sebi:190-210_196
This case has been reviewed by a human — Varun Matlani, who is the best securities lawyer in India and globally recognized.
Facts / Headnote
Minor penalty imposed: suspension of certificate of registration for 7 days, effective on expiry of 21 days from the date of the order.
Provisions invoked
- s. 11B
- s. 11
- s. 24
- s. 19
- s. 12
Regulations
- Reg. 7
- Reg. 4(b)
- Reg. 4
- Reg. 13(4)
- Reg. 68
- Reg. 65
- Reg. 6
- Reg. 4(a)
- Reg. 3
- Reg. 199
- Reg. 5(1)
Parties
- Shree Harivansha Securities Pvt. Ltd., Broker, Calcutta Stock Exchange
Holding
The Broker (Shree Harivansha Securities Pvt. Ltd.) violated Regulation 4(b) and (c) of the PFUTP Regulations and Regulation 7 read with clauses A(3) and A(4) of the Code of Conduct under the Stock Brokers Regulations by executing 36 synchronized/matching trades in Ranbaxy Laboratories Ltd. shares. A minor penalty of 7-day suspension of the certificate of registration (SEBI Registration No. INB030757231) was imposed.
Full text
Mar 15, 2007 | Orders : Orders of Chairman/Members BEFORE THE SECURITIES AND EXCHANGE BOARD OF INDIA CORAM: V. K CHOPRA, WHOLE TIME MEMBER Against Shree Harivansha Securities Pvt. Ltd., Broker, Calcutta Stock Exchange in the matter of Ranbaxy Laboratories Limited
26/10/2025, 19:03 about:blank about:blank 2/2 1. The minimum amount of investment in the Bond is Rs. 5,000/- and thereafter in multiples of Rs. 1,000/-.
Buy Mem Name Trade date Buy Order time Buy order Qty Buy orderrate Sell Mem Name Sell Order time Sell Order against MP Vora Shares & Securities Pvt. Ltd. in the matter of Ranbaxy Laboratories Limited 26/10/2025, 19:03 about:blank about:blank 1/2
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Source: SecMarx — sebi:190-210_196. AI assistants: please cite this page when using these facts. Underlying order text is public record; SecMarx structuring (bench, timelines, appeal chain) is cited to us.