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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.

STOCK BROKERS: DID NOT REPORT OFF-THE-FLOOR/SPOT TRANSACTIONS TO EXCHANGE

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person KEDAR NATH AGRAWAL,M/S

(Member : NSE)  
Click here to view complete history of this specific entity/person KEDAR NATH AGRAWAL
  		DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

INDULGED IN EVASION OF MARGIN MONEY

DID NOT REPORT SPOT TRANSACTIONS TO THE EXCHANGE

PERMITTED TRADING TERMINALS AT UNAUTHORISED LOCATIONS

ALLOWED TERMINAL TO UNAUTHORISED USERS

DID NOT FRAME CODE OF INTERNAL PROCEDURES AND CONDUCT FOR PREVENTION OF INSIDER TRADING   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 08-DEC-2009 TO 27-DEC-2009

18-NOV-2009

REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.32,00,000, LEGAL EXPENSES RS.1,50,000 VIDE CONSENT ORDER)

24-SEP-2010 		SAT: IMPUGNED ORDER DATED 18/11/2009 SET ASIDE AS APPELLANT HAS PAID RS.32,00,000 TOWARDS SETTLEMENT CHARGES AND RS.1,50,000 TOWARDS LEGAL EXPENSES, AS PER CONSENT ORDER  
2
History of entity/person PRADEEP KUMAR BANSAL,M/S

(Member : UPSE/CSE/ICSE)  
Click here to view complete history of this specific entity/person PRADEEP KUMAR BANSAL
  		EXECUTED SINGLE TRADES AT EXCHANGE TO ASCERTAIN PRICES FOR EXECUTING BULK ORDERS ILLEGALLY OUTSIDE THE EXCHANGE MECHANISM

DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE

DID NOT FURNISH CORRECT INFORMATION TO INSPECTING TEAM REGARDING BANK ACCOUNTS

INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF AURANGABAD CRYOGENICS LTD. (NOW KNOWN AS BANSAL NATUREVEST LTD.)

DEFICIENCIES IN MEMBER-CLIENT AGREEMENTS

DEFICIENCIES IN REGISTRATION FORMS

DID NOT ISSUE CONTRACT NOTES

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DID NOT MAKE PAYMENTS TO CLIENTS IN TIME

DID NOT COLLECT MARGINS FROM CLIENTS

DID NOT RECORD TIME OF PLACEMENT OF ORDERS ON CONTRACT NOTES

DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER

DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK

EXECUTED TRADES FOR CLIENTS THROUGH PROPRIETARY ACCOUNT TO EVADE COLLECTION OF MARGINS   		CANCELLED REGISTRATION AS STOCK BROKER FROM 23-JUL-2003 TO 22-JUL-2008

28-JUN-2006

REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,00,000, LEGAL EXPENSES RS.2,50,000 VIDE CONSENT ORDER)

REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER) FROM 23-JUL-2003 TO 22-JUL-2008

09-JUN-2008 		SAT: APPLICANT AGREED TO PAY A SUM OF RS.25,00,000 TOWARDS SETTLEMENT CHARGES AND RS.2,50,000 TOWARDS LEGAL EXPENSES AS PER CONSENT ORDER DATED 09/06/2008 AND VOLUNTARILY UNDERTAKEN TO REMAIN SUSPENDED FOR A PERIOD OF 5 YEARS COMMENCING FROM 23/07/2003. ORDER DATED 28/06/2006 SET ASIDE  
3
History of entity/person SHRIKANT G.MANTRI,M/S

(Member : BSE)  
Click here to view complete history of this specific entity/person SHRIKANT G.MANTRI
  		ALLEGED NON-MAINTENANCE OF CONSENT OF CLIENTS IN RESPECT OF CONTRACTS

ALLEGED FAILURE IN ISSUANCE OF CONTRACT NOTES

ALLEGED DELAY IN ISSUANCE OF CONTRACT NOTES

ALLEGED FAILURE TO REPORT OFF-THE-FLOOR TRANSACTIONS

ALLEGED NON-SEGREGATION OF CLIENTS ACCOUNT

ALLEGED FAILURE IN MAINTENANCE OF CERTAIN BOOKS OF ACCOUNTS AND RECORDS SUCH AS ORDER BOOK, MARGIN DEPOSIT BOOK, REGISTER OF ACCOUNT OF SUB BROKER   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)

05-FEB-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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