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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 07-AUG-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.

DEPOSITORY PARTICIPANTS: MANIPULATED MARKET AND/OR INDULGED IN UNFAIR TRADE PRACTICES

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person ACTION FINANCIAL SERVICES (INDIA) LTD.

(PAN:AAACA4423G)

(Depository Participants : NSDL,Member : BSE/NSE/BGSE)  
  ALLEGED INDULGENCE IN MANIPULATIVE TRANSACTIONS IN SCRIP OF G.G.AUTOMOTIVE GEARS LTD.   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,00,000 VIDE CONSENT ORDER)

10-NOV-2009 		 
2
History of entity/person INVENTURE GROWTH & SECURITIES LTD.

(PAN:AAACI2044K)

(Depository Participants : CDSL,Member : BSE/NSE)  
  ALLEGED INDULGENCE IN MANIPULATIVE TRANSACTIONS IN SCRIP OF G.G.AUTOMOTIVE GEARS LTD.   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,00,000 VIDE CONSENT ORDER)

07-JUN-2010 		 
3
History of entity/person MAHESHWARI TECHNICAL & FINANCIAL SERVICES LTD.

(Member : NSE,Depository Participants : NSDL)  
  DEALT WITH UN-REGISTERED SUB-BROKERS

ALLEGED INDULGENCE IN MARKET MANIPULATION AND PRICE MANIPULATION THROUGH CROSS, STRUCTURED AND SYNCHRONIZED DEALS IN SCRIP OF SHAMKEN MULTIFAB LTD.

ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(2) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SHAMKEN MULTIFAB LTD.   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.20,00,000 VIDE CONSENT ORDER)

12-AUG-2010 		 
4
History of entity/person PRABHUDAS LILLADHER PVT.LTD.

(PAN:AAACP2733Q)

(Depository Participants : CDSL,Member : NSE/BSE)  
  ALLEGED INDULGENCE IN CREATION OF MISLEADING APPEARANCE OF TRADING THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF DSQ SOFTWARE LTD. AND DSQ BIOTECH LTD.

ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE AND DILIGENCE WHILE DEALING IN SECURITIES MARKET   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,05,00,000 VIDE CONSENT ORDER)

16-FEB-2009 		 
5
History of entity/person SMIFS SECURITIES LTD.

(Depository Participants : CDSL)  
  ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SOUTH EAST ASIA MARINE ENGINEERING & CONSTRUCTIONS LTD.   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.30,00,000 VIDE CONSENT ORDER)

07-MAR-2011 		 
6
History of entity/person VENTURA SECURITIES LTD.

(PAN:AAACV1361J)

(Depository Participants : NSDL,Member : BSE/NSE/OTC)  
  ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF JAGSONPAL PHARMACEUTICALS LTD.   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)

29-DEC-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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