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        SEBI

        AT partially upheld SEBI's order against a registered...

        Stockbroker Penalized Rs. 15 Lakhs for Client Fund Misuse and Excess Trading Exposure Beyond T+2+5 Days

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                          Cases where this provision is explicitly mentioned in the judgment/order text; may not be exhaustive. To view the complete list of cases mentioning this section, Click here.
                            Provisions expressly mentioned in the judgment/order text.
                                AT partially upheld SEBI's order against a registered stockbroker for misuse of client funds and providing excess exposure beyond T+2+5 days. The broker misutilized funds ranging from Rs. 88,000 to Rs. 2.48 crores across 31 instances, using credit balance clients' funds for debit balance clients' obligations. The charge of non-issuance of contract notes was dismissed as untenable. Applying the doctrine of proportionality and considering precedent of Angel Broking Ltd., while noting the appellant's status as a repeat offender, AT reduced the penalty from original amount to Rs. 15 lakhs.
                                Note: It is a system-generated summary and is for quick reference only.
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