Secure - Judgment Search Results

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

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

Reported in: (2008)83SCL1SAT

..... exchange dse a company under the name and style of nam securities ltd hereinafter called the company which is the appellant herein came ..... provides that no stock broker shall buy sell or deal in securities except under and in accordance with the conditions of a ..... as the case may be large number of brokers in the securities market were either individuals or partnership firms and obviously their working .....

Mefcom Securities Ltd Vs. Securities and Exchange Board of India

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

Reported in: (2008)82SCL193SAT

..... the violations pointed out during inspection are merely of technical nature 6 regulation 26 of securities and exchange board of india stock brokers and sub brokers regulations 1992 stock brokers regulations ..... the business operations of the brokers and thereby enhances the integrity and quality of the securities market it is far from correct to hold that such requirements are merely technical in .....

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

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

1 heard the learned counsel for the parties the issues involved in the appeal require a detailed consideration 3 we...

Sebi Vs. Mittal Securities Private

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

..... of sat in the matters of ketan parekh v sebi and kasat securities ltd the trades executed by the broker on behalf ..... of the company with the counterparty stockbroker dresdner kleinwort wassertein securities india private limited hereinafter referred to as dkb member ..... violative of all prudential and transparent norms of trading in securities synchronized trading on a large scale can create false volumes .....

Sebi Vs. Abhilashaa Securities Pvt. Ltd.

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

..... of the broker name of the sub broker ultimate client kantilal mangaldas abhilashaa securities tanaya securities svs securities kunvarji finstock kajol impex prabhudas lilladher jyotish bhogilal stk brk shri parshwa finance ..... suspension of certificate of registration issued to the sub broker m s abhilashaa securities pvt ltd sebi registration no ins011209934 and pan no aadca8279k for a period of one .....

Sebi Vs. Woodstock Securities Pvt. Ltd.,

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

..... sat in the matters of ketan parekh vs sebi and kasat securities private ltd vs sebi 4 1 i have considered the respective enquiry ..... by the enquiry officer as may be deemed appropriate woodstock securities pvt ltd woodstock broking pvt ltd and omega equities pvt ..... violative of all prudential and transparent norms of trading in securities synchronized trading on a large scale can create false volumes .....

Sebi Vs. Harvestdeal Securities Ltd.

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

..... which were purchased by the above three brokers banthia amp his associates 2 1 sebi after considering the investigation report initiated enquiry proceedings against the noticee and other two ..... appointed to enquire into the violations allegedly committed by the noticee under the provisions of securities and exchange board of india stock brokers and sub brokers regulations 1992 hereinafter referred .....

Sebi Vs. Mega Millennium Securities Pvt.

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

..... misled and misrepresented the investors claiming to be a registered approved entity under the securities lending and borrowing scheme and conducted the lending and borrowing transactions later mms failed ..... brokers mms issued contract notes to its client even after surrendering the sebi registrations thereby violating sebi stock broker sub broker regulations 1992 and code of conduct prescribed under .....

Sebi Vs. Agbros Securities Pvt. Ltd.

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

..... on the stock exchange mumbai bse national stock exchange nse and calcutta stock exchange cse securities and exchange board of india hereinafter referred to as the board had conducted investigation into ..... officer after conducting an enquiry in accordance with the provisions of regulation 6 of the securities and exchange board of india procedure for holding enquiry by enquiry officer and imposing .....

Sebi Vs. Prakash Baid Securities Pvt. Ltd.

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

..... stock brokers and sub brokers regulations 1992 hereinafter referred to as the broker regulations securities and exchange board of india substantial acquisition of shares and takeovers regulations 1997 ..... hereinafter referred to as the takeover regulations securities and exchange board of india prohibition of insider trading regulations 1992 1 3 .....