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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: ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
81 
History of entity/person VINOD KUMAR & CO.  

(Member : UPSE)
  ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS

DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK

DID NOT ISSUE CONTRACT NOTES

DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK

DEFICIENCIES IN CLIENT DATABASE

DID NOT MAKE PAYMENTS TO CLIENTS IN TIME

DID NOT DELIVER SECURITIES TO CLIENTS IN TIME

DID NOT FRAME CODE OF INTERNAL PROCEDURES AND CONDUCT FOR PREVENTION OF INSIDER TRADING

ALLEGED NON-COMPLIANCE OF REQUIREMENTS OF UNIQUE CLIENT CODE  		SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-SEP-2006 TO 11-OCT-2006

06-SEP-2006
82 
History of entity/person VIPINBHAI CHINUBHAI DALAL,M/S  

(Member : ASE)
History of entity/person VIPINBHAI CHINUBHAI DALAL
  		DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER  CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

20-FEB-2002
83 
History of entity/person VKB CAPITAL SERVICES LTD.  

(Member : LSE)
  DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS

COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER

INDULGED IN OFF-THE-FLOOR TRANSACTIONS

DID NOT DELIVER SECURITIES TO CLIENTS IN TIME

DID NOT PAY FEES TO SEBI  		SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-JAN-2004 TO 06-APR-2004

17-DEC-2003
84 
History of entity/person YKS CAPITAL SERVICES PVT.LTD.  

(Member : DSE)
  DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER

COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES

DEFICIENCIES IN CLIENT DATABASE

DEALT WITH UN-REGISTERED SUB-BROKERS

DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE

DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER  		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

03-JUL-2001
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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