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Securities Appellate Tribunal Mumbai judgments, 2021

515 judgments · page 9 of 26

Tribunals and Commissions04 Aug 2021Partly Allowed

Korp Securities Ltd Vs Securities And Exchange Board Of India

Securities Appellate Tribunal Mumbai · (2021) 08 SEBI CK 0012

Securities And Exchange Board Of India (Prohibition Of Fraudulent And Unfair Trade Practices Relating To Securities Market) Regulations, 2003 — Regulation 3, 3(a), 3(b), 3(c), 3(d), 4, 4(1), 4(2)(a)Securities And Exchange Board Of India (Stock Brokers And Sub Brokers) Regulations, 1992 — Regulation 9Securities And Exchange Board Of India Act, 1992 — Section 15HB
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Tribunals and Commissions02 Aug 2021Allowed

Rajendra Gothi Vs Securities And Exchange Board Of India

Securities Appellate Tribunal Mumbai · (2021) 08 SEBI CK 0006

Securities And Exchange Board Of India (Prohibition Of Fraudulent And Unfair Trade Practices Relation To Securities Market) Regulations, 2003 — Regulation 3, 4Securities And Exchange Board Of India Act, 1992 — Section 11, 11B, 12A
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Tribunals and Commissions02 Aug 2021Dismissed

Navin Kumar Tayal And Others Vs Securities And Exchange Board Of India

Securities Appellate Tribunal Mumbai · (2021) 08 SEBI CK 0005

Securities And Exchange Board Of India (Prohibition Of Insider Trading) Regulations, 1992 — Regulation 2ha(v), 2(h)(ix), 2(k), 3A, 4, 12Securities And Exchange Board Of India (Prohibition Of Fraudulent And Unfair Trade Practices Relation To Securities Market) Regulations, 2003 — Regulation 3, 4, 47Banking Regulation Act, 1949 — Section 44A
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