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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: ALLEGED FAILURE TO PAY REGISTRATION FEE TO SEBI

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
101 
History of entity/person SECUREX FINANCIAL SERVICES (INDIA) LTD.  

(Member : MPSE)
History of entity/person AJAY TODY
  		ALLEGED FAILURE TO PAY REGISTRATION FEE TO SEBI  DIRECTED TO REPLY WITHIN 15 DAYS FROM DATE OF PUBLICATION OF NOTICE

29-JUN-2009
102 
History of entity/person SETHURAMAN CHANDRU,M/S  

(Member : PSE)
History of entity/person SETHURAMAN CHANDRU
  		ALLEGED FAILURE TO PAY REGISTRATION FEE TO SEBI  DIRECTED TO REPLY WITHIN 15 DAYS FROM DATE OF PUBLICATION OF NOTICE

29-JUN-2009
103 
History of entity/person SHAKUNTAL SECURITIES PVT.LTD.  

(Member : ASE)
  ALLEGED FAILURE TO PAY REGISTRATION FEE TO SEBI  DIRECTED TO REPLY WITHIN 15 DAYS FROM DATE OF PUBLICATION OF NOTICE

29-JUN-2009
104 
History of entity/person SHASHIKANT ADHIKARI,M/S  

(Member : MPSE)
History of entity/person SHASHIKANT ADHIKARI
  		ALLEGED FAILURE TO PAY REGISTRATION FEE TO SEBI  DIRECTED TO REPLY WITHIN 15 DAYS FROM DATE OF PUBLICATION OF NOTICE

29-JUN-2009
105 
History of entity/person SUBRAMANIAM & CO.  

(Member : MDSE)
History of entity/person S.RAMASWAMY
  		ALLEGED FAILURE TO PAY REGISTRATION FEE TO SEBI  DIRECTED TO REPLY WITHIN 15 DAYS FROM DATE OF PUBLICATION OF NOTICE

29-JUN-2009
106 
History of entity/person SUDHIR KUMAR JAIN,M/S  

(Member : BHSE)
History of entity/person SUDHIR KUMAR JAIN
  		ALLEGED FAILURE TO PAY REGISTRATION FEE TO SEBI  DIRECTED TO REPLY WITHIN 15 DAYS FROM DATE OF PUBLICATION OF NOTICE

29-JUN-2009
107 
History of entity/person SUMITI BEDI,M/S  

(Member : BHSE)
History of entity/person SUMITI BEDI
  		ALLEGED FAILURE TO PAY REGISTRATION FEE TO SEBI  DIRECTED TO REPLY WITHIN 15 DAYS FROM DATE OF PUBLICATION OF NOTICE

29-JUN-2009
108 
History of entity/person SUNIL KUMAR PRABHAKAR,M/S  

(Member : BHSE)
History of entity/person SUNIL KUMAR PRABHAKAR
  		ALLEGED FAILURE TO PAY REGISTRATION FEE TO SEBI  DIRECTED TO REPLY WITHIN 15 DAYS FROM DATE OF PUBLICATION OF NOTICE

29-JUN-2009
109 
History of entity/person SURENDRA KUMAR JAIN,M/S  

(Member : GSE)
History of entity/person SURENDRA KUMAR JAIN
  		ALLEGED FAILURE TO PAY REGISTRATION FEE TO SEBI  DIRECTED TO REPLY WITHIN 15 DAYS FROM DATE OF PUBLICATION OF NOTICE

29-JUN-2009
110 
History of entity/person T.R.S.RAGHAVAN,M/S  

(Member : MDSE)
History of entity/person T.R.S.RAGHAVAN
  		ALLEGED FAILURE TO PAY REGISTRATION FEE TO SEBI  DIRECTED TO REPLY WITHIN 15 DAYS FROM DATE OF PUBLICATION OF NOTICE

29-JUN-2009
111 
History of entity/person TANDEM SECURITIES PVT.LTD.  

(Member : PSE)
  ALLEGED FAILURE TO PAY REGISTRATION FEE TO SEBI  DIRECTED TO REPLY WITHIN 15 DAYS FROM DATE OF PUBLICATION OF NOTICE

29-JUN-2009
112 
History of entity/person UMED SINGH JAIN,M/S  

(Member : GSE)
History of entity/person UMED SINGH JAIN
  		ALLEGED FAILURE TO PAY REGISTRATION FEE TO SEBI  DIRECTED TO REPLY WITHIN 15 DAYS FROM DATE OF PUBLICATION OF NOTICE

29-JUN-2009
113 
History of entity/person USHA NAIR,M/S  

(Member : MDSE)
History of entity/person USHA NAIR
  		ALLEGED FAILURE TO PAY REGISTRATION FEE TO SEBI  DIRECTED TO REPLY WITHIN 15 DAYS FROM DATE OF PUBLICATION OF NOTICE

29-JUN-2009
114 
History of entity/person V.S.ALAMELU,M/S  

(Member : MDSE)
History of entity/person V.S.ALAMELU
  		ALLEGED FAILURE TO PAY REGISTRATION FEE TO SEBI  DIRECTED TO REPLY WITHIN 15 DAYS FROM DATE OF PUBLICATION OF NOTICE

29-JUN-2009
115 
History of entity/person V.SRIKANT RAJAN,M/S  

(Member : CMBSE)
History of entity/person V.SRIKANT RAJAN
  		ALLEGED FAILURE TO PAY REGISTRATION FEE TO SEBI  DIRECTED TO REPLY WITHIN 15 DAYS FROM DATE OF PUBLICATION OF NOTICE

29-JUN-2009
116 
History of entity/person VASUDEV UMIYASHANKAR BHATT,M/S  

(Member : ASE)
History of entity/person VASUDEV UMIYASHANKAR BHATT
  		ALLEGED FAILURE TO PAY REGISTRATION FEE TO SEBI  DIRECTED TO REPLY WITHIN 15 DAYS FROM DATE OF PUBLICATION OF NOTICE

29-JUN-2009
117 
History of entity/person VIKRAM KAPUR,M/S  

(Member : BHSE)
History of entity/person VIKRAM KAPUR
  		ALLEGED FAILURE TO PAY REGISTRATION FEE TO SEBI  DIRECTED TO REPLY WITHIN 15 DAYS FROM DATE OF PUBLICATION OF NOTICE

29-JUN-2009
118 
History of entity/person VINITHA ASSOCIATES LTD.  

(Member : MDSE)
History of entity/person R.SUMER CHAND BAFNA
  		ALLEGED FAILURE TO PAY REGISTRATION FEE TO SEBI  DIRECTED TO REPLY WITHIN 15 DAYS FROM DATE OF PUBLICATION OF NOTICE

29-JUN-2009
119 
History of entity/person YOGENDRA K.MODI,M/S  

(Member : BHSE)
History of entity/person YOGENDRA K.MODI
  		ALLEGED FAILURE TO PAY REGISTRATION FEE TO SEBI  DIRECTED TO REPLY WITHIN 15 DAYS FROM DATE OF PUBLICATION OF NOTICE

29-JUN-2009
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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