| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 141 |
|
ODYSSEY SECURITIES PVT.LTD.
(PAN:AABCO1366R)
(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 04/03/2016 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 17/02/2016 AND DIRECTED SEBI TO INITIATE PROCEEDINGS IN ACCORDANCE WITH LAW AND PASS ORDER AS IT DEEMED FIT. NO COSTS
SEBI VIDE ITS ORDER DATED 12/08/2016 BROUGHT ON RECORD THAT TRADING MEMBER HAVE VOLUNTARILY CLOSED THE BUSINESS AT BSE EQUITY DERIVATIVES SEGMENT W.E.F. 09/08/2016
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
|
| 142 |
|
|
ONELIFE CAPITAL ADVISORS LTD.
(PAN:AAACO9540L)
(Member : BSE)
|
|
|
|
A.P.SHUKLA
PAN:AECPS3296Q
|
|
|
DHANANJAY CHANDRAKANT PARIKH
PAN:ACTPP2402L
|
|
|
PANDOO PRABHAKAR NAIG
PAN:ACNPN2800J
|
|
|
T.S.RAGHAVAN
PAN:AAFPR1521A
|
|
|
THIRUVIDAIMARUDUR KRISHNA PRABHAKAR NAIG
PAN:ABIPN2653D
|
|
|
TUSHAR SHIRDHARANI
PAN:AAIPS0065M
|
|
MISUTILIZED ISSUE PROCEEDS
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
|
DIRECTED NOT TO ISSUE ANY EQUITY SHARES OR ANY INSTRUMENT CONVERTIBLE INTO EQUITY SHARES OR ALTER ITS CAPITAL STRUCTURE IN ANY MANNER FROM 28-DEC-2011 TILL FURTHER ORDERS
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 28-DEC-2011 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED COMPANY TO CALL BACK ICDS AND/OR OTHER AMOUNTS AND DEPOSIT THE SAME IN AN INTEREST BEARING ESCROW ACCOUNT
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
SAT: APPEAL DISPOSED OFF WITH NO ORDER AS TO COSTS
SEBI VIDE ITS ORDER DATED 15/02/2012 MODIFIED ITS EARLIER ORDER DATED 28/12/2011 BY ALLOWING TO DEAL IN SHARES FOR LIMITED PURPOSE OF FULFILLING THEIR EXISTING OBLIGATIONS OF UNDERWRITING FOR MINIMUM SUBSCRIPTION
SAT: SAT VIDE ITS ORDER DATED 25/06/2012 DIRECTED SEBI TO COMPLETE THE INVESTIGATIONS AS EXPEDITIOUSLY AS POSSIBLE AND IN ANY CASE BEFORE 31/10/2012. NO COSTS
SEBI VIDE ITS ORDER DATED 16/01/2013 CONFIRMED ITS DIRECTIONS ISSUED IN PARAGRAPHS 14.3, 14.4, 14.5, 14.6, 14.8 AND 14.9 OF EX-PARTE ORDER DATED 28/12/2011 READ WITH ORDER DATED 15/02/2012
SAT: DIRECTED SEBI TO ISSUE SHOW CAUSE NOTICE WITHIN FIVE WEEKS AND PASS FINAL ORDER WITHIN A PERIOD OF FOUR MONTHS FROM THE DATE OF THIS ORDER OTHERWISE INTERIM ORDER PASSED BY SEBI SHALL STAND VACATED
SEBI VIDE ITS ORDER DATED 30/08/2013 DIRECTED ONELIFE CAPITAL ADVISORS LTD. AND ITS MANAGING DIRECTOR MR. PANDOO P.NAIG 1.TO BRING JOINTLY AND SEVERALLY RS.35.25 CRORES I.E. DIVERTED IPO PROCEEDS INTO COMPANY FROM FINCARE, PRECISE AND KPT WITHIN SIX MONTHS FROM DATE OF THIS ORDER 2.DIRECTED ITS BOARD OF DIRECTORS TO ENSURE COMPLIANCE OF ABOVE DIRECTION AND SUBMIT A MONTHLY PROGRESS REPORT TO SEBI AND ALSO TO FURNISH TO SEBI A COMPLIANCE REPORT DULY CERTIFIED BY SEBI REGISTERED MERCHANT BANKER WITHIN TWO WEEKS OF COMPLIANCE OF ABOVE DIRECTION; 3.TO RESTRAINED AND PROHIBITED FROM ACCESSING SECURITIES MARKET AND ALSO PROHIBITED FROM BUYING, SELLING AND OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER, FOR A PERIOD OF 3 YEARS FROM DATE OF INTERIM ORDER
|
| 143 |
|
|
OPG SECURITIES PVT.LTD.
(PAN:AAACO1081C)
(Member : NSE)
|
|
|
|
AMAN KOKRADY
PAN:AKQPK3220N
|
|
|
OM PRAKASH GUPTA
PAN:AAHPG3048B
|
|
|
SANGEETA GUPTA
PAN:AAHPG6984C
|
|
GAINED ADVANTAGE BY CONSISTENTLY LOGGED IN FIRST ACROSS POP SERVERS ON ACCOUNT OF BEING AWARE OF THE WEAKNESS OF THE TCP/IP TBT SYSTEM ARCHITECTURE
TRIED TO CROWD OUT OTHER TRADING MEMBERS FROM TCP/IP TBT SYSTEM PLATFORM
GAINED UNFAIR ACCESS AND ADVANTAGE BY CONSISTENTLY LOGGING INTO SECONDARY POP SERVER FOR LARGE NUMBER OF DAYS VIOLATING CLAUSES A(1), A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF OPG SECURITIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-APR-2019 TO 29-APR-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-APR-2019 TO 29-APR-2024
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
DIRECTED TO DISGORGE RS.77,75,46,000 ALONG WITH OTHER ENTITIES/PERSONS
30-APR-2019
|
SEBI VIDE ITS ORDER DATED 03/05/2019 ALLOWED OPG SECURITIES PVT.LTD. AND ITS DIRECTORS TO CLOSE OPEN POSITIONS IN FUTURES AND OPTIONS AND CURRENCY DERIVATIVES SEGMENTS OF OPG SECURITIES PVT.LTD. ON OR BEFORE EXPIRY DATE OF RESPECTIVE CONTRACTS OR WITHIN TWO MONTHS FROM 30/04/2019 WHICHEVER IS EARLIER
SAT: SAT: SAT VIDE ITS ORDER DATED 06/05/2019 DIRECTED APPELLANT TO DEPOSIT RS.7.50 CRORES ON OR BEFORE 20/05/2019
SAT: SAT VIDE ITS ORDER DATED 20/05/2019 MODIFIED ITS ORDER DATED 06/05/2019 TO THE EXTENT THAT APPELLANTS MAY DEPOSIT RS.7.50 CRORES IN CASH OR IN THE FORM OF BANK GUARANTEE FROM NATIONALIZED BANK ON OR BEFORE 30/05/2019
SAT: SAT VIDE ITS ORDER DATED 23/01/2023 PARTLY ALLOWED THE APPEAL AND SET ASIDE DIRECTIONS TO DISGORGE RS.15.57 CRORE ALONG WITH INTEREST @12% P.A. FROM 07/04/2014 ONWARDS AND MATTER REMITTED TO WTM TO DECIDE THE QUANTUM OF DISGORGEMENT AFRESH WITHIN FOUR MONTHS FROM DATE OF THIS ORDER. IN ADDITION DIRECTED WTM TO CONSIDER THE CHARGE OF CONNIVANCE AND COLLUSION OF OPG SECURITIES LTD. AND ITS DIRECTORS WITH ANY EMPLOYEE/OFFICIALS OF NSE.
SAT: SAT VIDE ITS ORDER DATED 09/06/2023 ALLOWED THE APPLICATION AND DIRECTED WTM TO DECIDE THE MATTER AS PER SAT ORDER DATED 23/01/2023 WITHIN SIX MONTHS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 01/12/2023 DIRECTED RESPONDENT FURTHER FOUR MONTHS TO COMPLETE PROCEEDINGS
SAT: SAT VIDE ITS ORDER DATED 14/02/2024 ALLOWED RESPONDENT ONE WEEK TO FILE REPLY
SAT: SAT VIDE ITS ORDER DATED 26/02/2024 ALLOWED APPELLANT FIVE DAYS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 08/03/2024 DIRECTED SEBI TO GIVE FINAL OPPORTUNITY OF INSPECTION OF DOCUMENTS AND CROSS-EXAMINATION OF WITNESSES TO APPELLANTS. DIRECTED APPELLANTS TO APPEAR BEFORE WTM ON 15/03/2024 ON WHICH DATE THE APPELLANTS WILL BE PROVIDED FINAL OPPORTUNITY OF CROSS-EXAMINATION AND INSPECTION
SAT: SAT VIDE ITS ORDER DATED 15/03/2024 ACCEPTED PRAYER OF THE APPLICANT AND SCHEDULE LAID DOWN IS MODIFIED AS A) CROSS-EXAMINATION OF ORIGINAL APPELLANTS/OPG SECURITIES PVT.LTD. MAY TAKE PLACE FOR THREE HOURS EACH DAY UPTO SEVEN DAYS ON ANY DAYS BETWEEN 09/04/2024 TO 22/04/2024 B) FINAL HEARING BEFORE WTM MAY TAKE PLACE BETWEEN 01/05/2024 TO 10/05/2024 C) SEBI GIVEN TIME UPTO 30/06/2024 TO COMPLETE PROCEEDINGS INITIATED PURSUANT TO THE DIRECTION OF THIS TRIBUNAL IN PARA 266(G) TO (I) OF ORDER DATED 23/01/2023 IN APPEAL NO.184 OF 2019
SAT: SAT VIDE ITS ORDER DATED 24/06/2024 DISMISSED THE APPEAL. DIRECTED SEBI TO GRANT TWO DAYS TO APPELLANT TO COMPLETE THE SUBMISSIONS WITHIN OUTER LIMIT OF TWO WEEKS FROM DATE OF THIS ORDER. GRANTED APPELLANTS TWO WEEKS AFTER CONCLUSION OF HEARING TO FILE THEIR WRITTEN SUBMISSION AND SEBI TO PASS FINAL ORDER WITHIN EIGHT WEEKS THEREFROM
SAT: SAT VIDE ITS ORDER DATED 12/09/2024 DISMISSED THE APPEAL. NO COSTS
SEBI VIDE ITS ORDER DATED 13/09/2024 A) COMPLIANCE WITH THE ORDERS PASSED BY HON’BLE SAT DATED 23/01/2023, 09/06/2023, 01/12/2023, 08/03/2024, 15/03/2024, 15/05/2024 AND 24/06/2024 A) DIRECTED TO DISGORGE RS.8,525.46 LAC JOINTLY AND SEVERALLY ALONG WITH INTEREST @12% P.A. FROM 22/05/2015 TILL THE DATE OF PAYMENT B) IN CASE NOTICE HAVE DEPOSITED RS.7.5 CRORE WITH SEBI IN COMPLIANCE WITH DIRECTIONS OF HON’BLE SAT, TOTAL AMOUNT PAYABLE (EXCLUDING INTEREST) BY NOTICEES WILL BE RS.7,775.46 LAC (RS.8,525.46 LAC – RS.750 LAC). INTEREST TO BE CHARGED ON RS.7.50 CRORE FROM 22/05/2015 TO DATE OF DEPOSIT MADE WITH SEBI AND INTEREST ON THE REMAINING AMOUNT OF RS.7,775.46 LACS TO BE CHARGED FROM 22/05/2015 TILL DATE OF ITS PAYMENT
SEBI VIDE ITS NOTICE DATED 18/02/2025 DIRECTED TO PAY RS.173,18,01,280.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 30/06/2025 DIRECTED APPELLANT TO DEPOSIT ANOTHER SUM OF RS.2.50 CRORES AND ORDERED THAT THERE SHALL BE STAY OF RECOVERY OF DISGORGEMENT AMOUNT SUBJECT TO DEPOSIT OF RS.2.50 CRORE WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 02/07/2025 DIRECETD IF THE COMPANY IN APPEAL NO.696 OF 2024 DEPOSITS THE AMOUNT AS DIRECTED , BENEFIT OF INTERIM ORDER ALSO EXTEND TO THE APPELLANTS HEREIN
SAT: SAT VIDE ITS ORDER DATED 24/07/2025 GRANTED APPELLANT SIX WEEKS TO SELL SHARES IN DEMAT ACCOUNT AND DEPOSIT THE AMOUNT
|
| 144 |
|
|
OPULENT BROKING PVT.LTD.
(PAN:AAACO2790A)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF SUN INFOWAYS LTD.
DID NOT MAINTAIN 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 SUN INFOWAYS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-OCT-2011 TO 18-JAN-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-OCT-2011 TO 18-JAN-2012
19-OCT-2011
|
|
| 145 |
|
|
ORION BROKING SERVICES (INDIA) PVT.LTD.
(CIN:U67190TZ2010PTC015959
PAN:AABCO2694L)
(Member : MCX/NCDEX/NMCE/ACE/UCX)
|
|
|
|
CINZY JOHNSON
PAN:AHNPC5874A
|
|
|
JOHNSON PUTHIAPARAMBIL JOSE
PAN:AFZPJ2029Q
|
|
DID NOT ADHERE TO REQUIREMENTS AND CONDITIONS OF REGISTRATION VIOLATING REGULATION 9 READ WITH CLAUSES A(1),A(3),A(5) AND B(1) UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-AUG-2017 TO 28-AUG-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-AUG-2017 TO 28-AUG-2027
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 29-AUG-2017 TO 28-AUG-2027
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 29-AUG-2017 TO 28-AUG-2027
DIRECTED NOT TO ALIENATE ANY ASSETS IN ANY FORM TILL THE FULL SETTLEMENT OF CLAIMS OF INVESTORS ARE EFFECTED
18-MAR-2016
|
SEBI VIDE ITS ORDER DATED 29/08/2017 1) RESTRAINED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN WHATSOEVER MANNER FOR A PERIOD OF TEN YEARS FROM DATE OF THIS ORDER ) NOT TO ALIENATE ANY ASSETS IN ANY FORM TILL THE FULL SETTLEMENT OF CLAIMS OF INVESTORS ARE EFFECTED
|
| 146 |
|
|
ORION CAPITAL & DEBT MARKET
(PAN:AACFO9456G)
(Member : NSE/BSE/MCX)
|
|
|
|
CINZY JOHNSON
PAN:AHNPC5874A
|
|
|
JOHNSON PUTHIAPARAMBIL JOSE
PAN:AFZPJ2029Q
|
|
|
JOSEPH PUTHIAPARAMBIL CHACKO
PAN:AKUPJ0403G
|
|
DID NOT ADHERE TO REQUIREMENTS AND CONDITIONS OF REGISTRATION VIOLATING REGULATION 9 READ WITH CLAUSES A(1),A(3),A(5) AND B(1) UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-AUG-2017 TO 28-AUG-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-AUG-2017 TO 28-AUG-2027
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 29-AUG-2017 TO 28-AUG-2027
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 29-AUG-2017 TO 28-AUG-2027
DIRECTED NOT TO ALIENATE ANY ASSETS IN ANY FORM TILL THE FULL SETTLEMENT OF CLAIMS OF INVESTORS ARE EFFECTED
18-MAR-2016
|
SEBI VIDE ITS ORDER DATED 29/08/2017 1) RESTRAINED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN WHATSOEVER MANNER FOR A PERIOD OF TEN YEARS FROM DATE OF THIS ORDER ) NOT TO ALIENATE ANY ASSETS IN ANY FORM TILL THE FULL SETTLEMENT OF CLAIMS OF INVESTORS ARE EFFECTED
|
| 147 |
|
|
PARAGON INVESTMENTS PVT.LTD.
(Member : SKSE)
|
|
|
|
HEMRAJSINGH SURENDRASINGH VAGHELA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF TRADES IN SCRIP OF BAFFIN ENGINEERING PROJECTS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 07-APR-2010 TO 06-APR-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 07-APR-2010 TO 06-APR-2012
07-APR-2010
|
SAT: APPEAL DISMISSED AS WITHDRAWN
|
| 148 |
|
|
PARK LIGHT INVESTMENT PVT.LTD.
(Member : BSE)
|
|
|
|
RUPESHBHAI DEVENDRABHAI SHAH
|
|
|
UDAY H.VORA
PAN:AAMPV2972L
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-JAN-2007 TILL FURTHER ORDERS
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.11,64,054, (DISGORGEMENT AMOUNT RS.11,78,46,946,INTEREST RS.2,36,61,550 ALONG WITH OTHER ENTITIES/PERSONS) VIDE CONSENT ORDER)
20-APR-2009
|
AD INTERIM EX-PARTE ORDER DATED 17/01/2007 DISPOSED OFF, AS APPLICANT AGREED TO TRANSFER WITH OTHER APPLICANTS AN AMOUNT OF RS.11,78,46,946.00 WITHHELD BY BSE, AS PER SEBI ORDER DATED 17/01/2007, TOGETHER WITH INTEREST AND PAY RS.11,64,054.00 TOWARDS SETTLEMENT CHARGES SEPERATELY, AS PER CONSENT ORDER DATED 20/04/2009
|
| 149 |
|
|
PARK LIGHT INVESTMENT PVT.LTD.
(Member : BSE)
|
|
|
|
HASMUKHLAL N.VORA
|
|
|
RUPESHBHAI DEVENDRABHAI SHAH
|
|
|
UDAY H.VORA
PAN:AAMPV2972L
|
|
INDULGED IN CIRCULAR TRADING
CREATED ARTIFICIAL MARKET
INDULGED IN SYNCHRONIZED DEALS
EXECUTED FICTITIOUS TRANSACTIONS
INFLUENCED PRICE OF SCRIPS
POSSIBILITY OF INSIDER TRADING IN VIEW OF PRICE SENSITIVE INFORMATION BEING MADE AVAILABLE TO IT AS A RESULT OF ITS ASSOCIATION WITH THE COMPANIES
INVOLVED IN FLOATING BOGUS ENTITIES
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 29-JAN-2004 TILL FURTHER ORDER
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-JAN-2004 TILL FURTHER ORDER
29-JAN-2004
|
|
| 150 |
|
|
PARKLIGHT SECURITIES LTD.
(PAN:AABCP6609A)
(Member : ASE)
|
|
|
|
HITESHBHAI RAVINDRABHAI BHATT
|
|
|
RUPESHBHAI DEVENDRABHAI SHAH
|
|
INDULGED IN CIRCULAR TRADING
CREATED ARTIFICIAL MARKET
INDULGED IN SYNCHRONIZED DEALS
EXECUTED FICTITIOUS TRANSACTIONS
INFLUENCED PRICES OF SEVERAL COMPANIES
POSSIBILITY OF INSIDER TRADING IN VIEW OF PRICE SENSITIVE INFORMATION BEING MADE AVAILABLE TO IT AS A RESULT OF ITS ASSOCIATION WITH THE COMPANIES
INVOLVED IN FLOATING BOGUS ENTITIES
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 29-JAN-2004 TILL FURTHER ORDER
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-JAN-2004 TILL FURTHER ORDER
29-JAN-2004
|
|
| 151 |
|
|
PARSOLI CORP.LTD.
(PAN:AABCP9030F)
(Depository Participants : CDSL,Member : BSE/NSE)
|
|
|
|
A.HAMEED A.GAFFAR MEMON
|
|
|
ABDUL HAMEED ABDUL GAFFER MEMON
|
|
|
ABDULHAMED A.GAFFAR MEMON
|
|
|
ABDULSAMAD ABDUL GAFFER MEMON
|
|
|
AHMED ZAFAR SARESHWALA
|
|
|
AMENA MAKSUD KOTHAWALA
|
|
|
ASLAMKHAN REHMATKHAN PATHAN
|
|
|
ASMA UVES SARESHWALA
|
|
|
FATEMA MUKHTAR KOTHAWALA
|
|
|
FATEMA UVES SARESHWALA
|
|
|
GULAM RASOOL MOHIUDDIN BOMBAYWALA
|
|
|
HABIB ZAFAR SARESHWALA
PAN:BGKPS5329B
|
|
|
IFTEKHAR MOHAMMED YUSUF MANSOORI
|
|
|
KHADIJA ZAFAR SARESHWALA
|
|
|
MAKSUD YUSUFBHAI KOTHAWALA
|
|
|
MANSURI IFTEKHAR M.YUSUF
|
|
|
MARIAM YUSUF KOTHAWALA
|
|
|
MOHAMMED A.KOTHAWALA
|
|
|
MOHAMMED ALIBHAI KOTHAWALA
PAN:ADUPK0440R
|
|
|
MUKHTAR YUSUFBHAI KOTHAWALA
|
|
|
NASIR MALIK
|
|
|
QUDSIYA TALHA SARESHWALA
|
|
|
SALEHA MOHAMMED YUNUS SARESHWALA
|
|
|
SUMAIYA TALHA SARESHWALA
|
|
|
TALHA SARESHWALA
|
|
|
TALHA YUNUS SARESHWALA
PAN:ANRPS9287R
|
|
|
UMAR UVES SARESHWALA
PAN:BFQPS9169J
|
|
|
UVES MOHAMMED YUNUS SARESHWALA
DIN:00123493
PAN:AOFPS5856M
|
|
|
YUSUFBHAI UMARBHAI KOTHAWALA
|
|
|
ZAFAR YUNUS SARESHWALA
DIN:00123536
PAN:ANYPS8494D
|
|
INDULGED IN CONSPIRACY WITH REGISTRAR IN GETTING SHARES TRANSFERRED FRAUDULENTLY IN THEIR ACCOUNT IN MATTER OF PARSOLI CORP.LTD.
INDULGED IN CONSPIRACY WITH REGISTRAR IN DELAYING TRANSFER OF SHARES IN MATTER OF PARSOLI CORP.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-FEB-2009 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-FEB-2009 TILL FURTHER ORDERS
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 20-FEB-2009 TILL FURTHER ORDERS
DIRECTED TO REMOVE PINNACLE SHARES REGISTRY PVT.LTD. AS REGISTRAR AND TRANSFER AGENT AND APPOINT ANOTHER REGISTRAR AND TRANSFER AGENT WITHIN SIX MONTHS
DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FROM 20-FEB-2009 TILL FURTHER ORDERS
DIRECTED TO CONDUCT SECRETARIAL AUDIT TO IDENTIFY ACTUAL SHAREHOLDERS AND RECONCILE THEIR RECORDS
20-FEB-2009
|
SAT: APPEAL DISMISSED AS WITHDRAWN
SAT: DIRECTED SEBI TO CONCLUDE ENQUIRY PROCEEDINGS AT THE EARLIEST BUT NOT LATER THAN 31/07/2010, EVEN IF APPELLANT DOES NOT FILE ITS REPLY WITH NO ORDER AS TO COSTS
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 20/02/2009 SET ASIDE
|
| 152 |
|
|
PAWAN J.CHAUDHARY,M/S
(PAN:AABPC4327R)
(Member : BSE)
|
|
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PAWAN J.CHAUDHARY
PAN:AABPC4327R
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ACTED IN CONCERT TO CREATE ARTIFICIAL MARKET/PRICE IN SCRIP OF ELTROL LTD.
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DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-OCT-2005 TILL FURTHER ORDERS
05-OCT-2005
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DIRECTION ISSUED VIDE AD INTERIM EX-PARTE ORDER DATED 05/10/2005 REVOKED VIDE ORDER DATED 28/07/2010
|
| 153 |
|
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PENINSULAR CAPITAL MARKET LTD.
(Member : BSE/NSE)
|
|
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INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF IFSL LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-SEP-2005 TILL FURTHER ORDERS
28-SEP-2005
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CONFIRMED INTERIM ORDER DATED 28/09/2005
|
| 154 |
|
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PILOT CREDIT CAPITAL LTD.
(Member : BSE)
|
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ALLOWED JAY SHAH TO TRADE IN IFSL SHARES DESPITE SEBI'S ORDER
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-OCT-2005 TILL FURTHER ORDERS
24-OCT-2005
|
|
| 155 |
|
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PIYALI TRADING PVT.LTD.
(PAN:AABCR1604D)
(Member : NCDEX)
|
|
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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
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DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-MAR-2016 TILL FURTHER ORDERS
02-MAR-2016
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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
|
| 156 |
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PRABHAT & CO.
(Member : UPSE)
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VIMAL KUMAR SHARMA
|
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EXECUTED STRUCTURED/SYNCHRONIZED DEALS IN SCRIP OF VATSA MUSIC LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-JAN-2009 TO 08-JAN-2011
09-JAN-2009
|
|
| 157 |
|
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PRADEEP KUMAR BANSAL,M/S
(Member : UPSE/CSE/ICSE)
|
|
|
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PRADEEP KUMAR BANSAL
|
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INDULGED IN OFF-THE-FLOOR TRANSACTIONS
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-JUL-2003 TILL COMPLETION OF INSPECTION
23-JUL-2003
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CONFIRMED PROHIBITION ORDER DATED 23/07/2003
|
| 158 |
|
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PREMA PODDAR,M/S
(Member : CSE)
|
|
|
|
PREMA PODDAR
|
|
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-OCT-2002 TILL THE COMPLETION OF INVESTIGATION
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-OCT-2002 TILL THE COMPLETION OF INVESTIGATION
18-OCT-2002
|
|
| 159 |
|
|
R.K.STOCK HOLDING PVT.LTD.
(PAN:AACCR0011K)
(Member : BSE)
|
|
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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
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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
|
| 160 |
|
|
RAGAVI INVESTMENTS
(Member : CMBSE)
|
|
|
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M.JAYAKUMAR
|
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MANIPULATION IN BUYING, SELLING AND DEALINGS IN SCRIP OF JINDAL IRON & STEEL CO.LTD. IN COLLUSION WITH WELDEAL SHARES PVT.LTD.
EXECUTED FRAUDULENT TRANSACTIONS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-JAN-2003 TO 10-JAN-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-JAN-2003 TO 10-JAN-2005
11-JAN-2003
|
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| 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 8 of 12
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