COURT ARCHIVE

Securities Appellate Tribunal Mumbai judgments, 2019

23 judgments · page 1 of 2

Tribunals and Commissions30 Dec 2019 Allowed

Vipul Mohan Joshi Vs Securities And Exchange Board Of India

Securities Appellate Tribunal Mumbai · (2019) 12 SEBI CK 0001

Securities And Exchange Board Of India (Prohibition Of Fraudulent And Unfair Trade Practices Relating To Securities Market) Regulations, 2003 — Regulation 3(a), 3(b), 3(c), 3(d), 4(2)(d), 4(2)(e)Securities And Exchange Board Of India Act, 1992 — Section 11B, 15I

Tribunals and Commissions24 Dec 2019Partly Allowed

M/s Star India Market Research Vs Securities And Exchange Board Of India

Securities Appellate Tribunal Mumbai · (2019) 12 SEBI CK 0003

Securities And Exchange Board Of India (Investment Advisors) Regulations, 2013 — Regulation 15, 16, 17Securities And Exchange Board Of India Act, 1992 — Section 15HB, 15J

Tribunals and Commissions24 Dec 2019Dismissed

Advance Lifestyles Ltd Vs BSE Ltd

Securities Appellate Tribunal Mumbai · (2019) 12 SEBI CK 0002

Tribunals and Commissions19 Dec 2019Dismissed

M/s Blue Peacock Securities Pvt. Ltd And Others Vs Securities And Exchange Board Of India

Securities Appellate Tribunal Mumbai · (2019) 12 SEBI CK 0006

Securities And Exchange Board Of India (Prohibition Of Fraudulent And Unfair Trade Practices Relating To Securities Market) Regulations, 2003 — Regulation 3 (a), 3(b), 3(c), 3(d), 4(1), 4(2)(a)Securities And Exchange Board Of India Act, 1992 — Section 15HA

Tribunals and Commissions19 Dec 2019Dismissed

Rajendra Kumar Dabriwala Vs Securities And Exchange Board Of India

Securities Appellate Tribunal Mumbai · (2019) 12 SEBI CK 0005

Tribunals and Commissions18 Dec 2019Dismissed

Securities And Exchange Board Of India Vs Rakesh Singh Narwaria And Others

Securities Appellate Tribunal Mumbai · (2019) 12 SEBI CK 0007

Constitution Of India, 1950 — Article 21Securities And Exchange Board Of India (Procedure For Holding Inquiry And Imposing Penalties By Adjudicating Officer) Rules, 1995 — Rule 7, 7(a), 7(c)Securities And Exchange Board Of India (Prohibition Of Fraudulent And Unfair Trade Practices Relating To Securities Market) Regulations, 2003 — Regulation 3, 4

Tribunals and Commissions17 Dec 2019Disposed Of

Axis Bank Limited Vs Securities And Exchange Board Of India And Others

Securities Appellate Tribunal Mumbai · (2019) 12 SEBI CK 0008

Securities And Exchange Board Of India Act, 1992 — Section 30Depositories Act, 1996 — Section 23A

Tribunals and Commissions12 Dec 2019 Allowed

Kishore V. Gandhi Vs Securities And Exchange Board Of India

Securities Appellate Tribunal Mumbai · (2019) 12 SEBI CK 0009

Constitution Of India, 1950 — Article 14Securities And Exchange Board Of India (Procedure For Holding Inquiry And Imposing Penalties By Adjudicating Officer) Rules, 1995 — Rule 7, 7(a), 7(c)Securities And Exchange Board Of India (Prohibition Of Fraudulent And Unfair Trade Practices Relating To Securities Market) Regulations, 2003 — Regulation 3, 4

Tribunals and Commissions11 Dec 2019Dismissed

Arun Goenka Vs Securities And Exchange Board Of India And Others

Securities Appellate Tribunal Mumbai · (2019) 12 SEBI CK 0010

Securities And Exchange Board Of. India (Substantial Acquisition Of Shares And Takeovers) Regulations, 1997 — Regulation 10, 11, 12, 14(1), 20(4), 20(5), 24(7)Takeover Regulations, 2011 — Regulation 35(2)(c)

Tribunals and Commissions09 Dec 2019Disposed Of

Devendra Suresh Gupta Vs Securities And Exchange Board Of India

Securities Appellate Tribunal Mumbai · (2019) 12 SEBI CK 0013

Tribunals and Commissions09 Dec 2019 Allowed

Anilkumar Nandkumar Harchandani And Others Vs Adjudicating Officer

Securities Appellate Tribunal Mumbai · (2019) 12 SEBI CK 0012

Securities And Exchange Board Of India (Substantial Acquisition Of Shares And Takeovers) Regulations, 1997 — Regulation 11(1)

Tribunals and Commissions09 Dec 2019Dismissed

Parsoli Corporation Ltd Vs Securities And Exchange Board Of India

Securities Appellate Tribunal Mumbai · (2019) 12 SEBI CK 0011

Code Of Civil Procedure, 1908 — Order 41 Rule 27Securities And Exchange Board Of India (Prohibition Of Fraudulent And Unfair Trade Practices Relating To Securities Market) Regulations, 2003 — Regulation 3, 4Securities And Exchange Board Of India (Stock Brokers And Sub-Brokers) Regulations, 1992 — Regulation 9

Tribunals and Commissions04 Dec 2019Partly Allowed

Sweta Virendra Shah Vs Securities And Exchange Board Of India

Securities Appellate Tribunal Mumbai · (2019) 12 SEBI CK 0015

Securities And Exchange Board Of India (Prohibition Of Insider Trading) Regulations, 2015 — Regulation 9(1)Securities And Exchange Board Of India Act, 1992 — Section 15I, 15J

Tribunals and Commissions04 Dec 2019Disposed Of

HDFC Bank Ltd And Others Vs Securities And Exchange Board Of India And Others

Securities Appellate Tribunal Mumbai · (2019) 12 SEBI CK 0014

Depositories Act, 1996 — Section 12

Tribunals and Commissions03 Dec 2019Disposed Of

Bajaj Finance Limited Vs Securities And Exchange Board Of India And Others

Securities Appellate Tribunal Mumbai · (2019) 12 SEBI CK 0017

Tribunals and Commissions03 Dec 2019Disposed Of

Karvy Stock Broking Limited Vs National Stock Exchange Of India

Securities Appellate Tribunal Mumbai · (2019) 12 SEBI CK 0016

Securities Contracts (Regulation) Act, 1956 — Section 4B, 9, 22B, 22C, 22D, 22E, 23L

Tribunals and Commissions29 Nov 2019Disposed Of

Karvy Stock Broking Limited Vs Securities And Exchange Board Of India

Securities Appellate Tribunal Mumbai · (2019) 11 SEBI CK 0002

Tribunals and Commissions28 Nov 2019Disposed Of

Inventure Finance Pvt. Ltd. Vs Securities And Exchange Board Of India

Securities Appellate Tribunal Mumbai · (2019) 11 SEBI CK 0003

Securities And Exchange Board Of India Act, 1992 — Section 11(1), 11(4), 11B

Tribunals and Commissions27 Nov 2019Dismissed

Chhaya Umeshchandra Trivedi Vs Securities And Exchange Board Of India

Securities Appellate Tribunal Mumbai · (2019) 11 SEBI CK 0008

Tribunals and Commissions27 Nov 2019Partly Allowed

Naishadh Desai Vs Securities & Exchange Board Of India

Securities Appellate Tribunal Mumbai · (2019) 11 SEBI CK 0007

Securities And Exchange Board Of India (Prohibition Of Insider Trading) Regulations, 1992 — Regulation 12(1)Securities And Exchange Board Of India (Prohibition Of Insider Trading) Regulations, 2015 — Regulation 12Securities And Exchange Board Of India Act, 1992 — Section 15HA, 15HB, 15J