| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
A.P.SHUKLA
(PAN:AECPS3296Q)
|
|
|
|
ONELIFE CAPITAL ADVISORS LTD.
PAN:AAACO9540L
(Member : BSE)
|
|
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
SAT: APPEAL DISPOSED OFF WITH NO ORDER AS TO COSTS
SAT: SAT VIDE ITS ORDER DATED 25/06/2012 DIRECTED SEBI TO COMPLETE THE INVESTIGATIONS AS EXPEDITIOUSLY AS POSSIBLE AND IN ANY CASE BEFORE 31/10/2012. NO COSTS
SEBI VIDE ITS ORDER DATED 16/01/2013 CONFIRMED ITS DIRECTIONS ISSUED IN PARAGRAPHS 14.3, 14.4, 14.5, 14.6, 14.8 AND 14.9 OF EX-PARTE ORDER DATED 28/12/2011 READ WITH ORDER DATED 15/02/2012
SAT: SAT VIDE ITS ORDER DATED 24/01/2013 PERMITTED TO SELL THE SHARES IN THEIR RESPECTIVE DEMAT ACCOUNTS AND KEPT SALE PROCEEDS IN FIXED DEPOSIT WITH NATIONALIZED BANK
SEBI VIDE ITS ORDER DATED 30/08/2013 DIRECTED MR. T.K.P.NAIG, MR. D.C.PARIKH, MR. A.P.SHUKLA, MR. T.S.RAGHAVAN AND MR. T.SHIRDHARANI NOT TAKE UP ANY ASSIGNMENTS AS DIRECTORS IN ANY COMPANY FOR A PERIOD OF ONE YEAR FROM DATE OF THIS ORDER
|
| 2 |
|
|
AMAR NATH SINGH
(PAN:AMBPS7345H)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PG ELECTROPLAST LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 31/10/2012 REVOKED INTERIM DIRECTIONS ISSUED
VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
|
| 3 |
|
|
AMIT AGARWAL
(PAN:AEXPA2254F)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PG ELECTROPLAST LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 31/10/2012 REVOKED INTERIM DIRECTIONS ISSUED
VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
|
| 4 |
|
|
AMIT AGARWAL
|
|
|
|
ETL INFRASTRUCTURE FINANCE LTD.
PAN:AAACE5567B
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PG ELECTROPLAST LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 31/10/2012 REVOKED INTERIM DIRECTIONS ISSUED
VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
|
| 5 |
|
|
ANIL KAPOOR
|
|
|
|
BHARATIYA GLOBAL INFOMEDIA LTD.
CIN:L74999DL1994PLC062967
PAN:AABCB8175B
|
|
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 05/10/2012 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS EX-PARTE AD INTERIM ORDER DATED 28/12/2011
SEBI VIDE ITS ORDER DATED 07/05/2013 REVOKED ITS DIRECTIONS ISSUED VIDE ITS EARLIER AD INTERIM EX-PARTE ORDER DATED 28/12/2011 AND CONFIRMATION ORDER DATED 05/10/2012 WITH IMMEDIATE EFFECT
|
| 6 |
|
|
ANIL SHARMA
(DIN:01580795
PAN:BFYPS4464N)
|
|
|
|
ROSE VALLEY MERCHANDISE PVT.LTD.
CIN:U51909WB2009PTC134038
PAN:AAECR3349C
|
|
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 26/04/2013 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 28/12/2011
|
| 7 |
|
|
ANUP KUMAR SHARMA
(PAN:BLEPS0813B)
|
|
|
|
OVERALL FINANCIAL CONSULTANTS PVT.LTD.
CIN:U65990WB2009PTC134216
PAN:AABCO1577E
|
|
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 26/04/2013 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 28/12/2011
|
| 8 |
|
|
ANURAG GUPTA
(PAN:AAHPG5647E)
|
|
|
|
PG ELECTROPLAST LTD.
PAN:AACCP9321Q
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PG ELECTROPLAST LTD.
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
INTERIM DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011 SHALL CONTINUE TILL FURTHER DIRECTIONS AS PER SEBI ORDER DATED 31/10/2012
SEBI VIDE ITS ORDER DATED 11/03/2014 1.PROHIBITED PG ELECTROPLAST LTD. AND ITS PROMOTER DIRECTORS FROM RAISING ANY FURTHER CAPITAL FROM SECURITIES MARKET IN ANY MANNER WHATSOEVER, FOR A PERIOD OF TEN YEARS 2. PROHIBITED PG ELECTROPLAST LTD. AND ITS PROMOTER DIRECTORS FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF TEN YEARS 3. PERIOD OF PROHIBITION ALREADY UNDERGONE PURSUANT TO INTERIM ORDER DATED DECEMBER 28, 2011, SHALL BE TAKEN INTO ACCOUNT FOR PURPOSE OF COMPUTING PERIOD OF PROHIBITION IMPOSED IN THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 30/08/2016 REDUCED PERIOD OF THE DEBARMENT TO SEVEN YEARS FROM TEN YEARS. FURTHER, AS FAR AS THE MONEY LYING IN THE ESCROW ACCOUNT IS CONCERNED, APPELLANT SHALL BE AT LIBERTY TO USE FOR THE OBJECTS OF THE IPO AS PER LAW. THE IMPUGNED ORDER IS, THEREFORE, MODIFIED TO THE SPECIFIED EXTENT AND THE APPEAL IS DISPOSED OFF. NO COSTS
|
| 9 |
|
|
APARNA BANERJEE
(PAN:ALBPB0397F)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PG ELECTROPLAST LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 31/10/2012 REVOKED INTERIM DIRECTIONS ISSUED
VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
|
| 10 |
|
|
ARTI BHATIA
(PAN:AFCPB5056J)
|
|
|
|
BHARATIYA GLOBAL INFOMEDIA LTD.
CIN:L74999DL1994PLC062967
PAN:AABCB8175B
|
|
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 05/10/2012 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS EX-PARTE AD INTERIM ORDER DATED 28/12/2011
SEBI VIDE ITS ORDER DATED 07/05/2013 REVOKED ITS DIRECTIONS ISSUED VIDE ITS EARLIER AD INTERIM EX-PARTE ORDER DATED 28/12/2011 AND CONFIRMATION ORDER DATED 05/10/2012 WITH IMMEDIATE EFFECT
SAT: SAT VIDE ITS ORDER DATED 04/09/2024 GRANTED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 17/10/2024 GRANTED RESPONDENT THREE WEEKS TO FILE REPLY. REJOINDER, IF ANY, TO BE FILED WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 25/11/2024 GRANTED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 11 |
|
|
ARUN KUMAR BALAKRISHNAN CHAMMINCHERI
(PAN:AHBPC3244Q)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PG ELECTROPLAST LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 31/10/2012 REVOKED INTERIM DIRECTIONS ISSUED
VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
|
| 12 |
|
|
ARUNA CHUDAMAN UMREDKAR
(PAN:AAIPU7781L)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PG ELECTROPLAST LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 31/10/2012 REVOKED INTERIM DIRECTIONS ISSUED
VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
|
| 13 |
|
|
ASHOK KUMAR JAIN
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR TRADES, SYNCHRONIZED TRADES AND OFF-MARKET TRANSACTIONS IN SCRIPS OF CALS REFINERIES LTD.,CONFIDENCE PETROLEUM INDIA LTD.,BANG OVERSEAS LTD.,SHREE PRECOATED STEELS LTD. AND TEMPTATION FOODS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 04-JUN-2009 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-JUN-2009 TILL FURTHER ORDERS
DIRECTED BSE TO EXAMINE DEALINGS OF CHIMANLAL MANEKLAL SECURITIES PVT.LTD. IN SCRIP OF CALS REFINERIES LTD.
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
MATTER REFERRED TO INCOME TAX DEPARTMENT TO LOOK INTO POSSIBLE ALTERNATIVE PAY-OFFS OUTSIDE SECURITES MARKET
04-JUN-2009
|
DIRECTED STOCK EXCHANGES TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING POSITIONS IN F&O SEGMENT AND NOT TO CREATE FRESH POSITIONS FOR CONNECTED CLIENTS. FURTHER DIRECTED NSE TO WITHHOLD PROFIT ARISING OUT OF SQUARING OFF THESE POSITIONS VIDE ORDER DATED 05/06/2009
AD-INTERIM EX-PARTE ORDER DATED 04/06/2009 CONFIRMED, VIDE ORDER DATED 10/03/2010
SEBI VIDE ITS ORDER DATE 07/09/2012 DISCOUNTINUED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDERS DATED 04/06/2009 AND 10/03/2010
|
| 14 |
|
|
ATUL RANCHAL
(PAN:ADMPR5359L)
|
|
|
|
BROOKS LABORATORIES LTD.
PAN:AACCB5316P
|
|
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-DEC-2011 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 09/07/2013 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011 TILL FURTHER ORDERS FROM SEBI
SAT: SAT VIDE ITS ORDER DATED 01/03/2017 DISPOSED OFF THE APPEAL, AS THE SAME HAS BECOME INFRUCTUOUS. NO COSTS
|
| 15 |
|
|
AVINASH JAJOO
(PAN:ACVPJ4002G)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PG ELECTROPLAST LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 31/10/2012 REVOKED INTERIM DIRECTIONS ISSUED
VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
|
| 16 |
|
|
AWANISH SINGH
(PAN:BYOPS3032F)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PG ELECTROPLAST LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 31/10/2012 REVOKED INTERIM DIRECTIONS ISSUED
VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
|
| 17 |
|
|
BABLU SHAW
(PAN:CDUPS3949H)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PG ELECTROPLAST LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 31/10/2012 REVOKED INTERIM DIRECTIONS ISSUED
VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
|
| 18 |
|
|
BHARAT BACHUBHAI MERCHANT
|
|
|
|
NIMBUS INDUSTRIES LTD.
CIN:L99999MH1975PLC018079
PAN:AAACN2708B
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PG ELECTROPLAST LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
SAT: APPEAL DISPOSED OFF WITH A DIRECTION TO THE BOARD TO PASS A FINAL ORDER WITHIN THREE WEEKS FROM THE DATE OF THIS ORDER. NO COSTS
SEBI VIDE ITS ORDER DATED 03/09/2012 CONFIRMED DIRECTIONS ISSUED VIDE ITS EARLIER AD INTERIM EX-PARTE ORDER DATED 28/12/2011
SEBI VIDE ITS ORDER DATED 31/10/2012 REVOKED INTERIM DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
SAT: APPEAL ALLOWED TO BE WITHDRAWN WITH NO ORDER AS TO COSTS
|
| 19 |
|
|
BHAVESH NATWARLAL SHETH
(PAN:AHGPS8751A)
|
|
|
|
ALFA FISCAL SERVICES PVT.LTD.
PAN:AABCA8192K
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PG ELECTROPLAST LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
SAT: APPEAL DISPOSED OFF WITH A DIRECTION TO BOARD TO PASS A FINAL ORDER QUA THE APPELLANTS WITHIN TWO WEEKS FROM THE DATE OF THIS ORDER
SEBI VIDE ITS ORDER DATE 05/09/2012 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
SEBI VIDE ITS ORDER DATED 31/10/2012 REVOKED DIRECTIONS ISSUED VIDE ITS ORDER DATED 05/09/2012
SAT: AS REVOCATION ORDER PASSED BY THE BOARD. THE APPEAL BECOME INFRUCTUOUS
|
| 20 |
|
|
BHUPENDRA SINGH RATHORE
(PAN:ALPPR1365R)
|
|
|
|
MAHASAGAR SECURITIES
PAN:AAPFM5751R
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND CIRCULAR TRANSACTIONS IN SCRIP OF KWALITY DAIRY (INDIA) LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-DEC-2009 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
IMPOSED PENALTY RS.3,00,000
01-DEC-2009
|
AD-INTERIM EX-PARTE ORDER DATED 01/12/2009 CONFIRMED. VIDE ORDER DATED 09/11/2010
DIRECTION ISSUED VIDE AD-INTERIM EX-PARTE ORDER DATED 01/12/2009 AND CONFIRMATORY ORDERS DATED 25/03/2010 AND 19/11/2010 REVOKED WITH IMMEDIATED EFFECT, VIDE ORDER DATED 31/03/2011
SEBI VIDE ITS ORDER DATED 29/08/2011 IMPOSED A PENALTY OF RS.2,00,000.00 UNDER SECTION 15HA AND RS.1,00,000.00 UNDER SECTION 15HB
SEBI VIDE ITS ORDER DATED 29/08/2011 IMPOSED A PENALTY OF RS.3,00,000.00 UNDER SECTION 15HA
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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