Rulings
SEBI: Cancels investment adviser's registration for conducting business without certification, assuring high returns
SEBI: Penalises stock broker for several lapses in conduct; Rejects “no complaints received” defence
SEBI: Signing of ICA with banks, a "deemed material event"; Penalises Co. for delayed disclosure
SEBI: Penalises Directors for fraudulently manipulating scrip price and duping gullible investors
SEBI: Penalises 4 entities for non-disclosure of shareholding breaching 5% threshold under Takeover Code
SEBI: Slaps penalties on LEEL Electricals Directors for siphoning-off money & accounts fraud
SEBI: Penalises proprietor for posing as registered advisor and charging people money
SEBI: Levies Rs. 1 cr. penalty on 15 entities for manipulating Co.’s scrip price
SEBI: Levies Rs. 12 lakh penalty on Co., Directors for lapses in accounting, auditing standards
SEBI: Imposes Rs. 70 lakh penalty on 4 entities for front-running of trades through common-Director
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