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Securities Appellate Tribunal Mumbai judgments, 2023

215 judgments · page 8 of 11

Tribunals and Commissions13 Apr 2023Disposed Of

M/s Capital Mars Vs Securities And Exchange Board Of India

Securities Appellate Tribunal Mumbai · (2023) 04 SEBI CK 0019

Securities And Exchange Board Of India (Procedure For Holding Inquiry And Imposing Penalties) Rules, 1995 — Rule 7Securities And Exchange Board Of India (Investment Advisers) Regulations, 2013 — Regulation 3(1)
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Tribunals and Commissions28 Mar 2023Dismissed

Sourabh Rai Vs Securities And Exchange Board Of India

Securities Appellate Tribunal Mumbai · (2023) 03 SEBI CK 0052

Securities And Exchange Board Of India (Investment Advisers) Regulations, 2013 — Regulation 3(1)Securities And Exchange Board Of India Act, 1992 — Section 12(1)
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Tribunals and Commissions27 Mar 2023Partly Allowed

Arshad Hussain Warsi And Others Vs Securities And Exchange Board Of India

Securities Appellate Tribunal Mumbai · (2023) 03 SEBI CK 0055

Code Of Civil Procedure, 1908 — Order 38 Rule 5, Order 38 Rule 6, Order 38 Rule 7, Order 38 Rule 8, Order 38 Rule 9, Order 38 Rule 10, Order 38 Rule 11, Order 38 Rule 12, Order 38 Rule 13Securities And Exchange Board Of India (Prohibition Of Fraudulent And Unfair Trading Practices Relating To Securities Market) Regulations, 2003 — Regulation 3, 4Securities And Exchange Board Of India Act, 1992 — Section 11, 11(1), 11(4), 11B, 11(2), 12A, 83, 83(1)
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Tribunals and Commissions16 Mar 2023Dismissed

Sonal Vijay Mehta Vs Securities And Exchange Board Of India

Securities Appellate Tribunal Mumbai · (2023) 03 SEBI CK 0030

Securities 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 Act, 1992 — Section 12A
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