| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 8681 |
|
VISHNUDAS G.KOTAK,M/S
(Member : SKSE)
|
|
|
|
VISHNUDAS GOPALJI KOTAK
|
|
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STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION
|
| 8682 |
|
|
VISHNUDAS GOPALJI KOTAK
|
|
|
|
VISHNUDAS G.KOTAK,M/S
(Member : SKSE)
|
|
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STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION
|
| 8683 |
|
|
VISHVAS SECURITIES LTD.
(PAN:AAACV2921N)
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF TRADES IN SCRIP OF EXEDY INDIA LTD.
|
IMPOSED PENALTY RS.10,00,000
12-MAR-2013
|
SEBI VIDE ITS NOTICE DATED 31/08/2016 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 8684 |
|
|
VISHVAS SECURITIES LTD.
(CIN:U67120DL1995PLC066668
PAN:AAACV2921N)
(Member : NSE)
|
|
|
DID NOT FURNISH INFORMATION IN RESPONSE TO SUMMONS ISSUED IN MATTER OF MEFCOM AGRO INDUSTRIES LTD.
|
IMPOSED PENALTY RS.15,00,000
28-FEB-2019
|
SEBI VIDE ITS NOTICE DATED 30/08/2022 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS ORDER DATED 06/09/2022 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNTS OF VISHWAS ECURITIES LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 8685 |
|
|
VISHVAS SECURITIES LTD.
(PAN:AAACV2921N)
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF, SYNCHRONIZED AND CIRCULAR TRADES IN SCRIP OF GANGOTRI TEXTILES LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATIONS 7, 17(1) READ WITH 18 OF CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF GANGOTRI TEXTILES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-OCT-2016 TO 12-APR-2017
20-SEP-2016
|
|
| 8686 |
|
|
VISHVAS SECURITIES LTD.
(CIN:U67120DL1995PLC066668
PAN:AAACV2921N)
(Member : OTC)
|
|
|
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
|
| 8687 |
|
|
VISHWABHARATHI INVESTMENTS PVT.LTD.
(Member : CMBSE)
|
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 15-OCT-1998 TO 14-NOV-1998
08-OCT-1998
|
|
| 8688 |
|
|
VISHWAMONI FINSTOCK PVT.LTD.
(Member : MGSE)
|
|
|
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
|
| 8689 |
|
|
VISHWAS FINCAP SERVICES PVT.LTD.
(PAN:AAACV4205D)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 8690 |
|
|
VISION SECURITIES LTD.
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
|
SHOW CAUSE NOTICE ISSUED
SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-FEB-2010 TILL REGISTRATION FEE DEPOSITED
09-NOV-2009
|
SEBI VIDE ORDER DATED 03/02/2010, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEE IS FULLY PAID
|
| 8691 |
|
|
VISUAL SECURITIES PVT.LTD.
(PAN:AACCV0672Q)
(Member : BSE/NSE)
|
|
|
ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
17-MAR-2026
|
|
| 8692 |
|
|
VISWA SAI SECURITIES
(Member : HSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-JUN-2004
30-JUN-2004
|
|
| 8693 |
|
|
VIVEK AGARWAL
|
|
|
|
VIVEK AGARWAL,M/S
(Member : DSE)
|
|
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
|
| 8694 |
|
|
VIVEK AGARWAL,M/S
(Member : DSE)
|
|
|
|
VIVEK AGARWAL
|
|
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
|
| 8695 |
|
|
VIVEK FINANCIAL SERVICES
(Member : CMBSE)
|
|
|
|
VENKATASUBRAMANIAN S.
|
|
VIOLATED SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 27-AUG-2004
27-AUG-2004
|
|
| 8696 |
|
|
VIVEK GUPTA
|
|
|
|
MANOG SECURITIES PVT.LTD.
(Member : NSE)
|
|
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
DID NOT ISSUE CONTRACT NOTES IN SPECIFIED FORMAT
DID NOT MAINTAIN HIGH STANDARDS OF INTEGRITY AND FAIRNESS IN CONDUCT OF BUSINESS
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
DID NOT MAINTAIN CLIENT DATABASE
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
IMPOSED PENALTY RS.1,50,000
20-SEP-2006
|
|
| 8697 |
|
|
VIVEKANANDA SAFE INVESTMENTS
(Member : COCSE)
|
|
|
|
K.C.MENON
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-MAR-2007 TO 06-SEP-2007
07-MAR-2007
|
|
| 8698 |
|
|
VIVENASRI FINANCIAL SERVICES LTD.
(CIN:U65921TG1994PLC018806)
(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
|
| 8699 |
|
|
VIVENASRI FINANCIAL SERVICES LTD.
(CIN:U65921TG1994PLC018806)
(Member : HSE)
|
|
|
ACTED IN CONCERT WITH OTHER ENTITIES TO MANIPULATE THE MARKET THROUGH CROSS DEALS, STRUCTURED DEALS AND CIRCULAR TRADING IN SCRIP OF ZODIAC CLOTHING COMPANY LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 15-SEP-2003 TO 14-SEP-2008
08-AUG-2006
|
|
| 8700 |
|
|
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
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
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| Page 435 of 441
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