Judgment Search Results Home > Cases Phrase: dehra dun act 1871 Court: sebi securities and exchange board of india or securities appellate tribunal sat Year: 2006 Page 1 of about 175 results (0.246 seconds)

Dr. Anjali Beke Vs. the Adjudication Officer,

Court : SEBI Securities and Exchange Board of India or Securities Appellate Tribunal SAT

..... , 2005 against which this appeal has been filed reads as under: having regard to the nature and gravity of charges established, the factors contained in section 15j of the sebi act, 1992 with particulars reference to the unjust enrichment derived out of the impugned transactions and following the order of securities appellate tribunal in appeal no. 151/2004 dated 7.2 ..... 1. this appeal filed under section 15t of the securities and exchange board of india act, 1992 is directed against the order dated august 8, 2005 passed by the adjudicating officer imposing a penalty of rs. 5 lacs on the appellant and anjudi property and investment .....

New Era Alkaloids and Exports Vs. Bombay Stock Exchange Limited and

Court : SEBI Securities and Exchange Board of India or Securities Appellate Tribunal SAT

..... and pass appropriate order. the impugned order was thus issued by sebi with the consent of both the parties. section 15t(2) of the securities and exchange board of india act, 1992 clearly lays down that no appeal shall lie to this tribunal from an order made by the board with the consent of parties.in the above view, the appeal .....

Sebi Vs. Hi-elec Engineers and

Court : SEBI Securities and Exchange Board of India or Securities Appellate Tribunal SAT

..... viewed seriously.4.1 therefore, i, in exercise of the powers conferred upon me under section 19, read with section 11(4) and 11b of the sebi act, 1992 read with regulation 11 of securities and exchange board of india (prohibition of fraudulent and unfair trade practices relating to securities markets) regulations, 1995 read with ..... cause notice dated june 27, 2003 was issued to hecpl advising it to show cause as to why suitable directions under section 11 and 11b of the sebi act, 1992 read with regulation 11 of sebi (prohibition of fraudulent and unfair trade practices relating to securities market) regulations, 1995 including a direction to prohibit hecpl ..... market and thereby inducing the sale or purchase of securities by any person; (b) indulge in any act, which is calculated to create a false or misleading appearance of trading on the securities market; (c) indulge in any act which results in reflection of prices of securities based on transactions that are not genuine trade transactions; .....

Sebi Vs. Hotline Securities Pvt. Ltd.

Court : SEBI Securities and Exchange Board of India or Securities Appellate Tribunal SAT

..... which was also returned undelivered. vide the above mentioned show cause notices hsl was advised to show cause as to why suitable direction under section 11 and 11b of sebi act, 1992 read with regulation 11 of securities exchange board of india (prohibition of fraudulent and unfair trade practices relating to securities market) regulations.3. consideration of issues and findings 3 ..... the records available.4.1 therefore in exercise of powers conferred upon me under section 19, read with sections 11 and 11b of the securities and exchange board of india act, 1992 and regulation 11 of the securities and exchange board of india (prohibition of fraudulent and unfair trade practices relating to securities market) regulations,1995 read with the relevant provisions .....

Sebi Vs. Mithani Securities Pvt. Ltd.

Court : SEBI Securities and Exchange Board of India or Securities Appellate Tribunal SAT

..... the case, the mitigating factors as explained above, and the submissions made by the sub-broker thereto, in exercise of the powers conferred upon me under section 19 of sebi act, 1992 read with regulation 13(4) of sebi (procedure for holding enquiry by the enquiry officer and imposing penalty) regulations, 2002, agree with the recommendation of the enquiry officer and .....

Sebi Vs. Harvic Management Services (i)

Court : SEBI Securities and Exchange Board of India or Securities Appellate Tribunal SAT

..... sub-broker, i agree with findings and the recommendation of the enquiry officer.5.1 now, therefore, in exercise of the powers conferred, by section 19 of sebi act, 1992 read with regulation 13 (4) of sebi (procedure for holding enquiry by the enquiry officer and imposing penalty) regulation 2002, i hereby cancel the certificate of ..... shares.c) the enquiry officer has also found that while the sub -broker was affiliated with the trading member m/s. b m gandhi securities limited, it has acted as a client with two others brokers on the exchange, viz.m/s. ramanlal d shah and m/s. bipin r vora.d) the enquiry officer has ..... by enquiry officer and imposing penalty) regulations, 2002 (hereinafter referred to as enquiry regulation) to enquire into the violations of the provisions of securities and exchange board of india act, 1992, the securities and exchange board of india (stock brokers and sub brokers) regulations, 1992 (hereinafter referred to as broker regulations), if any, by the sub-broker .....

Sebi Vs. M.P. Vora Shares and Securities

Court : SEBI Securities and Exchange Board of India or Securities Appellate Tribunal SAT

..... of warning against the broker as recommended by the enquiry officer.5.1 therefore, in exercise of the powers conferred upon me in terms of section 19 of the sebi act, 1992 read with regulation 13(4) of said regulations, in the facts and circumstances of the case, i hereby impose minor penalty of 'warning' against m p vora shares & securities .....

Sebi Vs. Vinay Capital Pvt. Ltd.

Court : SEBI Securities and Exchange Board of India or Securities Appellate Tribunal SAT

..... and ketan shah & co (client of sdfc securities ltd).3.5 with regard to the submission that the term 'structured deals' has not even been defined under sebi act, rules or regulations made there under it needs to be noted that the term itself connotes the meaning which any person, more so, who is dealing in the securities market ..... respect of the same. d) with reference to the allegation that nse reported 63 cross deals and 77 structured deals by vinay capital it was submitted that the sebi act, 1992 or the rules or regulations or the glossary of terms issued by sebi has not even defined these terms nor it has heard about such terminology. it was ..... regulation 11 of sebi (prohibition of fraudulent and unfair trade practices relating to securities market) regulations, 2003 read with section 11(4) (b) and 11b of the sebi act, 1992 including a direction to prohibit it from dealings in securities for a particular duration should not be passed against it.2.2 vide letter dated november 05, 2004 vinay .....

Sebi Vs. Shri V.K. Gupta

Court : SEBI Securities and Exchange Board of India or Securities Appellate Tribunal SAT

..... viewed seriously.4.1 therefore, i, in exercise of the powers conferred upon me under section 19, read with section 11(4) and 11b of the sebi act, 1992 read with regulation 11 of securities and exchange board of india (prohibition of fraudulent and unfair trade practices relating to securities markets) regulations, read with the ..... june 27,2003 was issued to shri v k gupta advising him to show cause as to why suitable directions under section 11 and 11b of the sebi act, 1992 read with regulation 11 of sebi (prohibition of fraudulent and unfair trade practices relating to securities market) regulations, 1995 including a direction to prohibit gupta ..... the market and thereby inducing the sale or purchase of securities by any person; (b) indulge in any act, which is calculated to create a false ormisleading appearance of trading on the securities market; (c) indulge in any act which results in reflection of prices of securities based on transactions that are not genuine trade transactions; (d) .....

Hasmukhrai B. Baldev Vs. Securities and Exchange Board of India

Court : SEBI Securities and Exchange Board of India or Securities Appellate Tribunal SAT

Reported in : (2006)69SCL330SAT

..... the entire material on record including the reply furnished by the appellant the board came to the conclusion that the appellant had not executed the agreements with his clients while acting on their behalf and thereby he violated the circular dated may 21, 1997. it may be mentioned that through this circular the board had informed all concerned including the brokers ..... 1. this appeal under section 15t of the securities and exchange board of india act, 1992 (for short "the act") is directed against the order dated 16/01/2006 passed by the securities and exchange board of india (for short "the board") whereby the certificate of registration of the appellant .....