| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ADITI A.DALAL,M/S
(Member : ASE)
|
|
|
|
ADITI A.DALAL
|
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INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH STRUCTURED AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF VXL INSTRUMENTS LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-JAN-2011 TO 16-MAR-2011
DIRECTED NOT TO BUY, SELL OR DEAL IN SECURITIES IN OWN/PROPRIETARY ACCOUNT FROM 17-JAN-2011 TO 16-MAR-2011
17-JAN-2011
|
|
| 2 |
|
|
ASHIKA STOCK BROKING LTD.
(PAN:AACCA7156Q)
(Member : BSE/NSE/OTC)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION TO INFLUENCE PRICE UPWARDS DURING PRICING PERIOD OF FCCB OF ACKRUTI CITY LTD.,WELSPUN STAHL-ROHREN LTD.,BRUSHMAN (INDIA) LTD.,RPG TRANSMISSION LTD. AND MURLI INDUSTRIES LTD.
|
DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 02-DEC-2010 TILL FURTHER ORDERS
DIRECTED NOT TO UNDERTAKE ANY PROPRIETARY TRADES IN SECURITIES
DIRECTED NOT TO BUY, SELL OR DEAL IN SECURITIES IN OWN/PROPRIETARY ACCOUNT FROM 02-DEC-2010 TILL FURTHER ORDERS
02-DEC-2010
|
DIRECTED VIDE ORDER DATED 05/02/2011 (1) NOT TO DISPOSED OFF OR ALIENATE SHARES BELONGING TO VARIOUS SCRIPS. (2) NSDL TO FREEZE SHARES LYING IN THE ACCOUNT OF IFSL. (3) BACKGROUND PURPOSE AND OTHER ATTENDANT CIRCUMSTANCES RELATING TO OFF-MARKET TRANSFERS FROM THE ACCOUNT OF PCSL TO IFSL AND SUBSEQUENT PART SALE OF TRANSFERRED SHARES SHALL BE INVESTIGATED
SEBI VIDE ITS ORDER DATED 19/07/2011 REVOKED DIRECTIONS TO THE EXTENT OF TAKING FRESH CLIENTS HOWEVER DIRECTION OF RESTRAIN SHALL CONTINUE
SAT: SAT VIDE ITS ORDER DATED 12/09/2011 DIRECTED SEBI TO CONCLUDE INVESTIGATIONS EXPETIOUSLY. DIRECTIONS ISSUED VIDE EARLIER EX-PARTE ORDER DATED 02/12/2010 WILL BE VACATED AFTER SUBMISSION OF UNDERTAKING BY APPELLANT WITHIN A WEEK FROM DATE OF ORDER. NO ORDER AS TO COSTS
SAT: SAT VIDE ITS ORDER DATED 12/09/2011 DIRECTED SEBI TO CONCLUDE INVESTIGATIONS EXPETIOUSLY. SAT: DIRECTIONS ISSUED VIDE EARLIER EX-PARTE ORDER DATED 02/12/2010 WILL BE VACATED AFTER SUBMISSION OF UNDERTAKING BY APPELLANT WITHIN A WEEK FROM DATE OF ORDER. NO ORDER AS TO COSTS
INTERIM DIRECTIONS ISSUED VIDE ORDER DATED 02/12/2010 REVOKED VIDE ORDER DATED 16/03/2012
|
| 3 |
|
|
MONARCH PROJECT & FINMARKETS LTD.
(PAN:AAACM8214F)
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF TIJARIA POLYPIPES LTD.
FUNDED PERSONS/ENTITIES WHO PROVIDED EXIT ROUTE TO QIBS AND/OR RETAIL ALLOTTEES AT A PREMIUM TO THE ISSUE PRICE
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OR DEAL IN SECURITIES IN OWN/PROPRIETARY ACCOUNT FROM 28-DEC-2011 TILL FURTHER ORDERS
PROHIBITED FROM ENTERING ANY FRESH AGREEMENTS WITH NEW CLIENTS IN OPERATIONS AS STOCK BROKER FROM 28-DEC-2011 TILL FURTHER ORDERS
28-DEC-2011
|
SAT: APPELLANT WILLING TO FURNISH AN UNDERTAKING IN WRITING TO BOARD THAT IT WILL NOT BE BUYING, SELLING AND/OR DEALING IN THEIR PROPRIETARY ACCOUNTS, IF SUCH UNDERTAKING IS FURNISHED, BOARD SHALL DIRECT THE DEPOSITORIES TO PERMIT THE OPERATION OF THE ACCOUNTS LISTED IN EXH.D. NO ORDER AS TO COSTS
SEBI VIDE ITS ORDER DATED 02/11/2012 REVOKED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
|
| 4 |
|
|
MONARCH RESEARCH & BROKERAGE PVT.LTD.
(PAN:AACCK5762C)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF TIJARIA POLYPIPES LTD.
FUNDED PERSONS/ENTITIES WHO PROVIDED EXIT ROUTE TO QIBS AND/OR RETAIL ALLOTTEES AT A PREMIUM TO THE ISSUE PRICE
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OR DEAL IN SECURITIES IN OWN/PROPRIETARY ACCOUNT FROM 28-DEC-2011 TILL FURTHER ORDERS
PROHIBITED FROM ENTERING ANY FRESH AGREEMENTS WITH NEW CLIENTS IN OPERATIONS AS STOCK BROKER FROM 28-DEC-2011 TILL FURTHER ORDERS
28-DEC-2011
|
SAT: APPELLANT WILLING TO FURNISH AN UNDERTAKING IN WRITING TO BOARD THAT IT WILL NOT BE BUYING, SELLING AND/OR DEALING IN THEIR PROPRIETARY ACCOUNTS, IF SUCH UNDERTAKING IS FURNISHED, BOARD SHALL DIRECT THE DEPOSITORIES TO PERMIT THE OPERATION OF THE ACCOUNTS LISTED IN EXH.D. NO ORDER AS TO COSTS
SEBI VIDE ITS ORDER DATED 02/11/2012 REVOKED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
|
| 5 |
|
|
SALASAR STOCK BROKING LTD.
(PAN:AADCS8020Q)
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF TIJARIA POLYPIPES LTD.
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.
FUNDED PERSONS/ENTITIES WHO PROVIDED EXIT ROUTE TO QIBS AND/OR RETAIL ALLOTTEES AT A PREMIUM TO THE ISSUE PRICE
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OR DEAL IN SECURITIES IN OWN/PROPRIETARY ACCOUNT FROM 28-DEC-2011 TILL FURTHER ORDERS
PROHIBITED FROM ENTERING ANY FRESH AGREEMENTS WITH NEW CLIENTS IN OPERATIONS AS STOCK BROKER FROM 28-DEC-2011 TILL FURTHER ORDERS
28-DEC-2011
|
SAT: SAT VIDE ITS ORDER DATED 07/09/2012 DIRECTED SEBI TO COMPLETE THE INVESTIGATION BY THE END OF SEPTEMBER 2012. NO COSTS
SEBI VIDE ITS ORDER DATED 02/11/2012 REVOKED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
SEBI VIDE ITS ORDER DATED 19/04/2021 DISPOSE OFF ENQUIRY PROCEEDINGS AND SCN DATED 11/04/2018 WITHOUT ANY FURTHER DIRECTION
|
| 6 |
|
|
SANCHAY FINCOM LTD.
(PAN:AAACD6056C)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION TO INFLUENCE PRICE UPWARDS DURING PRICING PERIOD OF FCCB OF ACKRUTI CITY LTD.,WELSPUN STAHL-ROHREN LTD.,BRUSHMAN (INDIA) LTD.,RPG TRANSMISSION LTD. AND MURLI INDUSTRIES LTD.
|
DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 02-DEC-2010 TILL FURTHER ORDERS
DIRECTED NOT TO UNDERTAKE ANY PROPRIETARY TRADES IN SECURITIES
DIRECTED NOT TO BUY, SELL OR DEAL IN SECURITIES IN OWN/PROPRIETARY ACCOUNT FROM 02-DEC-2010 TILL FURTHER ORDERS
02-DEC-2010
|
DIRECTED VIDE ORDER DATED 05/02/2011 (1) NOT TO DISPOSED OFF OR ALIENATE SHARES BELONGING TO VARIOUS SCRIPS. (2) NSDL TO FREEZE SHARES LYING IN THE ACCOUNT OF IFSL. (3) BACKGROUND PURPOSE AND OTHER ATTENDANT CIRCUMSTANCES RELATING TO OFF-MARKET TRANSFERS FROM THE ACCOUNT OF PCSL TO IFSL AND SUBSEQUENT PART SALE OF TRANSFERRED SHARES SHALL BE INVESTIGATED
SEBI VIDE ITS ORDER DATED 19/07/2011 HAS CONFIRMED INTERIM EX-PARTE DIRECTIONS ISSUED VIDE ORDER DATED 02/12/2010
INTERIM DIRECTIONS ISSUED VIDE ORDER DATED 02/12/2010 REVOKED VIDE ORDER DATED 16/03/2012
|
| 7 |
|
|
SANCHAY FINVEST LTD.
(Member : NSE/OTC/MPSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION TO INFLUENCE PRICE UPWARDS DURING PRICING PERIOD OF FCCB OF ACKRUTI CITY LTD.,WELSPUN STAHL-ROHREN LTD.,BRUSHMAN (INDIA) LTD.,RPG TRANSMISSION LTD. AND MURLI INDUSTRIES LTD.
|
DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 02-DEC-2010 TILL FURTHER ORDERS
DIRECTED NOT TO UNDERTAKE ANY PROPRIETARY TRADES IN SECURITIES
DIRECTED NOT TO BUY, SELL OR DEAL IN SECURITIES IN OWN/PROPRIETARY ACCOUNT FROM 02-DEC-2010 TILL FURTHER ORDERS
02-DEC-2010
|
DIRECTED VIDE ORDER DATED 05/02/2011 (1) NOT TO DISPOSED OFF OR ALIENATE SHARES BELONGING TO VARIOUS SCRIPS. (2)NSDL TO FREEZE SHARES LYING IN THE ACCOUNT OF IFSL. (3) BACKGROUND PURPOSE AND OTHER ATTENDANT CIRCUMSTANCES RELATING TO OFF-MARKET TRANSFERS FROM THE ACCOUNT OF PCSL TO IFSL AND SUBSEQUENT PART SALE OF TRANSFERRED SHARES SHALL BE INVESTIGATED
SEBI VIDE ITS ORDER DATED 19/07/2011 HAS CONFIRMED INTERIM EX-PARTE DIRECTIONS ISSUED VIDE ORDER DATED 02/12/2010
INTERIM DIRECTIONS ISSUED VIDE ORDER DATED 02/12/2010 REVOKED VIDE ORDER DATED 16/03/2012
|
| 8 |
|
|
TODI SECURITIES PVT.LTD.
(PAN:AABCT4191R)
(Member : BSE/NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF TIJARIA POLYPIPES LTD.
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.
FUNDED PERSONS/ENTITIES WHO PROVIDED EXIT ROUTE TO QIBS AND/OR RETAIL ALLOTTEES AT A PREMIUM TO THE ISSUE PRICE
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OR DEAL IN SECURITIES IN OWN/PROPRIETARY ACCOUNT FROM 28-DEC-2011 TILL FURTHER ORDERS
PROHIBITED FROM ENTERING ANY FRESH AGREEMENTS WITH NEW CLIENTS IN OPERATIONS AS STOCK BROKER FROM 28-DEC-2011 TILL FURTHER ORDERS
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 11/05/2012 CONFIRMED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
SAT: APPEAL DISMISSED AS INFRUCTUOUS
SAT: SAT VIDE ITS ORDER DATED 27/06/2012 DIRECTED SEBI TO COMPLETE THE INVESTIGATION BY 30/09/2012. NO ORDER AS TO COSTS
SEBI VIDE ITS ORDER DATED 02/11/2012 REVOKED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
SEBI VIDE ITS ORDER DATED 19/04/2021 DISPOSE OFF THE ENQUIRY PROCEEDINGS AND SCN DATED 11/04/2018 WITHOUT ANY FURTHER DIRECTION
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
