sebi:PKB/AO-119/2009
Facts / Headnote
Noticee found guilty in part and penalty imposed
Provisions invoked
- s. 15
- s. 15H
- s. 15J
Regulations relied on
- SEBI (PFUTP) Regulations, 2003 — 3
- SEBI (Stock Brokers) Regulations, 1992 — 7
Parties
- Ballabh Dass Daga
Holding
Ballabh Dass Daga was found guilty of violating Regulations 3, 4(1), 4(2)(a), (b), (e) and (g) of PFUTP Regulations and Clauses A(1), (2), (3) and (4) of the Code of Conduct, but not guilty under Regulations 4(2)(n), (o) and Clause B(4)(a), and a total penalty of Rs. 6,00,000 was imposed under sections 15HA and 15HB of the Act.
Full text
Adjudication Order in respect of Ballabh Dass Daga in the matter of M/s. Parbati Holdings Limited Page 2 of 13 September 24, 2009
Adjudication Order in respect of Ballabh Dass Daga in the matter of M/s. Parbati Holdings Limited Page 3 of 13 September 24, 2009
Adjudication Order in respect of Ballabh Dass Daga in the matter of M/s. Parbati Holdings Limited Page 4 of 13 September 24, 2009
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Source: SecMarx — sebi:PKB/AO-119/2009. 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.