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Securities Appellate Tribunal Mumbai judgments

1,324 judgments · page 2 of 67

Tribunals and Commissions20 Dec 2023Partly Allowed/ Allowed

M/s. Rupak Trading Pvt. Ltd And Others Vs Securities And Exchange Board Of India

Securities Appellate Tribunal Mumbai · (2023) 12 SEBI CK 0039

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), 4(2)(e)Securities And Exchange Board Of India Act, 1992 — Section 12A(a), 12A(b), 12(c), 15HA
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Tribunals and Commissions14 Dec 2023Allowed

M/s. Ethan Constructions Pvt. Ltd Vs Securities And Exchange Board Of India

Securities Appellate Tribunal Mumbai · (2023) 12 SEBI CK 0037

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), 4(1), 4(2)(a), 4(2)(e)Securities And Exchange Board Of India Act, 1992 — Section 11(1), 11(4), 11B
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Tribunals and Commissions13 Dec 2023Allowed

Jio Financial Services Ltd Vs Securities And Exchange Board Of India

Securities Appellate Tribunal Mumbai · (2023) 12 SEBI CK 0035

Securities And Exchange Board Of India (Prohibition Of Fraudulent And Unfair Trade Practices Relating To Securities Market) Regulations, 2003 — Regulation 3, 3(d), 4, 4(1), 4(2)(e)Securities And Exchange Board Of India Act, 1992 — Section 12A, 12A(c)Securities Contracts (Regulation) Act, 1956 — Section 2(d), 18A
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Tribunals and Commissions11 Dec 2023Dismissed

M/s. Restock Research Vs Securities And Exchange Board Of India

Securities Appellate Tribunal Mumbai · (2023) 12 SEBI CK 0020

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 (Investment Advisers) Regulations, 2013 — Regulation 3, 3(1)Securities And Exchange Board Of India Act, 1992 — Section 12(1), 15HA, 15HB
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Tribunals and Commissions04 Dec 2023Allowed

Chaturvedi & Shah LLP Vs Securities And Exchange Board Of India

Securities Appellate Tribunal Mumbai · (2023) 12 SEBI CK 0010

Securities And Exchange Board Of India (Prohibition Of Fraudulent And. Unfair Trade Practices Relating To Securities Market) Regulations, 2003 — Regulation 3, 3(b), 3(c), 3(d), 4, 4(1), 4(2)(f), 4(2)(k), 4(2)(r), 11Securities And Exchange Board Of India Act, 1992 — Section 11, 11(1), 11(4), 11B, 12, 12A, 12A(a), 12A(b), 12A(c), 15HA
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Tribunals and Commissions04 Dec 2023Party Allowed

Mahendra Singh Bisht And Others Vs Securities & Exchange Board Of India

Securities Appellate Tribunal Mumbai · (2023) 12 SEBI CK 0002

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, 15HA, 15J
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Tribunals and Commissions04 Dec 2023Dismissed/Disposed Of

Patibandla Venkata Vasanta Kumar Vs Securities & Exchange Board Of India

Securities Appellate Tribunal Mumbai · (2023) 12 SEBI CK 0001

Securities And Exchange Board Of India (Investment Advisers) Regulations, 2013 — Regulation 3(1)Securities And Exchange Board Of India (Intermediaries) Regulations, 2008 — Regulation 35Securities And Exchange Board Of India Act, 1992 — Section 11, 12(1)
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