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SOURCE OF INFORMATION

SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
PERIOD COVERED : 30-NOV-2007 TO 21-NOV-2025

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

STOCK BROKERS: VIOLATED CODE OF CONDUCT

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
121
History of entity/person 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 		 
122
History of entity/person VICTORY FINANCIAL SERVICES LTD.

(PAN:AAACV3362P)

(Member : NSE)  
Click here to view complete history of this specific entity/person AJAY
Click here to view complete history of this specific entity/person V.K.AHUJA
  		INDULGED IN PRICE MANIPULATION IN SCRIP OF INFORMATION TECHNOLOGIES (INDIA) LTD.

VIOLATED SEBI CODE OF CONDUCT   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 28-JUN-2007 TO 27-AUG-2007

07-JUN-2007

REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.9,00,000, LEGAL EXPENSES RS.1,00,000 VIDE CONSENT ORDER)

30-APR-2008 		SAT: APPEAL STAND DISPOSED OFF, AS APPLICANT AGREED TO PAY RS. 10,00,000 AS PER CONSENT ORDER  
123
History of entity/person WOODSTOCK BROKING PVT.LTD.

(Member : NSE)  
  INDULGED IN SYNCHRONIZED TRANSACTIONS IN SCRIP OF DSQ SOFTWARE LTD.

VIOLATED SEBI CODE OF CONDUCT   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-JUN-2007 TO 26-JUN-2008

06-JUN-2007

REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,00,000 VIDE CONSENT ORDER)

17-OCT-2008 		SAT: ORDER DATED 06/06/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.3,00,00,000 AS PER CONSENT ORDER DATED 17/10/2008  
124
History of entity/person WOODSTOCK SECURITIES PVT.LTD.

(Member : BSE)  
  INDULGED IN SYNCHRONIZED TRANSACTIONS IN SCRIP OF DSQ SOFTWARE LTD.

VIOLATED SEBI CODE OF CONDUCT   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-JUN-2007 TO 26-JUN-2008

06-JUN-2007

REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,00,000 VIDE CONSENT ORDER)

17-OCT-2008 		SAT: ORDER DATED 06/06/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.50,00,000 AS PER CONSENT ORDER DATED 17/10/2008  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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