
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SAWACA COMMUNICATIONS LTD.
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE IN CONDUCT OF BUSINESS IN MATTER OF SAWACA COMMUNICATIONS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,50,000 VIDE CONSENT ORDER)
10-AUG-2010
|
|
| 105 |
|
|
SHRIKANT G.MANTRI,M/S
(Member : BSE)
|
|
|
|
SHRIKANT G.MANTRI
|
|
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.7,50,000, LEGAL EXPENSES RS.25,000 VIDE CONSENT ORDER)
26-MAY-2008
|
SAT: AGREED TO PAY RS.7,75,000 AS PER CONSENT ORDER DATED 26/05/2008
|
| 106 |
|
|
SINGHAL CAPITAL SERVICES LTD.
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRNSACTIONS IN SCRIP OF KAJARIA CERAMICS LTD.
ALLEGED FAILURE IN MAINTENANCE OF 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 KAJARIA CERAMICS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
31-MAR-2010
|
|
| 107 |
|
|
SINO SECURITIES
(Member : DSE)
|
|
|
ALLEGED INDULGENCE IN PRICE MANIPULATION THROUGH IRREGULAR TRANSACTIONS IN SCRIP OF KARISHMA FLORICULTURE LTD.
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, NOT EXERCISED DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES, NOT COMPLIED WITH STATUTORY REQUIREMENTS AND FILING FALSE OR MISLEADING RETURNS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) AND C(6) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF KARISHMA FLORICULTURE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
26-OCT-2009
|
|
| 108 |
|
|
SKSE SECURITIES LTD.
(PAN:AAFCS1539J)
(Member : BSE/NSE)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE AND DEAFULT IN ISSUANCE OF CONTRACT NOTE VIOLATING REGULATION 7 READ WITH CLAUSES A(2) AND B(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
ALLEGED FAILURE IN MAINTAINING UNIFORMITY IN DOCUMENTS REQUIRED FOR TRADING VIOLATING SEBI CIRCULAR NO.SEBI/MIRSD/DPS-1/CIR31/2004 DATED 26/08/2004
ALLEGED VIOLATION OF REGULATIONS 26(III),(V),(VII),(XII),(XIII) AND (XX) OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,50,000 VIDE CONSENT ORDER)
12-APR-2010
|
|
| 109 |
|
|
SMC GLOBAL SECURITIES LTD.
(PAN:AAACS0581R)
(Member : LSE/NSE/BSE/OTC)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION VIOLATING REGULATIONS 4(1),4(2)(A),4(2)(B),4(2)(E),4(2)(G) AND 4(2)(N) OF SEBI (PFUTP) REGULATIONS, 2003 IN SCRIP OF JUBILANT ORGANOSYS 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 JUBILANT ORGANOSYS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
15-SEP-2009
|
|
| 110 |
|
|
SMIFS SECURITIES LTD.
(Member : NSE/CSE)
|
|
|
ALLEGED FAILURE IN MAINTENANCE OF 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 DSQ BIOTECH LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,31,50,000 VIDE CONSENT ORDER)
28-SEP-2011
|
|
| 111 |
|
|
STANDARD CHARTERED-STCI CAPITAL MARKETS LTD.
(Member : BSE/NSE)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF DSQ BIOTECH LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.47,00,000 VIDE CONSENT ORDER)
19-JUL-2010
|
|
| 112 |
|
|
SUNIL KUMAR KAYAN & CO.
(PAN:AGDPK5151F)
(Member : CSE)
|
|
|
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES, DID NOT ADHERE TO STATUTORY REQUIREMENTS, DEFAULTED IN EXECUTION OF ORDERS AND IN ISSUANCE OF CONTRACT NOTES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5),B(1),B(2) AND B(4) (A) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)
28-MAY-2010
|
|
| 113 |
|
|
SUPER FINVEST SERVICES PVT.LTD.
(Member : LSE)
|
|
|
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF CLASSIC GLOBAL IMPEX LTD.(NOW KNOWN AS DEVINE IMPEX LTD.)
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
03-FEB-2011
|
|
| 114 |
|
|
SUSHIL FINANCIAL SERVICES PVT.LTD.
(PAN:AAACS8454K)
(Depository Participants : CDSL,Member : NSE/BSE)
|
|
|
ALLEGED DEALING WITH A CLIENT WHO WAS RESTRAINED FROM DEALING IN SECURITIES MARKET BY SEBI VIOLATING REGULATIONS 27(XV) AND 27(XVII) OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 READ WITH CLAUSES A(1) A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II UNDER REGULATION 7 OF STOCK BROKER REGULATIONS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
24-NOV-2010
|
|
| 115 |
|
|
SVS SECURITIES PVT.LTD.
(PAN:AABCS5982K)
(Member : BSE/NSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE IN RESPECT OF TRANSACTIONS EXECUTED BY ITS SUB BROKER VIOLATING REGULATION 7 READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF HARITA SEATING SYSTEMS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-APR-2014 TO 16-APR-2015
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-APR-2014 TO 16-APR-2015
27-MAR-2014
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.27,19,165, LEGAL EXPENSES RS.3,54,000 VIDE CONSENT ORDER)
02-JUL-2015
|
SEBI ORDER DATED 27/03/2014 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.27,19,164.65.00 TOWARDS SETTLEMENT CHARGES AND RS.3,54,000.00 TOWARDS LEGAL EXPENSES AS PER CONSENT ORDER DATED 02/07/2015
|
| 116 |
|
|
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
|
|
| 117 |
|
|
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
|
|
| 118 |
|
|
TATA SECURITIES LTD.
(Member : BSE/NSE)
|
|
|
ALLEGED PERMISSION TO CLIENTS TO TAKE HUGE POSITIONS WITHIN ONE MONTH OF REGISTRATION VIOLATING REGULATION 7 READ WITH CLAUSES A(1),A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF RTS POWER CORP.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
06-JUL-2011
|
|
| 119 |
|
|
TAUGA PVT.LTD.
(PAN:AADCO0353Q)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN ILLEGAL ACTIVITIES BY PROVIDING UNREGULATED ONLINE TRADING PLATFORM FOR TRADING IN FOREX DERIVATIVES
ALLEGED FAILURE IN INFORMING EITHER SEBI OR BSE ABOUT SEARCHES CONDUCTED BY ENFORCEMENT DIRECTORATE AT SEVERAL OF ITS PREMISES
|
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS OR ACCESS SECURITIES MARKET DIRECTLY/INDIRECTLY IN PROPRIETARY ACCOUNT) FROM 18-JUL-2025 TO 17-JUL-2026
18-JUL-2025
|
|
| 120 |
|
|
TAUGA PVT.LTD.
(PAN:AADCO0353Q)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN ILLEGAL ACTIVITIES BY PROVIDING UNREGULATED ONLINE TRADING PLATFORM FOR TRADING IN FOREX DERIVATIVES
ALLEGED FAILURE IN INFORMING EITHER SEBI OR BSE ABOUT SEARCHES CONDUCTED BY ENFORCEMENT DIRECTORATE AT SEVERAL OF ITS PREMISES
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.32,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO SURRENDER THE REGISTRATION AS STOCK BROKER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO APPLY FOR ANY REGISTRATION WITH SEBI) FROM 18-JUL-2025 TO 17-JUL-2030
18-JUL-2025
|
|
| 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 6 of 7
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