To
All Trading Members of the Exchange
Sub: Final Order Under Sections 11(1), 11(2)(b), 11(4) And Section 11B of the SEBI Act Read with Regulation 11 of The Securities And Exchange Board Of India (Prohibition Of Fraudulent And Unfair Trade Practices Relating To Securities Market) Regulations, 2003 and The SEBI (Stock Brokers And Sub Brokers) Regulations, 1992 in the matter of OPG Securities Private Limited.
SEBI, vide its Order no. WTM/GM/EFD/02/2019–20 dated April 30, 2019 has inter-alia prohibited the following entities from accessing the securities market and from buying, selling or otherwise dealing in securities, either directly or indirectly, for a period of five years from the date of this Order. During the period of restraint, the existing holding of securities (including units of mutual funds) of the Noticees shall remain frozen.
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Sr. No.
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Noticees
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PAN
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1
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OPG SECURITIES PRIVATE LIMITED (Proprietary account)
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AAACO1081C
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2
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SANJAY GUPTA
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AAHPG3047Q
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3
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SANGEETA GUPTA
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AAHPG6984C
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4
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OM PRAKASH GUPTA
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AAHPG3048B
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OPG Securities Private Limited, in its capacity as a Stock Broker, shall not take any new clients for a period of one year from the date of this Order.
The SCN dated July 3, 2018 read with the Supplementary SCN dated July 31, 2018, issued against Aman Kokrady (PAN: AKQPK3220N), has been disposed of without any further directions.
This Order shall come into force with immediate effect.
A copy of the said Order is attached herewith and also available on the SEBI website www.sebi.gov.in.
Trading members are advised to take note of the same and ensure compliance.
Shaila Valsan Fahad Kapadia
Manager Assistant Manager
Surveillance Surveillance
Date: April 30, 2019
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