| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
GRISHMA SECURITIES PVT.LTD.
(PAN:AABCG1300K)
(Member : BSE/NSE)
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CHANDRIKA H.GANDHI
PAN:AAMPG4546M
|
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CHHABIL C.SHAH
PAN:AIXPS6956J
|
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KETAN C.SHAH
PAN:AIWPS3413R
|
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MIHIR GHELANI
PAN:AACPG7986K
|
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INDULGED IN EVASION OF MARGIN MONEY
UTILIZED IPO PROCEEDS TO MAKE GOOD LOSSES OF ENTITIES WHO SUPPORTED THE PRICE OF FUND CLIENTS WHO INCURRED LOSSES WHILE TRANSACTED IN SCRIP OF TIJARIA POLYPIPES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TO 27-DEC-2016
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 05/11/2012 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
SAT: SAT VIDE ITS ORDER DATED 12/04/2013 PERMITTED MR.ANIL DAVE TO SELL THE SHARES MENTIONED IN ORDER AND DIRECTED TO DEPOSIT THE PROCEEDS WITH SEBI WHICH SHALL KEEP IT AN INTEREST BEARING ACCOUNT ON ITS RECEIPT IMMEDIATELY. NO ORDER AS TO COSTS
SEBI VIDE ITS ORDER DATED 31/07/2013 RESTRAINED THE ENTITIES/PERSONS FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY FOR A PERIOD OF FIVE YEARS FROM 28/12/2011 TO 27/12/2016
SAT: APPEAL DISMISSED WITH NO ORDER AS TO COSTS
SAT: APPEAL DISMISSED. NO COSTS
SEBI VIDE ITS ORDER DATED 16/12/2014 PROHIBITED GRISHMA FROM TAKING UP ANY NEW ASSIGNMENT OR CONTRACT OR LAUNCH A NEW SCHEME FOR A PERIOD OF THREE YEARS IN RESPECT OF ITS BUSINESS AS A STOCK BROKER FROM 28/12/2011 TO 27/12/2014
SAT: SAT VIDE ITS ORDER DATED 13/01/2017 DISPOSED OFF THE APPEAL. AS APPEALLANT HAS ALREADY UNDERGONE RESTRAINT / PROHIBITION IMPOSED UNDER IMPUGNED ORDER DATED 16/12/2014, APPELLANT IN THE APPEAL FILED BEFORE APEX COURT AGAINST DECISION OF THIS TRIBUNAL DATED 28/10/2013 CONFIRMING THE ORDER PASSED BY WTM OF SEBI DATED 31/07/2013, APPELLANT, ON INSTRUCTIONS, DOES NOT PRESS THE PRESENT APPEAL. NO COSTS
SEBI VIDE ITS ORDER DATED 20/03/2020 DISPOSED OFF THE ENQUIRY PROCEEDINGS AND SCN DATE3D 15/11/2018 WITHOUT ANY DIRECTIONS
|
| 2 |
|
|
ONELIFE CAPITAL ADVISORS LTD.
(PAN:AAACO9540L)
(Member : BSE)
|
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A.P.SHUKLA
PAN:AECPS3296Q
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DHANANJAY CHANDRAKANT PARIKH
PAN:ACTPP2402L
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PANDOO PRABHAKAR NAIG
PAN:ACNPN2800J
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T.S.RAGHAVAN
PAN:AAFPR1521A
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THIRUVIDAIMARUDUR KRISHNA PRABHAKAR NAIG
PAN:ABIPN2653D
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TUSHAR SHIRDHARANI
PAN:AAIPS0065M
|
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MISUTILIZED ISSUE PROCEEDS
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
|
DIRECTED NOT TO ISSUE ANY EQUITY SHARES OR ANY INSTRUMENT CONVERTIBLE INTO EQUITY SHARES OR ALTER ITS CAPITAL STRUCTURE IN ANY MANNER FROM 28-DEC-2011 TILL FURTHER ORDERS
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE 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 COMPANY TO CALL BACK ICDS AND/OR OTHER AMOUNTS AND DEPOSIT THE SAME IN AN INTEREST BEARING ESCROW ACCOUNT
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
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SAT: APPEAL DISPOSED OFF WITH NO ORDER AS TO COSTS
SEBI VIDE ITS ORDER DATED 15/02/2012 MODIFIED ITS EARLIER ORDER DATED 28/12/2011 BY ALLOWING TO DEAL IN SHARES FOR LIMITED PURPOSE OF FULFILLING THEIR EXISTING OBLIGATIONS OF UNDERWRITING FOR MINIMUM SUBSCRIPTION
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: DIRECTED SEBI TO ISSUE SHOW CAUSE NOTICE WITHIN FIVE WEEKS AND PASS FINAL ORDER WITHIN A PERIOD OF FOUR MONTHS FROM THE DATE OF THIS ORDER OTHERWISE INTERIM ORDER PASSED BY SEBI SHALL STAND VACATED
SEBI VIDE ITS ORDER DATED 30/08/2013 DIRECTED ONELIFE CAPITAL ADVISORS LTD. AND ITS MANAGING DIRECTOR MR. PANDOO P.NAIG 1.TO BRING JOINTLY AND SEVERALLY RS.35.25 CRORES I.E. DIVERTED IPO PROCEEDS INTO COMPANY FROM FINCARE, PRECISE AND KPT WITHIN SIX MONTHS FROM DATE OF THIS ORDER 2.DIRECTED ITS BOARD OF DIRECTORS TO ENSURE COMPLIANCE OF ABOVE DIRECTION AND SUBMIT A MONTHLY PROGRESS REPORT TO SEBI AND ALSO TO FURNISH TO SEBI A COMPLIANCE REPORT DULY CERTIFIED BY SEBI REGISTERED MERCHANT BANKER WITHIN TWO WEEKS OF COMPLIANCE OF ABOVE DIRECTION; 3.TO RESTRAINED AND PROHIBITED FROM ACCESSING SECURITIES MARKET AND ALSO PROHIBITED FROM BUYING, SELLING AND OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER, FOR A PERIOD OF 3 YEARS FROM DATE OF INTERIM ORDER
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| 3 |
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SAILESH H.DOSHI BROKING PVT.LTD.
(Member : BSE)
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DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHER ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
DIRECTED NOT TO UNDERTAKE ANY PROPRIETARY TRADES IN SECURITIES
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-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 11/05/2012 RESTRAINED NOTICE FROM BUYING, SELLING OR OTHERWISE DEALTING IN SECURITIES IN ITS PROPRIETARY ACCOUNTS, DIRECTLY OR INDIRECTLY FOR A PERIOD OF TWO YEARS I.E. DATED 11/05/2012 TO 10/05/2014
|
| 4 |
|
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SUNIL SHARES & STOCK BROKER LTD.
(Member : MPSE)
|
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INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF HINDUSTAN CONTINENTAL LTD. AND PRIYANS SAREE INDUSTRIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-MAR-2010 TO 28-MAR-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-MAR-2010 TO 28-MAR-2012
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
29-MAR-2010
|
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| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
