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SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
PERIOD COVERED : 01-JAN-1997 TO 29-APR-2025

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

STOCK BROKERS: INITIATED ENQUIRY PROCEEDINGS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person A.S.P.INVESTMENTS & CO.  

(Member : MGSE)
History of entity/person SUNITA SRIWASTAW
  		DID NOT PAY FEES TO SEBI  INITIATED ENQUIRY PROCEEDINGS

23-APR-2009 		PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION
2 
History of entity/person ABC & CO.  

(Member : MGSE)
History of entity/person RENU KHANNA
  		DID NOT PAY FEES TO SEBI  INITIATED ENQUIRY PROCEEDINGS

23-APR-2009 		PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION
3 
History of entity/person ADITYA MONEYCARE PVT.LTD.  

(Member : VSE)
  DID NOT PAY FEES TO SEBI  INITIATED ENQUIRY PROCEEDINGS

22-MAR-2010 		PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 22/03/2010
4 
History of entity/person AGRAWAL & TIBREWAL  

(Member : MGSE)
History of entity/person SHIV KUMAR AGRAWAL
  		DID NOT PAY FEES TO SEBI  INITIATED ENQUIRY PROCEEDINGS

23-APR-2009 		PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION
5 
History of entity/person AJAY JAIN,M/S  

(Member : GSE)
History of entity/person AJAY JAIN
  		DID NOT PAY FEES TO SEBI  INITIATED ENQUIRY PROCEEDINGS

07-MAY-2009 		PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 07/05/2009
6 
History of entity/person AJAY KUMAR ARORA,M/S  

(Member : ICSE)
History of entity/person AJAY KUMAR ARORA
  		DID NOT PAY FEES TO SEBI  INITIATED ENQUIRY PROCEEDINGS

09-JUN-2009 		PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 09/06/2009
7 
History of entity/person AJAY KUMAR GUPTA,M/S  

(Member : UPSE)
History of entity/person AJAY KUMAR GUPTA
  		DID NOT PAY FEES TO SEBI  INITIATED ENQUIRY PROCEEDINGS

22-MAR-2010 		PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 22/03/2010
8 
History of entity/person AJOY BIJAPURKAR,M/S  

(Member : BHSE)
History of entity/person AJOY BIJAPURKAR
  		DID NOT PAY FEES TO SEBI  INITIATED ENQUIRY PROCEEDINGS

22-MAR-2010 		PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 22/03/2010
9 
History of entity/person ALL TIME PORTFOLIO PVT.LTD.  

(Member : LSE)
  DID NOT PAY FEES TO SEBI  INITIATED ENQUIRY PROCEEDINGS

28-OCT-2009
10 
History of entity/person AMIT KUMAR BAKLIWAL,M/S  

(Member : JSE)
History of entity/person AMIT KUMAR BAKLIWAL
  		DID NOT PAY FEES TO SEBI  INITIATED ENQUIRY PROCEEDINGS

13-NOV-2009 		PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 13/11/2009
11 
History of entity/person AMIT SAHITA FINANCE PVT.LTD.  

(Member : ICSE)
  DID NOT PAY FEES TO SEBI  INITIATED ENQUIRY PROCEEDINGS

09-JUN-2009 		PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 09/06/2009
12 
History of entity/person ANAND JALAN,M/S  

(Member : ICSE)
History of entity/person ANAND JALAN
  		DID NOT PAY FEES TO SEBI  INITIATED ENQUIRY PROCEEDINGS

20-AUG-2009 		PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 20/08/2009
13 
History of entity/person ANANDI INVESTMENTS  

(Member : ICSE)
History of entity/person CHANDRA PRAKASH CHATURVEDI
  		DID NOT PAY FEES TO SEBI  INITIATED ENQUIRY PROCEEDINGS

09-JUN-2009 		PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 09/06/2009
14 
History of entity/person ANANT PURENDER REDDY,M/S  

(Member : HSE)
History of entity/person ANANT PURENDER REDDY
  		DID NOT PAY FEES TO SEBI  INITIATED ENQUIRY PROCEEDINGS

23-APR-2009 		PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION
15 
History of entity/person ANANTRAI DHANJIBHAI PATEL,M/S  

(Member : SKSE)
History of entity/person ANANTRAI DHANJIBHAI PATEL
  		DID NOT PAY FEES TO SEBI  INITIATED ENQUIRY PROCEEDINGS

23-APR-2009 		PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION
16 
History of entity/person ANIL CHOUDHARY & CO.  

(Member : MGSE)
History of entity/person ANIL KUMAR CHOUDHARY
  		DID NOT PAY FEES TO SEBI  INITIATED ENQUIRY PROCEEDINGS

23-APR-2009 		PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION
17 
History of entity/person ANIL K.GAKKHAR,M/S  

(Member : LSE)
History of entity/person ANIL K.GAKKHAR
  		DID NOT PAY FEES TO SEBI  INITIATED ENQUIRY PROCEEDINGS

28-OCT-2009
18 
History of entity/person ANIL KISHORE NAVANDER,M/S  

(Member : HSE)
History of entity/person ANIL KISHORE NAVANDER
  		DID NOT PAY FEES TO SEBI  INITIATED ENQUIRY PROCEEDINGS

23-APR-2009 		PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION
19 
History of entity/person ANIL KUMAR,M/S  

(Member : MGSE)
History of entity/person ANIL KUMAR
  		DID NOT PAY FEES TO SEBI  INITIATED ENQUIRY PROCEEDINGS

23-APR-2009 		PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION
20 
History of entity/person ANIL M.SHAH,M/S  

(Member : SKSE)
History of entity/person ANIL M.SHAH
  		DID NOT PAY FEES TO SEBI  INITIATED ENQUIRY PROCEEDINGS

23-APR-2009 		PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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