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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
21 
History of entity/person ANISH USHAKANT DAMANI,M/S  

(Member : SKSE)
History of entity/person ANISH USHAKANT DAMANI
  		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STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION
22 
History of entity/person ANITA KHANNA,M/S  

(Member : JSE)
History of entity/person ANITA KHANNA
  		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
23 
History of entity/person ANJAN KUMAR TEKRIWAL,M/S  

(Member : MGSE)
History of entity/person ANJAN KUMAR TEKRIWAL
  		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STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION
24 
History of entity/person ANJU JHUNJHUNWALA,M/S  

(Member : UPSE)
History of entity/person ANJU JHUNJHUNWALA
  		DID NOT PAY FEES TO SEBI  INITIATED ENQUIRY PROCEEDINGS

28-OCT-2009
25 
History of entity/person ANJU RANI AGRAWAL,M/S  

(Member : MGSE)
History of entity/person ANJU RANI 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
26 
History of entity/person ANNU AGRAWAL,M/S  

(Member : JSE)
History of entity/person ANNU AGRAWAL
  		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
27 
History of entity/person ANTIQUE STOCK BROKING LTD.  

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

15-SEP-2009 		PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 15/09/2009
28 
History of entity/person APAAR FINANCE & INVESTMENT LTD.  

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

28-OCT-2009
29 
History of entity/person ARCHANA RASTOGI,M/S  

(Member : UPSE)
History of entity/person ARCHANA RASTOGI
  		DID NOT PAY FEES TO SEBI  INITIATED ENQUIRY PROCEEDINGS

28-OCT-2009
30 
History of entity/person ARUN KHERA,M/S  

(Member : JSE)
History of entity/person ARUN KHERA
  		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
31 
History of entity/person ARUN KUMAR SHARMA,M/S  

(Member : MGSE)
History of entity/person ARUN KUMAR SHARMA
  		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
32 
History of entity/person ARUN M.THANVI,M/S  

(Member : JSE)
History of entity/person ARUN M.THANVI
  		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
33 
History of entity/person ARUNA FINCAP PVT.LTD.  

(Member : HSE)
  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
34 
History of entity/person ASHOK KUMAR SURANA,M/S  

(Member : MGSE)
History of entity/person ASHOK KUMAR SURANA
  		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
35 
History of entity/person ASHOK MAKKER,M/S  

(Member : LSE)
History of entity/person ASHOK MAKKER
  		DID NOT PAY FEES TO SEBI  INITIATED ENQUIRY PROCEEDINGS

28-OCT-2009
36 
History of entity/person ASHOK SAHNI,M/S  

(Member : UPSE)
History of entity/person ASHOK SAHNI
  		DID NOT PAY FEES TO SEBI  INITIATED ENQUIRY PROCEEDINGS

28-OCT-2009
37 
History of entity/person ASHOKKUMAR JASHBHAI PATEL,M/S  

(Member : VSE)
History of entity/person ASHOKKUMAR JASHBHAI PATEL
  		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
38 
History of entity/person ASHWANY KUMAR SAWHNEY,M/S  

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

28-OCT-2009
39 
History of entity/person AURO SECURITIES PVT.LTD.  

(Member : BHSE)
  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
40 
History of entity/person B.A.INVESTMENTS  

(Member : MNGSE)
History of entity/person K.BALARAMA ACHARYA
  		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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