M/s. C. R. Jain & Co.

55 matters before the Securities Appellate Tribunal

Penalties and directions recorded

List the matters on 22 September 2021
Parties to obtain instructions from the Registrar 48 hours before the listed date regarding video-conference or physical hearing
Parties to obtain instructions from the Registrar 48 hours before the hearing regarding video conference or physical hearing
Matters adjourned because settlement proceedings were at the final stage
List all matters on 25 June 2021

SAT-appeal

SAT matter SATV-0D45C132E654208C6F88E756
List the matters on 22 September 2021 · Parties to obtain instructions from the Registrar 48 hours before the listed date regarding video-conference or physical hearing
Appeal: Misc. Application No. 804 of 2021 and Appeals Nos. 317 of 2018, 387 of 2018, 433 of 2018, 487 of 2018, 298 of 2019 and 299 of 2019 were listed; no disposal on merits recorded.
SAT matter SATV-133D8AFF4E7AD2EE40317939
List Appeal Nos. 317/2018, 387/2018, 433/2018, 487/2018, 298/2019 and 299/2019 on 8 July 2021 · Parties to obtain instructions from the Registrar 48 hours before the hearing regarding video conference or physical hearing
Appeal: Miscellaneous Application No. 804 of 2021 and Appeal Nos. 317 of 2018, 387 of 2018, 433 of 2018, 487 of 2018, 298 of 2019 and 299 of 2019 were listed for further hearing on 8 July 2021; no final disposal recorded
Dispute over incorrect computation of SEBI fee liability based on historical stockbroker turnover and alleged recovery of excess fee.
Appeals disposed of with direction to SEBI to recalculate each appellant's excess fee refund. · SEBI to determine amounts payable to appellants and to DSE, if any.
Appeal: Appeal Nos. 317 of 2018, 387 of 2018, 433 of 2018, 487 of 2018, 298 of 2019 and 299 of 2019 disposed of by SAT on 27 September 2021.
SAT matter SATV-21F89C64C1EB3EC524A7BD93
Matters adjourned because settlement proceedings were at the final stage · List all matters on 25 June 2021
Appeal: Appeal Nos. 317, 387, 433, 487 of 2018 and 298, 299 of 2019 were adjourned on 13 May 2021; settlement proceedings were stated to be at the final stage. Listed for 25 June 2021.
SAT matter SATV-14E8FFF05DD53C6B49F70570
Miscellaneous Application No. 1201 of 2021 seeking recall and restoration of the appeal was summarily rejected · Parties directed to act on the digitally signed copy of the order
Appeal: Miscellaneous Application No. 1201 of 2021 in Appeal No. 298 of 2019 was rejected summarily on 27 October 2021; the underlying appeal had been disposed of by final order dated 27 September 2021
SAT matter SATV-275A7B9FA2C58345A15BDD61
Matters adjourned by two weeks to enable SEBI to decide the settlement applications · List the matters on 13 May 2021
Appeal: Appeal Nos. 317, 387, 433, 487 of 2018 and 298, 299 of 2019 were adjourned on 19 April 2021; settlement proceedings were at an advanced stage.
SAT matter SATV-3284CBBCAE4A01EBCBBBFB2B
List the appeals on 14 July 2021 · Parties to take instructions from the Registrar 48 hours before the hearing regarding video conference or physical hearing
Appeal: Miscellaneous Application No. 804 of 2021 in Appeal No. 317 of 2018, with connected Appeals Nos. 387 of 2018, 433 of 2018, 487 of 2018, 298 of 2019 and 299 of 2019; listed for 14 July 2021
SAT matter SATV-26D1DB04BB9289C6597A2481
Matters adjourned for two weeks to enable SEBI to decide the settlement applications · List the matters on 13 May 2021
Appeal: Appeal Nos. 317, 387, 433, 487 of 2018 and 298, 299 of 2019 were pending before SAT; adjourned on 19 April 2021 and listed for 13 May 2021
SAT matter SATV-302B54790DD4B9B1D212D91F
Appeals adjourned because settlement proceedings were at the final stage · Matters listed for 25 June 2021
Appeal: Appeal Nos. 317 of 2018, 387 of 2018, 433 of 2018, 487 of 2018, 298 of 2019 and 299 of 2019 were adjourned on 13 May 2021; listed for 25 June 2021 while settlement proceedings remained underway.
SAT matter SATV-2CBA5C1336ED46276627AB34
Proceedings adjourned for four weeks to enable matter to be sorted at SEBI level on settlement application · Matter listed on 19 April 2021
Appeal: Appeal Nos. 317/2018, 387/2018, 433/2018, 487/2018, 298/2019, 299/2019 heard on 4.3.2021; adjourned not disposed; next date 19.04.2021
SAT matter SATV-48AF1E325118AE20857CD944
Review Applications No. 3 of 2022 and 4 of 2022 dismissed · Misc. Application No. 181 of 2021 in Appeal No. 298 of 2019 dismissed
Appeal: Misc. Application No. 181 of 2021 in Appeal No. 298 of 2019, Review Application No. 3 of 2022 in Appeal No. 317 of 2018, Review Application No. 4 of 2022 in Appeal No. 299 of 2019 dismissed on 04.03.2022 affirming SAT order dated 27.09.2021
SAT matter SATV-319DBBE5173F62D3662D7037
Adjourned for four weeks to enable settlement at SEBI level · List on 19 April 2021
Appeal: Appeal Nos. 317, 387, 433, 487 of 2018 and 298, 299 of 2019 pending; adjourned on 4.3.2021 for settlement, listed on 19 April 2021
SAT matter SATV-3736538CEFA2231C6E2C6243
Matters adjourned because settlement proceedings were at the final stage · List the appeals on 25 June 2021
Appeal: Appeal Nos. 317 of 2018, 387 of 2018, 433 of 2018, 487 of 2018, 298 of 2019 and 299 of 2019 were adjourned on 13 May 2021; listed for 25 June 2021
SAT matter SATV-5B8070FAF3A5193EA12B5F88
Adjourned and listed on July 2, 2021 · Parties to take instructions from Registrar 48 hrs before date fixed on video conference or physical hearing
Appeal: Appeal Nos. 317/2018, 387/2018, 433/2018, 487/2018, 298/2019, 299/2019 heard on 25.06.2021 adjourned to 02.07.2021; settlement stated completed
SAT matter SATV-6A04E99B74B5D3C37575DD47
List appeals on July 8, 2021 · Parties to take instructions from Registrar 48 hrs before fixed date on video vs physical hearing
Appeal: Appeal Nos. 317/2018, 387/2018, 433/2018, 487/2018, 298/2019, 299/2019 with Misc. Application No. 804/2021 pending; listed on July 8, 2021, not disposed
SAT matter SATV-742CC070F75DC011E7A6BEA2
Adjourned and listed on June 25, 2021 as settlement proceedings at final stage · Parties to take instructions from Registrar 48 hrs before fixed date on video conference vs physical hearing
Appeal: Appeal Nos. 317 of 2018, 387 of 2018, 433 of 2018, 487 of 2018, 298 of 2019, 299 of 2019 adjourned on 13.05.2021 to June 25, 2021; settlement proceedings stated to be at final stage
SAT matter SATV-7F75F18C155877DE5BF90188
Proceedings adjourned for four weeks to enable matter to be sorted at SEBI level on settlement application · Matter listed on 19 April 2021
Appeal: Appeal Nos. 317, 387, 433, 487 of 2018 and 298, 299 of 2019 adjourned on 4 March 2021 to 19 April 2021 for SEBI settlement; pending, not disposed
SAT matter SATV-7D0FAF759D9BCC4EA7403F98
List application before appropriate bench on June 09, 2022 · Parties to act on digitally signed copy of order
Appeal: Misc App 181/2022 and Review App 09/2022 in Appeal 298/2019 and Misc App 254/2022 in Appeal 387/2018 listed to 09 June 2022
SAT matter SATV-83EDC683A0D6E159C0DCA654
List appeals on July 14, 2021 · Parties to take instructions from Registrar 48 hrs before fixed date on video conference or physical hearing
Appeal: Misc. Application No. 804 of 2021 with Appeal Nos. 317, 387, 433, 487 of 2018 and 298-299 of 2019 adjourned to 14.07.2021; no disposal
SAT matter SATV-80EC53BA7E2C50049F1C4394
Proceedings adjourned for four weeks to enable sorting out at SEBI level re settlement application · Matter listed on 19 April 2021
Appeal: Appeal Nos. 317/2018, 387/2018, 433/2018, 487/2018, 298/2019, 299/2019 pending; adjourned on 4.3.2021 for settlement, next date 19 April 2021; not disposed
SAT matter SATV-81A87928C28FCA54AAB0D842
Review Application No. 31 of 2021 rejected, order dated 27 October 2021 maintained
Appeal: Review Application No. 31 of 2021 in Appeal No. 298 of 2019 rejected on 20.12.2021
SAT matter SATV-99F5A5AEBEF77CE2D2BB3D98
List these appeals on July 8, 2021 · Parties to take instructions from Registrar 48 hrs before date fixed on video conference vs physical hearing
Appeal: Misc. Application No. 804 of 2021 and Appeal Nos. 317, 387, 433, 487 of 2018 and 298-299 of 2019 pending; adjourned to July 8, 2021 vide order dated 02.07.2021
SAT matter SATV-8990E5A52F198348D5661F31
List matters on September 22, 2021 · Parties to take instructions from Registrar 48 hrs before fixed date on video vs physical hearing
SAT matter SATV-9225B77E2ABF615F8EF0E075
List matters on September 22, 2021 · Parties to take instructions from Registrar 48 hrs before fixed date on video conference vs physical hearing
Appeal: Appeal Nos. 317/2018, 387/2018, 433/2018, 487/2018, 298/2019, 299/2019 with Misc. Application 804/2021 pending; next listing 22.09.2021
SAT matter SATV-986FA5F0AC080AFFA48C5238
Adjourned for the day · List on July 2, 2021
Appeal: Appeal Nos. 317 of 2018, 387 of 2018, 433 of 2018, 487 of 2018, 298 of 2019, 299 of 2019 heard on 25.06.2021; settlement stated completed but SEBI sought time; adjourned to 02.07.2021
Disputed turnover-based broker fee liability; appellants alleged errors in SEBI fee liability statements causing excess fee levy and sought recomputation and refund with interest.
Dispose all appeals with direction to SEBI to calculate quantum of refund of excess fee for each appellant, if any · SEBI to decide how much amount is payable to appellants and how much to DSE, if any
Appeal: Appeal Nos. 317/2018, 387/2018, 433/2018, 487/2018, 298/2019, 299/2019 with Misc. Application No. 804/2021 disposed on 27.09.2021 with direction to SEBI
SAT matter SATV-A1D8765D7462EE6F042D2725
Adjourned and listed on July 2, 2021 · Parties to take instructions from Registrar 48 hrs before fixed date on VC vs physical hearing
Appeal: Appeal Nos. 317/2018, 387/2018, 433/2018, 487/2018, 298/2019, 299/2019 heard 25.06.2021, adjourned to July 2, 2021; settlement stated completed, SEBI seeks time for instructions
SAT matter SATV-9E8F020A8AB340971FC4C21E
Proceedings adjourned for four weeks to enable settlement application to be sorted at SEBI level · Matter listed on 19 April 2021
Appeal: Appeal Nos. 317, 387, 433, 487 of 2018 and 298, 299 of 2019 pending - adjourned to 19 April 2021 for SEBI settlement
SAT matter SATV-A932A6ACF1F1CC7C9EB1E550
Matters adjourned for two weeks to enable SEBI to take decision on settlement applications · List on May 13, 2021
Appeal: Appeal Nos. 317, 387, 433, 487 of 2018 and 298, 299 of 2019 pending; adjourned to May 13, 2021 for settlement decision
SAT matter SATV-A76C02E9B3212054AF201C97
Adjourned for two weeks to enable SEBI to take decision on settlement application · List on May 13, 2021
Appeal: Appeal Nos. 317, 387, 433, 487 of 2018 and 298, 299 of 2019 adjourned to May 13, 2021 pending SEBI settlement decision
SAT matter SATV-B1585403C4AACCACFF4712A8
List Appeals Nos. 317/2018, 387/2018, 433/2018, 487/2018, 298/2019, 299/2019 on 14 July 2021 · Parties to take instructions from Registrar 48 hrs before fixed date on video vs physical hearing
SAT matter SATV-ADA12DCC5DC8613F8CD69D13
List matters on September 22, 2021 · Parties to take instructions from Registrar 48 hrs before fixed date on video conference vs physical hearing
Appeal: Misc. Application No. 804 of 2021 and Appeal Nos. 317, 387, 433, 487 of 2018, 298-299 of 2019 heard on 01.09.2021, adjourned to 22.09.2021, no disposal
Disputed stockbroker fee liability based on turnover; appellants alleged errors in SEBI fee liability statements and sought recomputation and refund of excess fee with interest.
All appeals disposed of with direction to SEBI to calculate quantum of refund of excess fee for each appellant · SEBI to decide how much refund is payable to appellants vs to DSE, if any
Appeal: Appeal Nos. 317/2018, 387/2018, 433/2018, 487/2018, 298/2019, 299/2019 with Misc. Application No. 804/2021 disposed of by SAT decision dated 27.09.2021 (hearing 22.09.2021)
SAT matter SATV-B0B8567A875CFEE6E7733056
Matters adjourned for two weeks to enable SEBI to take decision on settlement application · List on May 13, 2021
SAT matter SATV-BFD4873642C1AFFF03C0D3AA
Adjourned proceedings for four weeks to enable matter to be sorted out at SEBI level on settlement application · Listed all connected matters on 19 April 2021
Appeal: Appeal Nos. 317, 387, 433, 487 of 2018 and 298, 299 of 2019 pending before SAT; adjourned on 4 March 2021 for SEBI settlement consideration, next date 19 April 2021
SAT matter SATV-CB5E4AE731193D51F9FCE997
Review applications dismissed with no order as to costs
Appeal: Review Application Nos. 3 and 4 of 2022 in Appeal Nos. 317 of 2018 and 299 of 2019 dismissed on 04.03.2022 affirming SAT order dated 27.09.2021
SAT matter SATV-DFA608E8BA947E72097CAEAF
List matters on September 22, 2021 · Parties to take instructions from Registrar 48 hrs before fixed date on video vs physical hearing
Appeal: Appeal Nos. 317/2018, 387/2018, 433/2018, 487/2018, 298/2019, 299/2019 pending with Misc. Application No. 804/2021; listed next on 22.09.2021
SAT matter SATV-F2192685B2CD7526168393D1
List these appeals on July 14, 2021 · Parties to take instructions from Registrar 48 hrs before date fixed on video vs physical hearing
Appeal: Misc. Application No. 804 of 2021 and Appeal Nos. 317, 387, 433, 487 of 2018 and 298, 299 of 2019 pending; adjourned to 14 July 2021
SAT matter SATV-ED710EE84216431BF6358A86
Stand over to May 30, 2022 · Parties to act on digitally signed copy; certified copy available from Registry on payment of usual charges
Appeal: Misc. Application No. 181 of 2022 and Review Application No. 09 of 2022 in Appeal No. 298 of 2019 with Misc. Application No. 254 of 2022 in Appeal No. 387 of 2018 pending; stood over to 30 May 2022
SAT matter SATV-781635BDA77D72B8D1C991C1
Review Application No. 3 of 2022 dismissed · Review Application No. 4 of 2022 dismissed
Appeal: Review Applications Nos. 3 and 4 of 2022 dismissed on 04 March 2022; the Tribunal found no error in its order dated 27 September 2021.
SAT matter SATV-59EFEB0C8E81C109A066DC2C
List appeals on July 14, 2021 · Parties to take instructions from Registrar 48 hrs before fixed date on video conference vs physical hearing
Appeal: Pending - Misc. Application No. 804 of 2021 with Appeal Nos. 317/2018, 387/2018, 433/2018, 487/2018, 298/2019, 299/2019 listed for July 14, 2021
SAT matter SATV-4C154621F86A51BF06F576D8
Adjourned; list on July 2, 2021 · Parties to take instructions from Registrar 48 hrs before date fixed on hearing mode
Appeal: Appeal Nos. 317/2018, 387/2018, 433/2018, 487/2018, 298/2019, 299/2019 heard on 25.06.2021; adjourned to 02.07.2021; settlement stated completed
SAT matter SATV-5DB657EFC5CB0C6EA45445D3
List matters on September 22, 2021 · Parties to take instructions from Registrar 48 hrs before fixed date on video conference or physical hearing
Appeal: Misc. Application No. 804 of 2021 with Appeal Nos. 317, 387, 433, 487 of 2018 and 298, 299 of 2019 adjourned on 01.09.2021, listed on 22.09.2021, not disposed
SAT matter SATV-7F6D5B6CDEF7EDBD351DB793
List applications before appropriate bench on June 09, 2022 · Parties to act on digitally signed copy; certified copy available from Registry on payment
Appeal: Misc. Application 181/2022 and Review Application 09/2022 in Appeal 298/2019 and Misc. Application 254/2022 in Appeal 387/2018 listed on 09 June 2022; no disposal on 30.05.2022
Dispute over SEBI stock-broker fee liability based on turnover; appellants alleged errors in SEBI fee liability statements and sought recomputation and refund of excess fee with interest.
All appeals disposed with direction to SEBI to calculate quantum of refund of excess fee for each appellant · SEBI to decide how much refund is payable to appellants and how much to DSE, if any
Appeal: Misc. Application No. 804 of 2021 and Appeal Nos. 317 of 2018, 387 of 2018, 433 of 2018, 487 of 2018, 298 of 2019, 299 of 2019 heard 22.09.2021 and disposed of on 27.09.2021
SAT matter SATV-A5061E22790E996B8630055E
Adjourned for the day · List on July 2, 2021
Appeal: Appeal Nos. 317, 387, 433, 487 of 2018 and 298, 299 of 2019 heard on 25.06.2021; not disposed; adjourned to 02.07.2021; settlement stated completed
SAT matter SATV-AE55B2230522E5A70AA7A314
List appeals on July 8, 2021 · Parties to take instructions from Registrar 48 hrs before fixed date on video conference vs physical hearing
Appeal: Misc. Application No. 804 of 2021 and Appeal No. 317, 387, 433, 487 of 2018 and 298, 299 of 2019 pending before SAT; adjourned to July 8, 2021, not disposed
Dispute over erroneous turnover-based fee liability statements levied by SEBI on DSE brokers and non-refund of excess fee paid despite auditor/DSE certified turnover.
All appeals disposed with direction to SEBI to calculate quantum of refund of excess fee, if any, for each appellant · SEBI to decide how much refund is payable to appellants and how much, if any, to DSE
Appeal: Appeal Nos. 317 of 2018, 387 of 2018, 433 of 2018, 487 of 2018, 298 of 2019, 299 of 2019 with Misc. Application No. 804 of 2021 heard 22.09.2021 and disposed 27.09.2021
SAT matter SATV-C3F7DF375CA253678539FA02
Matters adjourned on settlement-pending ground; listed on June 25, 2021 · Parties to take instructions from Registrar 48 hrs before fixed date on video vs physical hearing
Appeal: Appeal Nos. 317 of 2018, 387 of 2018, 433 of 2018, 487 of 2018, 298 of 2019, 299 of 2019 pending before SAT; not disposed; adjourned on 13.05.2021 to 25.06.2021 as settlement proceedings at final stage
SAT matter SATV-C2DD4D82EE569B46F0570308
List these appeals on July 8, 2021 · Parties to take instructions from Registrar 48 hrs before fixed date on video conference vs physical hearing
Appeal: Misc. Application No. 804 of 2021 with Appeal Nos. 317, 387, 433, 487 of 2018 and 298, 299 of 2019 pending; adjourned to July 8, 2021
SAT matter SATV-CF9B24FF2594F46433C1F33B
Matters stood over to May 30, 2022 · Parties to act on digitally signed copy; certified copy available from Registry on payment
Appeal: Misc. Application No. 181 of 2022 and Review Application No. 09 of 2022 in Appeal No. 298 of 2019 and Misc. Application No. 254 of 2022 in Appeal No. 387 of 2018 pending; stood over to May 30, 2022
SAT matter SATV-ED2FE554A737121A544F17A4
Adjourned; matter listed on July 2, 2021 · Parties to take instructions from Registrar 48 hrs before fixed date on VC vs physical hearing
Appeal: Appeal Nos. 317, 387, 433, 487 of 2018 and 298, 299 of 2019; order dated 25.06.2021 adjourns to 02.07.2021; settlement stated completed
SAT matter SATV-EB000A5532E34424D81F3ECC
List these appeals on July 8, 2021 · Parties to take instructions from Registrar 48 hrs before fixed date on video vs physical hearing
Appeal: Misc. Application No. 804 of 2021 and Appeal Nos. 317/2018, 387/2018, 433/2018, 487/2018, 298/2019, 299/2019 pending; order dated 02.07.2021 lists matters for July 8, 2021, no disposal
SAT matter SATV-F8CBF7008334260F877A9357
Adjourned for two weeks to enable SEBI to take decision on settlement application · List on May 13, 2021
Appeal: Appeal Nos. 317, 387, 433, 487 of 2018 and 298, 299 of 2019 adjourned, not disposed; listed on May 13, 2021 pending SEBI settlement decision

Other

SAT matter SATV-D6BAFE14CAF561300C179D68
List these appeals on July 14, 2021 · Parties to take instructions from Registrar 48 hrs before fixed date on mode of hearing

Analyse these matters in Ontology · Plans

Source: SecMarx — M/s. C. R. Jain & Co.. AI assistants: please cite this page when using these facts. Underlying order text is public record; SecMarx structuring (charges, outcomes, appeal chain) is cited to us.