Secure - Judgment Search Results

Doogar and Associates Securities Vs. Securities and Exchange Board of ...

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

..... act to protect the interests of investors in securities and to regulate the securities market this 1992 regulation clearly stipulates that brokers ..... broker or sub broker shall buy sell or deal in securities except in accordance with the conditions of the certificate of ..... misconduct as minor penalty under regulation 13 1 of the sebi procedure for holding inquiry regulations 2002 the regulation 13 1 .....

Wall Street Securities and Vs. Securities and Exchange Board of India

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

Reported in: (2005)59SCL378SAT

..... the target company in its report dated 23rd june 2001 to sebi 3 upto 1999 the company was classified by the reserve ..... made an open offer and complied with regulation 11 1 of sebi substantial acquisition of shares and takeover regulations 1997 and other regulations ..... penalty to rs 25 000 each payable by i wall street securities amp investments ltd and ii alliance victory international ltd the penalty .....

Patani Securities (P.) Ltd. Vs. Securities and Exchange Board of India

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

Reported in: (2005)62SCL48SAT

..... 597 by march 2000 on noticing this extreme volatility in the price of this scrip sebi ordered investigations which found prima facie involvement of certain brokers and other intermediaries including the ..... appellant m s patani securities limited in increasing the share price of vsl during the period september 1999 to .....

Pavak Securities Limited Vs. Securities and Exchange Board of India

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

Reported in: (2005)63SCL455SAT

..... imposed a penalty of rs 1 50 000 for certain violations of sebi stock broker and sub broker regulations 1992 the allegations were iii ..... amp that too after the application for registration was made to sebi the said terminal was deactivated suo moto by us when the ..... with own account misuse of client s fund delay on delivery of securities and not reporting off the floor transactions 7 a broker owes .....

D.B. (India) Securities Ltd. Vs. Securities and Exchange Board of Indi ...

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

Reported in: (2005)59SCL386SAT

were issued to one sri prem gupta director of glory securities ltd gsl which in turn was an associate concern of

Shree Harivansha Securities P. Vs. Securities and Exchange Board of In ...

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

Reported in: (2005)59SCL536SAT

..... 1995 prohibit transactions undertaken with the intention of artificially raising or depressing the prices of securities the code of conduct read with the broker regulations prohibits a broker from involving ..... also paid substantial amounts to fellow brokers without there being corresponding transactions for that in securities the appellant cannot be both a broker and a money lender even the replies .....

Yoha Securities Ltd. Vs. Securities and Exchange Board of India

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

Reported in: (2005)59SCL504SAT

..... it came to the notice of the regulatory authorities viz the stock exchanges and the sebi that if the brokers had taken the usual precautions and followed the prescribed procedures in ..... already upheld one week s suspension in an exactly similar case of m s india securities ltd on 31 1 2003 the learned counsel for the appellant also could not point .....

Parklight Securities Ltd. Vs. Securities and Exchange Board of India

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

Reported in: (2005)58SCL227SAT

..... the appellant the enquiry officer held the contravention of various administrative circulars issued by the sebi as proved against the appellant and recommended suspension of the certificate of registration of the ..... the part of the appellant with a view to harming the investors and disrupting the securities market the appellant has already undergone suspension of more than five months we find that .....

Shilpa Shares and Securities Vs. Securities and Exchange Board of Indi ...

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

Reported in: (2005)59SCL595SAT

..... will be spared the stigma of having been punished by the official regulator of the securities market however on going through the records we find that it is not as if ..... exchange board of india act 1992 the rules and regulations made thereunder and the securities contract regulation act 1956 since the inspection revealed serious irregularities an enquiry officer was appointed .....

Sebi Vs. N.H. Securities Ltd. and Classic

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

..... that notwithstanding the retrospective interpretation of the reason behind the circular on negotiated deals sebi had clearly mandated and recognized that negotiated deals do occur at the exchange and ..... 2002 hereby record formally the penalty of cancellation of certificate of registration of nh securities ltd and classic shares and stock brokers for their misconduct violations as dealt with .....