| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 121 |
|
BALLABH DASS DAGA,M/S
(Member : CSE)
|
|
|
|
BALLABH DASS DAGA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIPS OF PATRIOT TRADING CO.LTD. & GLOBE STOCKS & SECURITIES LTD.
VIOLATED CODE OF CONDUCT AS PRESCRIBED UNDER STOCK BROKER REGULATIONS
DID NOT EXERCISE DUE CARE AND DILIGENCE IN CONDUCT OF ITS BUSINESS AS A BROKER
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 16-APR-2007 TO 15-JAN-2008
26-MAR-2007
|
|
| 122 |
|
|
BALLABH DASS DAGA,M/S
(Member : CSE)
|
|
|
|
BALLABH DASS DAGA
|
|
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) AND B(4)(A) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF PSL FINANCIAL SERVICES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF PSL FINANCIAL SERVICES LTD.
|
IMPOSED PENALTY RS.2,00,000
10-MAR-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 10/07/2015 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 28/03/2017 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS/LOCKERS/DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 10/07/2015
|
| 123 |
|
|
BALLABH DASS DAGA,M/S
(Member : CSE)
|
|
|
|
BALLABH DASS DAGA
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 7 READ WITH CLAUSES A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF KONARK COMMERCE INDUSTRIES LTD.
|
IMPOSED PENALTY RS.1,00,000
29-SEP-2009
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 10/07/2015 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 28/03/2017 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS/LOCKERS/DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 10/07/2015
|
| 124 |
|
|
BALLABH DASS DAGA,M/S
(Member : CSE)
|
|
|
|
BALLABH DASS DAGA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF BACCHHAT INVESTMENT & FINANCE LTD.
VIOLATED CODE OF CONDUCT AS PRESCRIBED UNDER STOCK BROKER REGULATIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 18-AUG-2009 TO 17-NOV-2009
28-JUL-2009
|
|
| 125 |
|
|
BALLABH DASS DAGA,M/S
(Member : CSE)
|
|
|
|
BALLABH DASS DAGA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS/CROSS DEALS IN SCRIP OF PARBATI HOLDINGS 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 PARBATI HOLDINGS LTD.
|
IMPOSED PENALTY RS.6,00,000
24-SEP-2009
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 10/07/2015 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 28/03/2017 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS/LOCKERS/DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 10/07/2015
|
| 126 |
|
|
BAMA SECURITIES LTD.
(Member : NSE)
|
|
|
|
DILIP M.BANG
|
|
|
KISHORE M.BANG
|
|
|
NIRMAL BANG
|
|
INDULGED IN LARGE TRADING TRANSACTIONS WITH A VIEW TO DEPRESS MARKET ARTIFICIALLY IN A CONCERTED MANNER
INDULGED IN SHORT SALES
INDULGED IN SYNCHRONIZED DEALS
TRADED IN PARTICULAR TIME SLOTS WHEN SHARE PRICES REGISTERED SUBSTANTIAL FALL
DEALT WITH UN-REGISTERED SUB-BROKERS
VIOLATED SEBI CODE OF CONDUCT
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-JUL-2002
30-JUL-2002
|
SAT: OPERATION OF ORDER CANCELLING REGISTRATION GRANTED TO APPELLANTS STAYED FOR 10 WEEKS AND RESPONDENT WILL FILE REPLY WITHIN 3 WEEKS FROM ORDER DATE
SAT: PART OF ORDER I.E.CANCELLING CERTIFICATE OF REGISTRATION OF BANG SECURITIES PVT.LTD. SET ASIDE AND APPEAL DISPOSED OF
|
| 127 |
|
|
BANG EQUITY BROKING PVT.LTD.
(Member : BSE)
|
|
|
|
DILIP M.BANG
|
|
|
KISHORE M.BANG
|
|
|
NIRMAL BANG
|
|
INDULGED IN LARGE TRADING TRANSACTIONS WITH A VIEW TO DEPRESS MARKET ARTIFICIALLY IN A CONCERTED MANNER
INDULGED IN SHORT SALES
INDULGED IN SYNCHRONIZED DEALS
TRADED IN PARTICULAR TIME SLOTS WHEN SHARE PRICES REGISTERED SUBSTANTIAL FALL
DEALT WITH UN-REGISTERED SUB-BROKERS
VIOLATED SEBI CODE OF CONDUCT
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-JUL-2002
30-JUL-2002
|
SAT: OPERATION OF ORDER CANCELLING REGISTRATION GRANTED TO APPELLANTS STAYED FOR 10 WEEKS AND RESPONDENT WILL FILE REPLY WITHIN 3 WEEKS FROM ORDER DATE
SAT: PART OF ORDER I.E.CANCELLING CERTIFICATE OF REGISTRATION OF BANG SECURITIES PVT.LTD. SET ASIDE AND APPEAL DISPOSED OF
|
| 128 |
|
|
BANSAL SHAREVEST SERVICES LTD.
(Member : NSE/UPSE)
|
|
|
|
SONU AGARWAL
|
|
EXECUTED SINGLE TRADES AT EXCHANGE TO ASCERTAIN PRICES FOR EXECUTING BULK ORDERS ILLEGALLY OUTSIDE THE EXCHANGE MECHANISM
OFFERED ILLEGAL TRADING FACILITIES
ISSUED ADVERTISEMENTS RELATING TO BUSINESS IN VIOLATION OF CODE OF CONDUCT
ALLOWED TERMINALS TO UNREGISTERED SUB-BROKERS
INSTALLED UNAUTHORIZED TRADING TERMINALS IN EXCESS OF NSE ALLOTTED TERMINALS
DEALT WITH UN-REGISTERED SUB-BROKERS
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
DID NOT ISSUE CONTRACT NOTES
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
DID NOT COLLECT UPFRONT MARGINS
DEFAULTED IN DEPOSITING MARGIN AMOUNT WITH THE EXCHANGE
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 23-JUL-2003 TO 22-JUL-2008
28-JUN-2006
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,00,000, LEGAL EXPENSES RS.2,50,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER) FROM 23-JUL-2003 TO 22-JUL-2008
09-JUN-2008
|
SAT: APPLICANT AGREED TO PAY A SUM OF RS.50,00,000 TOWARDS SETTLEMENT CHARGES AND RS.2,50,000 TOWARDS LEGAL EXPENSES AS PER CONSENT ORDER DATED 09/06/2008 AND VOLUNTARILY UNDERTAKEN TO REMAIN SUSPENDED FOR A PERIOD OF 5 YEARS COMMENCING FROM 23/07/2003. ORDER DATED 28/06/2006 SET ASIDE
|
| 129 |
|
|
BASAN EQUITY BROKING LTD.
(PAN:AADCB2796E)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH REVERSAL OF TRADE AND FICTITIOUS TRANSACTIONS IN STOCK OPTIONS UNDER EQUITY DERIVATIVE SEGMENT
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
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-FEB-2016 TILL FURTHER ORDERS
17-FEB-2016
|
SAT: SAT VIDE ITS ORDER DATED 20/02/2016 QUASHED AND SET ASIDED IMPUGNED EX-PARTE AD-INTERIM ORDER DATED 17/02/2016. NO COSTS
SEBI VIDE ITS ORDER DATED 12/08/2016 DIRECTED TRADING MEMBERS TO CO-OPERATE WITH SEBI IN THE ON-GOING INVESTIGATION AND PROVIDE ALL THE INFORMATION AND DOCUMENTS THAT MAY BE SOUGHT BY SEBI IN THIS REGARD
|
| 130 |
|
|
BASANT KUMAR CHIRIMAR,M/S
(Member : CSE)
|
|
|
|
BASANT KUMAR CHIRIMAR
|
|
ALLOWED CROSS DEALS VIOLATING CLAUSE B (4) (A) OF CODE OF CONDUCT OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 UNDER REGULATION 7 OF STOCK BROKER REGULATIONS WHILE DEALING IN SCRIP OF TWENTY FIRST CENTURY (INDIA) LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS IN SCRIP OF TWENTY FIRST CENTURY (INDIA) LTD.
|
PROHIBITED FROM TAKING ANY NEW ASSIGNMENT AS A STOCK BROKER FROM 05-JAN-2011 TO 25-JAN-2011
15-DEC-2010
|
|
| 131 |
|
|
BASANT PERIWAL & CO.
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS IN SCRIP OF BAKRA PRATISTHAN 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) AND B(4)(A) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF BAKRA PRATISTHAN LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 06-JUL-2010 TO 05-AUG-2010
15-JUN-2010
|
|
| 132 |
|
|
BASANT PERIWAL & CO.
(Member : CSE)
|
|
|
INDULGED IN MARKET MANIPULATION AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND CROSS DEALS IN SCRIP OF RAMKRISHNA FINCAP 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) AND B(4)(A) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF RAMKRISHNA FINCAP LTD.
|
IMPOSED PENALTY RS.3,00,000
31-AUG-2010
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 31/08/2022 DIRECTED TO PAY RS.7,33,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 03/11/2022 CANCELLED RECOVERY CERTIFICATE NO 5529 OF 2022 DATED 31/08/2022 IN THE MATTER OF RAMKRISHNA FINCAP LTD. AS AMOUNT OF PENALTY ALREADY PAID ON 02/06/2014
|
| 133 |
|
|
BEST BULL STOCK TRADING PVT.LTD.
(PAN:AACCB7733N)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH REVERSAL OF TRADE AND FICTITIOUS TRANSACTIONS IN STOCK OPTIONS UNDER EQUITY DERIVATIVE SEGMENT
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
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-FEB-2016 TILL FURTHER ORDERS
17-FEB-2016
|
SAT: SAT VIDE ITS ORDER DATED 09/03/2016 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 17/02/2016 AND DIRECTED SEBI TO INITIATE PROCEEDINGS IN ACCORDANCE WITH LAW AND PASS APPROPRIATE ORDER THEREON AS IT DEEMED FIT. NO COSTS
SEBI VIDE ITS ORDER DATED 12/08/2016 DIRECTED TRADING MEMBERS TO CO-OPERATE WITH SEBI IN THE ON-GOING INVESTIGATION AND PROVIDE ALL THE INFORMATION AND DOCUMENTS THAT MAY BE SOUGHT BY SEBI IN THIS REGARD
|
| 134 |
|
|
BETALA STOCK BROKING LTD.
(Member : NSE)
|
|
|
|
ROOPCHAND BETALA
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
VIOLATED SEBI CODE OF CONDUCT
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 04-AUG-2003 TO 03-NOV-2003
14-JUL-2003
|
|
| 135 |
|
|
BHANSALI VALUE CREATIONS PVT.LTD.
(PAN:AAECB3879K)
(Member : BSE/NSE)
|
|
|
INDULGED IN EXECUTION OF MANIPULATIVE AND FRAUDULENT TRANSACTIONS BY AIDING AND FACILITATING HIS CLIENTS IN PLACING AND DELETING LARGE NUMBER OF ORDERS VIOLATING CLAUSES A(1) TO A(4) OF CODE OF CONDUCT SPECIFIED IN SCHEDULE II UNDER REGULATIONS 9(F) OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF EJECTA MARKETING LTD.
|
IMPOSED PENALTY RS.2,00,000
06-SEP-2022
|
|
| 136 |
|
|
BHARAT FOODS CO-OPERATIVE LTD.
(PAN:AAAAB3160D)
(Member : NCDEX)
|
|
|
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), A(2) AND A(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992 IN MATTER OF CASTOR SEED CONTRACTS
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-MAR-2016 TILL FURTHER ORDERS
02-MAR-2016
|
SEBI VIDE ITS ORDER DATED 23/12/2016 RELAXED INTERIM ORDER PASSED 02/03/2016 AND 24/05/2016 TO THE LIMITED EXTENT TO ENABLE THEM TO PROTECT THEIR PORTFOLIO FROM MARKET VOLATILITY A) NOTICEE MAY SELL THE SECURITIES LYING IN THEIR DEMAT ACCOUNTS AS ON THE DATE OF INTERIM ORDER, OTHER THAN THE SHARES OF THE COMPANIES WHICH ARE SUSPENDED FROM TRADING BY THE CONCERNED STOCK EXCHANGE, IN AN ORDERLY MANNER UNDER SUPERVISION OF THE STOCK EXCHANGE SO AS NOT TO DISTURB MARKET EQUILIBRIUM AND DEPOSIT SALE PROCEEDS IN AN INTEREST BEARING ESCROW ACCOUNT WITH A NATIONALIZED BANK B) NOTICEES MAY TENDER THE SHARES LYING IN THEIR DEMAT ACCOUNT IN ANY OPEN OFFER / DELISTING OFFER / BUYBACK OFFER UNDER THE RELEVANT REGULATIONS OF SEBI AND DEPOSIT THE SALE PROCEEDS IN AN INTEREST BEARING ESCROW ACCOUNT WITH A NATIONALIZED BANK C) NOTICEES SHALL AVAIL THE BENEFIT OF CORPORATE ACTIONS LIKE RIGHTS ISSUE, BONUS ISSUE, STOCK SPLIT DIVIDEND ETC. D) WINDOW FOR SALE OF SHARES LYING IN RESPECTIVE PORTFOLIO SHALL STAND WITHDRAWN IF ANY ENTITY FOUND TO EXECUTE ANY TRADE IN BREACH OF THE CONDITIONS
SEBI VIDE ITS ORDER DATED 08/03/2017 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDERS DATED 02/03/2016 AND 24/05/2016
SEBI VIDE ITS ORDER DATED 14/11/2018 REVOKED DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 02/03/2016 AND CONFIRMATORY ORDER DATED 08/03/2017
|
| 137 |
|
|
BHARAT J.PATEL,M/S
(PAN:AAAPP6652R)
(Member : BSE)
|
|
|
|
BHARAT JAYANTILAL PATEL
PAN:AAAPP6652R
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE WHILE DEALING IN SCRIP OF SUNEARTH CERAMICS LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
01-FEB-2010
|
|
| 138 |
|
|
BHARAT J.PATEL,M/S
(PAN:AAAPP6652R)
(Member : BSE)
|
|
|
|
BHARAT JAYANTILAL PATEL
PAN:AAAPP6652R
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND STRUCTURED DEALS IN SCRIP OF ROOFIT INDUSTRIES LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) AND A(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF ROOFIT INDUSTRIES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 15-MAY-2012 TO 21-MAY-2012
24-APR-2012
|
SAT: SAT VIDE ITS ORDER DATED 20/11/2012 REDUCED THE PENALTY OF SUSPENSION OF REGISTRATION FOR A PERIOD OF ONE WEEK TO WARNING. NO ORDER AS TO COSTS
|
| 139 |
|
|
BHARTI THAKKAR INDIA SECURITIES PVT.LTD.
(PAN:AAACB6484C)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND CIRCULAR TRANSACTIONS AND REVERSAL OF TRADE TRANSACTONS IN SCRIP OF KRBL LTD.
DID NOT MAINTAINING 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 KRBL LTD.
|
IMPOSED PENALTY RS.5,00,000
25-AUG-2010
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
|
| 140 |
|
|
BHARTI THAKKAR INDIA SECURITIES PVT.LTD.
(PAN:AAACB6484C)
(Member : BSE)
|
|
|
DID NOT MAINTAIN 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 JINDAL POLYSTER LTD.
|
IMPOSED PENALTY RS.1,75,000
31-MAR-2010
|
|
| 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 7 of 39
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