| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
AMIT BUSINESS LTD.
|
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
|
CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS FROM 18-JUN-2007 TILL FURTHER ORDERS
18-JUN-2007
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.7,50,000 VIDE CONSENT ORDER)
23-OCT-2009
|
AD-INTERIM EX-PARTE ORDER DATED 18/06/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.7,50,000 TOWARDS SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 23/10/2009
|
| 2 |
|
|
KASAM HOLDINGS PVT.LTD.
|
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
|
CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS FROM 18-JUN-2007 TILL FURTHER ORDERS
18-JUN-2007
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
20-FEB-2009
|
AD-INTERIM EX PARTE ORDER DATED 18/06/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.10,00,000.00 TOWARDS SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 20/02/2009
|
| 3 |
|
|
MANU VYAPAAR PVT.LTD.
|
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
|
CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS FROM 18-JUN-2007 TILL FURTHER ORDERS
18-JUN-2007
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.7,50,000 VIDE CONSENT ORDER)
23-OCT-2009
|
AD-INTERIM EX-PARTE ORDER DATED 18/06/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.7,50,000 TOWARDS SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 23/10/2009
|
| 4 |
|
|
RAJ CORP.LTD.
|
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
|
CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS FROM 18-JUN-2007 TILL FURTHER ORDERS
18-JUN-2007
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.7,50,000 VIDE CONSENT ORDER)
22-DEC-2008
|
AD-INTERIM EX-PARTE ORDER DATED 18/06/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.7,50,000 TOWARDS SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 22/12/2008
|
| 5 |
|
|
RAKHI TRADING PVT.LTD.
|
|
|
INDULGED IN SYNCHRONIZED/MATCHED/REVERSAL TRANSACTIONS IN F&O SEGMENT OF NATIONAL STOCK EXCHANGE
|
IMPOSED PENALTY RS.1,08,00,000
26-MAR-2009
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 26/03/2009 SET ASIDE WITH NO ORDER AS TO COSTS
SAT: SAT VIDE ITS ORDER DATED 13/01/2020 REJECTED CONDONATION OF DELAY IN FILING OF APPEAL AND DISMISSED THE APPEAL. NO COSTS
SEBI VIDE ITS NOTICE DATED 14/12/2018 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1.ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) 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 ORDER DATED 20/05/2021 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 14/12/2018
|
| 6 |
|
|
RAKHI TRADING PVT.LTD.
|
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
|
CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS FROM 18-JUN-2007 TILL FURTHER ORDERS
18-JUN-2007
|
|
| 7 |
|
|
TLB SECURITIES PVT.LTD.
|
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
|
IMPOSED PENALTY RS.10,00,000
16-MAR-2009
|
|
| 8 |
|
|
TLB SECURITIES PVT.LTD.
|
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
|
CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS FROM 18-JUN-2007 TILL FURTHER ORDERS
18-JUN-2007
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 18/06/2007 SET ASIDE WITH NO ORDER AS TO COSTS
|
| 9 |
|
|
TUNGARLI TRADEPLACE PVT.LTD.
|
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
|
CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS FROM 18-JUN-2007 TILL FURTHER ORDERS
18-JUN-2007
|
|
| 10 |
|
|
TUNGARLI TRADEPLACE PVT.LTD.
|
|
|
INDULGED IN SYNCHRONIZED/MATCHED/REVERSAL TRANSACTIONS IN F&O SEGMENT OF NATIONAL STOCK EXCHANGE
|
IMPOSED PENALTY RS.64,52,000
30-APR-2010
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 30/04/2010 SET ASIDE WITH 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. |
