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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.

PERSONS: VIOLATED CODE OF CONDUCT

S.No. PERSON ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person ADOLF PATRICK PINTO  
  ALLEGED INDULGENCE IN SYNCHRONIZED, CIRCULAR/REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF KRBL LTD.

ALLEGED FAILURE IN MAINTENANCE OF 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 KRBL LTD.   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)

28-JAN-2010 		 
2
History of entity/person CHANDRA KUMAR SARAWGI  
  ALLEGED VIOLATION OF REGULATIONS 3, 4(1), 4(2)(A),(B),(G) AND (N) OF SEBI (PROHIBITION OF FRAUDULENT AND UNFAIR TRADE PRACTICES) REGULATIONS, 2003   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.20,000 VIDE CONSENT ORDER)

12-NOV-2008 		 
3
History of entity/person RAJSHRI SARAWGI  
  ALLEGED VIOLATION OF REGULATIONS 3, 4(1), 4(2)(A),(B),(G) AND (N) OF SEBI (PROHIBITION OF FRAUDULENT AND UNFAIR TRADE PRACTICES) REGULATIONS, 2003   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,000 VIDE CONSENT ORDER)

12-NOV-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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