sebi:Order/AK/AJ/2023-24/27399
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Facts / Headnote
Violation found; penalty of Rs 5,00,000 imposed ex-parte
Provisions invoked
- s. 15
- s. 15H
- s. 15J
- s. 28A
Regulations
- Reg. 3
- Reg. 2(1)(c)
- Reg. 4(2)
- Reg. 3(a)
- Reg. 26
- Reg. 2(1)(c)(2)
- Reg. 2(1)(c)(7)
- Reg. 2(1)(c)(8)
Parties
- Yogesh Kumar Gupta
Holding
The Noticee, Yogesh Kumar Gupta (PAN No: ABKPG5746Q), violated Regulations 3(a), (b), (c), (d), 4(1) and 4(2)(a) of the PFUTP Regulations by executing non-genuine trades in illiquid stock options at BSE. A penalty of Rs 5,00,000 under Section 15HA of the SEBI Act was imposed upon the Noticee.
Full text
Adjudication Order in respect of Yogesh Kumar Gupta in the matter of dealings in Illiquid Stock Options at BSE Page 2 of 14
Adjudication Order in respect of Yogesh Kumar Gupta in the matter of dealings in Illiquid Stock Options at BSE Page 3 of 14
Adjudication Order in respect of Yogesh Kumar Gupta in the matter of dealings in Illiquid Stock Options at BSE Page 4 of 14
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Source: SecMarx — sebi:Order/AK/AJ/2023-24/27399. 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.