| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1801 |
|
SHREEHARI HIRA STOCK BROKING PVT.LTD.
(PAN:AAJCS0518D)
(Member : BSE)
|
|
|
|
SHIVKUMAR HARIKISHAN BISSA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR/SYNCHRONIZED TRANSACTIONS IN SCRIP OF G.G.AUTOMOTIVE GEARS LTD.
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 IN MATTER OF G.G.AUTOMOTIVE GEARS LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 21-APR-2011 TO 20-MAY-2011
31-MAR-2011
|
|
| 1802 |
|
|
SHREEHARI HIRA STOCK BROKING PVT.LTD.
(PAN:AAJCS0518D)
(Member : BSE)
|
|
|
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 IN MATTER OF STOCKNET INTERNATIONAL LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 31-MAY-2012 TO 30-JUL-2012
10-MAY-2012
|
|
| 1803 |
|
|
SHREEKANT PHUMBHRA & CO.
(Member : CSE)
|
|
|
INDULGED IN OFF-MARKET TRANSACTIONS
INDULGED IN UNAUTHORISED FUND-BASED ACTIVITIES
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-JAN-2004 TO 06-JUL-2004
17-DEC-2003
|
|
| 1804 |
|
|
SHREEKUMAR & CO.
(Member : COCSE)
|
|
|
|
P.S.MENON
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-MAR-2007 TO 06-SEP-2007
07-MAR-2007
|
|
| 1805 |
|
|
SHREENATH KAPOOR,M/S
(Member : CSE)
|
|
|
|
SHREENATH KAPOOR
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010
SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010
07-DEC-2009
|
SAT: IMPUGNED ORDER DATED 07/12/2009 SET ASIDE AND REMITTED CASE TO RESPONDENT BOARD. DIRECTED CALCUTTA STOCK EXCHANGE TO RESTORE CERTIFICATE OF REGISTRATION, VIDE ORDER DATED 31/03/2010. NO ORDER AS TO COSTS
SEBI VIDE ORDER DATED 07/01/2015, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEES (AS ON THE DATED OF PAYMENT) ARE FULLY PAID
SEBI VIDE ITS ORDER DATED 26/06/2015 ORDERED TO REMIT THE AMOUNT OF RS.14, 40,283 INCLUDING INTEREST ACCURED FOR THE MONTH OF JUNE, 2015 AND RS.1,000 TOWARDS ADMINISTARTION CHARGES
SEBI VIDE ITS NOTICE DATED 15/07/2015 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 NOTICE DATED 04/08/2015 CLOSED RECOVERY CERTIFICATE AS ENTIRE DUES OF HAS BEEN RECOVERED TOWARDS FULL AND FINAL SETTLEMENT OF DUES
SAT: SAT VIDE ITS ORDER DATED 18/07/2017 ALLOWED THE APPEAL AND MISC APPLICATIONS TO BE WITHDRAWN WITH LIBERTY TO FILE FRESH APPEALS AND MISC.APPLICATIONS WITHIN A PERIOD OF SIX WEEKS FROM THE DATE OF THIS ORDER. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 07/05/2018 CONDONED THE DELAY OF 913 DAYS IN FILING OF APPEAL. APPEAL DISMISSED. NO COSTS
|
| 1806 |
|
|
SHRENIK J.SHAH,M/S
(Member : BSE)
|
|
|
|
SHRENIK J.SHAH
|
|
ISSUED FICTITIOUS CONTRACT NOTES
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-JAN-1999 TO 30-APR-1999
30-DEC-1998
|
|
| 1807 |
|
|
SHRENIK KUMARPAL JHAVERI,M/S
(Member : BSE)
|
|
|
|
SHRENIK KUMARPAL JHAVERI
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 1808 |
|
|
SHREYAS SECURITIES & FINANCE LTD.
(Member : MPSE)
|
|
|
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 11-FEB-1999 TO 10-AUG-1999
05-FEB-1999
|
|
| 1809 |
|
|
SHRI KRISHNA BHATTER,M/S
(Member : CSE)
|
|
|
|
SHRI KRISHNA BHATTER
|
|
DID NOT PAY FEES TO SEBI
|
SHOW CAUSE NOTICE ISSUED
SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-FEB-2010 TILL REGISTRATION FEE DEPOSITED
09-NOV-2009
|
SEBI VIDE ORDER DATED 03/02/2010, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEE IS FULLY PAID
|
| 1810 |
|
|
SHRI KUMAR BAGRI,M/S
(Member : CSE)
|
|
|
|
SHRI KUMAR BAGRI
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 1811 |
|
|
SHRIKANT G.MANTRI,M/S
(Member : BSE)
|
|
|
|
G.K.DAMANI
|
|
|
SHRIKANT G.MANTRI
|
|
AIDED AND ABETTED RAJESH N.JHAVERI AND MAHENDRA A.SHAH IN CREATION OF FALSE MARKET IN SCRIP OF SAWACA BUSINESS MACHINES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-OCT-2004 TO 26-JAN-2005
06-OCT-2004
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PERIOD OF SUSPENSION FROM 3 MONTHS TO ONE DAY
|
| 1812 |
|
|
SHRIKANT G.MANTRI,M/S
(Member : BSE)
|
|
|
|
SHRIKANT G.MANTRI
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF BPL LTD., VIDEOCON INTERNATIONAL LTD. AND STERLITE INDUSTRIES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 05-JUN-2014 TO 18-JUN-2014
15-MAY-2014
|
SAT: SAT VIDE ITS ORDER DATED 07/03/2016 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 15/05/2014 AND RESTORED THE MATTER TO FILE OF ATM TO PASS FRESH ORDERS ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
|
| 1813 |
|
|
SHRIKANT G.MANTRI,M/S
(Member : BSE)
|
|
|
|
SHRIKANT G.MANTRI
|
|
ACTED BEYOND MANDATE GIVEN BY NEDUNGADI BANK LTD.
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
ENGAGED IN TRANSACTIONS OTHER THAN ARBITRAGE TRANSACTIONS
ISSUED FICTITIOUS CONTRACT NOTES
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 14-JUL-2003 TO 13-JUL-2004
05-MAR-2004
|
|
| 1814 |
|
|
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
|
| 1815 |
|
|
SHRINE INVESTMENTS
(Member : PSE)
|
|
|
DEFAULTED IN VERIFYING FINANCIAL CAPABILITIES AND NET WORTH OF CLIENTS
DID NOT ISSUE CONTRACT NOTES
FAILED TO DELIVER SHARES TO CLIENTS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2006 TO 12-JAN-2007
08-DEC-2006
|
|
| 1816 |
|
|
SHRIPAL JAIN,M/S
(Member : BSE)
|
|
|
|
SHRIPAL B.JAIN
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PARO LEASING & FINANCE LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 15-JUL-1998 TO 14-AUG-1998
02-JUL-1998
|
|
| 1817 |
|
|
SHRUTI MOHTA,M/S
(Member : CSE)
|
|
|
|
SHRUTI MOHTA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF SPANCO TELESYSTEMS & SOLUTIONS LTD.
VIOLATED REGULATION 7 READ WITH CODE OF CONDUCT AS SPECIFIED IN SCHEDULE 11 OF STOCK BROKER REGULATION
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 19-APR-2007 TO 25-APR-2007
29-MAR-2007
|
|
| 1818 |
|
|
SHUBHA KARAN LOHIA,M/S
(Member : CSE)
|
|
|
|
SHUBHA KARAN LOHIA
|
|
DID NOT PAY FEES TO SEBI
|
SHOW CAUSE NOTICE ISSUED
SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-FEB-2010 TILL REGISTRATION FEE DEPOSITED
09-NOV-2009
|
SEBI VIDE ORDER DATED 03/02/2010, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEE IS FULLY PAID
|
| 1819 |
|
|
SHYAM MOHAN AGARWAL,M/S
(Member : UPSE)
|
|
|
|
SHYAM MOHAN AGARWAL
|
|
DID NOT PAY FEES TO SEBI
|
SHOW CAUSE NOTICE ISSUED
SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-FEB-2010 TILL REGISTRATION FEE DEPOSITED
09-NOV-2009
|
SEBI VIDE ORDER DATED 03/02/2010, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEE IS FULLY PAID
|
| 1820 |
|
|
SHYAM SUNDAR DALMIA,M/S
(Member : CSE)
|
|
|
|
SHYAM SUNDAR DALMIA
|
|
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
IRREGULARITIES IN REGISTRATION OF CLIENTS
EXECUTED MATCHING TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 26-DEC-2003 TO 25-MAR-2004
05-DEC-2003
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PERIOD OF SUSPENSION OF 3 MONTHS TO SIMPLE WARNING,APPEAL DISPOSED OF,NO ORDER AS TO COSTS
|
| 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 91 of 107
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