| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 161 |
|
ISJ SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKETS BY SYNCHRONIZED TRADES AND PRICE MANIPULATION IN SCRIP OF KARUNA CABLES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,000 VIDE CONSENT ORDER)
08-OCT-2008
|
|
| 162 |
|
|
ISJ SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF PEACOCK INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
09-MAR-2010
|
|
| 163 |
|
|
ISJ SHARE & STOCK BROKERS PVT.LTD.
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF PEACOCK INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.8,00,000 VIDE CONSENT ORDER)
09-MAR-2010
|
|
| 164 |
|
|
ITI FINANCIAL SERVICES LTD.
(PAN:AAACI8316C)
(Member : NSE/BSE)
|
|
|
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
16-MAR-2009
|
|
| 165 |
|
|
ITI FINANCIAL SERVICES LTD.
(PAN:AAACI8316C)
(Member : NSE/MCX/BSE)
|
|
|
ALLEGED FAILURE IN SETTLEMENT OF FUND OF ALL CLIENTS AT LEAST ONCE IN A CALENDER QUARTER OR MONTH
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.42,90,000 VIDE CONSENT ORDER)
21-MAR-2017
|
|
| 166 |
|
|
JAI SHAREFIN LTD.
(Member : ASE)
|
|
|
ALLEGED INDULGENCE IN MANIPULATION IN SCRIPS OF HINDUSTAN CONTINENTAL LTD. AND PRIYANS SAREE INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 15-OCT-2009 TO 14-OCT-2011
09-OCT-2009
|
|
| 167 |
|
|
JAICO SECURITIES PVT.LTD.
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIPS OF JINDAL STAINLESS LTD.,BSEL INFRASTRUCTURE REALTY LTD. ,MAHARASHTRA SEAMLESS LTD.AND COSMO FILMS LTD.
ALLEGED INDULGENCE IN VIOLATION OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF JINDAL STAINLESS LTD.,BSEL INFRASTRUCTURE REALTY LTD. ,MAHARASHTRA SEAMLESS LTD.AND COSMO FILMS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.20,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER) FROM 26-OCT-2009 TO 25-DEC-2009
23-OCT-2009
|
|
| 168 |
|
|
JAINAM SHARE CONSULTANTS PVT.LTD.
(PAN:AABCJ3918N)
(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
|
|
| 169 |
|
|
JAS-ONE SECURITIES PVT.LTD.
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF MIRC ELECTRONICS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
13-MAY-2010
|
|
| 170 |
|
|
JAYANTILAL KHANDWALA & SONS PVT.LTD.
(PAN:AAACJ9403D)
(Member : BSE)
|
|
|
ALLEGED NON-SEGREGATION OF CLIENTS ACCOUNT
ALLEGED MAINTENANCE OF ACCOUNT WITHOUT CONSENT OF CLIENTS AND TRANSFER OF FUNDS FROM ACCOUNT OF ONE CLIENT TO ANOTHER
ALLEGED PERMITTING CLIENTS TO TRADE WITHOUT OBTAINING MARGINS
ALLEGED DELAY IN REDRESSAL OF COMPLAINTS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
30-SEP-2008
|
|
| 171 |
|
|
JAYSUKHLAL JAGJIVAN STOCK BROKING PVT.LTD.
(Member : BSE)
|
|
|
|
NITIN JAYSUKHLAL DOSHI
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF INDUSTRIAL & PRUDENTIAL INVESTMENT CO.LTD.
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGENCE 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 INDUSTRIAL & PRUDENTIAL INVESTMENT CO.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,93,457 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
31-AUG-2009
|
|
| 172 |
|
|
JBS SECURITIES PVT.LTD.
(PAN:AAACJ5485F)
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET BY STRUCTURED DEALS IN SCRIP OF ADANI EXPORTS LTD.
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE AND DILIGENCE WHILE TRADING IN SCRIP OF ADANI EXPORTS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,00,000 VIDE CONSENT ORDER)
08-OCT-2008
|
|
| 173 |
|
|
JCL SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING IN SCRIP OF SUN INFOWAY LTD.
ALLEGED INDULGENCE IN MATCHED TRADES AND CROSS DEALS IN SCRIP OF SUN INFOWAYS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,50,000 VIDE CONSENT ORDER)
20-APR-2009
|
|
| 174 |
|
|
JCP SHARES & SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN CASE OF ASIAN CERC INFORMATION TECHNOLOGIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
10-OCT-2008
|
|
| 175 |
|
|
JCP SHARES & SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
17-FEB-2009
|
|
| 176 |
|
|
JHAVERI SECURITIES LTD.
(PAN:AAACJ4727A)
(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.6,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 177 |
|
|
JM FINANCIAL SERVICES LTD.
(PAN:AAACJ5977A)
(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
|
|
| 178 |
|
|
JMP SECURITIES PVT.LTD.
(PAN:AAACJ8850C)
(Member : BSE/NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH SELF-TRADES IN SCRIP OF VERTEX SPINNING LTD.
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 7 READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF VERTEX SPINNING LTD.
|
IMPOSED PENALTY RS.25,00,000
31-JAN-2018
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.39,73,750 VIDE CONSENT ORDER)
16-JAN-2019
|
SAT: SAT VIDE ITS ORDER DATED 07/12/2018 CONDONED THE DELAY OF 21 DAYS IN FILING OF APPEAL. APPEAL AND MISC.APPLICATION DISPOSED OFF IN TERMS OF SETTLEMENT. NO COSTS
SEBI VIDE ITS CONSENT ORDER DATED 16/01/2019 DISPOSED OFF THE CASE AS THE APPLICANT HAS PAID RS.39,73,750.00 VIDE DEMAND DRAFT NO 048121 DATED 30/11/2018 TOWARDS SETTLEMENT CHARGES
|
| 179 |
|
|
JMP SECURITIES PVT.LTD.
(PAN:AAACJ8850C)
(Member : BSE)
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ALLEGED FAILURE IN COLLECTION OF ADEQUATE MARGIN
DID NOT REFUND MONEY COLLECTED UNDER CIS
ALLEGED FAILURE IN SEGREGATING CLIENTS FUNDS AND SECURITIES
ALLEGED MISUTILISATION OF CLIENTS FUNDS
ALLEGED DELAY IN DELIVERY OF SECURITIES WITHIN STIPULATED TIME
ALLEGED NON-COMPLIANCE OF REQUIREMENTS OF UNIQUE CLIENT CODE
ALLEGED DISCREPANCIES IN MAINTENANCE OF CLIENT REGISTRATION FORMS & CLIENT AGREEMENT
ALLEGED FAILURE IN ENTERING INTO SEPARATE AGREEMENTS WITH JOBBERS
ALLEGED FAILURE IN EXECUTING AGREEMENTS ON STAMP PAPER
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.8,50,000 VIDE CONSENT ORDER)
28-JUL-2010
|
|
| 180 |
|
|
JOINDRE CAPITAL SERVICES LTD.
(PAN:AAACJ1480E)
(Member : BSE/BGSE/COCSE/CMBSE/NSE/SKSE/VSE/ICSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR TRADES IN SCRIP OF PARSOLI CORP.LTD.
ALLEGED FAILURE IN MAINTENANCE OF 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 PARSOLI CORP.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,00,000 VIDE CONSENT ORDER)
08-MAR-2011
|
|
| 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 9 of 22
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