sebi:EAD-5/BS/AO/87-88/2017-18
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Facts / Headnote
Disposed of without penalty; allegations not established
Provisions invoked
- s. 15
- s. 15H
- s. 15I
Regulations
- Reg. 7
- Reg. 3
- Reg. 3(a)
Parties
- Shri Kunal Dushyant Gautam
- J.M. Financial Services Pvt. Ltd.
Holding
The allegations against Shri Kunal Dushyant Gautam and J.M. Financial Services Pvt. Ltd. of violating Regulations 3(a) to (d), 4(1), 4(2)(a) and (g) of the PFUTP Regulations and Clause A(2) of the Code of Conduct for Stock Brokers were not established, and the adjudication proceedings were disposed of without penalty.
Full text
Adjudication Order against Shri Kunal Dushyant Gautam and J.M. Financial Services Pvt. Ltd. in the matter of Kwality Ltd. Page 2 of 9 during the period December 10, 2009 to December 30, 2011 (hereinafter referred to as the Investigation Period).
Adjudication Order against Shri Kunal Dushyant Gautam and J.M. Financial Services Pvt. Ltd. in the matter of Kwality Ltd. Page 3 of 9
Adjudication Order against Shri Kunal Dushyant Gautam and J.M. Financial Services Pvt. Ltd. in the matter of Kwality Ltd. Page 4 of 9 CONSIDERATION OF ISSUES AND FINDINGS
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Source: SecMarx — sebi:EAD-5/BS/AO/87-88/2017-18. 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.