| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 8701 |
|
VKG FINANCE & INVESTMENT 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
|
| 8702 |
|
|
VN PAREKH SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-MAR-2010
08-MAR-2010
|
|
| 8703 |
|
|
VN PAREKH SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
INDULGED IN MANIPULATIVE TRADES
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 08-MAR-2004
08-MAR-2004
|
ENQUIRY PROCEEDINGS INITIATED AGAINST NOTICEE IN MATTER OF RANBAXY LABORATORIES LTD. DISPOSED OFF VIDE ORDER DATED 03/08/2010,AS CERTIFICATE OF REGISTRATION OF NOTICEE HAS ALREADY BEEN CANCELLED BY SEBI VIDE ORDER DATED 08/03/2004
|
| 8704 |
|
|
VN PAREKH SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
VIOLATED SEBI ACT, RULES & REGULATIONS
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 21-JUN-2001 TILL PENDING ENQUIRY
21-JUN-2001
|
|
| 8705 |
|
|
VNS FINANCE & CAPITAL SERVICES LTD.
(PAN:AAACV6221B)
(Depository Participants : CDSL,Member : NSE/BSE)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
MISUSED PLEDGING OF CLIENT’S SECURITIES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT UPDATE CLIENTS EMAIL IDS AND MOBILE NUMBERS
DID NOT UPLOAD KNOW YOUR CLIENTS (KYC) DOCUMENTS TO KRA PROCESSES
DID NOT PROVIDE CORRECT DATA TO STOCK EXCHANGE UNDER RISK-BASED SUPERVISION
PROVIDED INCORRECT COLLATERAL DATA TO STOCK EXCHANGES
|
IMPOSED PENALTY RS.11,00,000
15-DEC-2022
|
|
| 8706 |
|
|
VOLPAK SECURITIES PVT.LTD.
(Member : ASE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-MAR-2007 TO 06-SEP-2007
07-MAR-2007
|
|
| 8707 |
|
|
VORA FINANCIAL SERVICES PVT.LTD.
(PAN:AAACV1975E)
(Member : SKSE)
|
|
|
|
MAHESH KUMAR MOHANLAL JOSHI
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 03-SEP-2004
03-SEP-2004
|
|
| 8708 |
|
|
VOTARY INVESTMENTS PVT.LTD.
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 8709 |
|
|
VRIDDHI ENTERPRISES
(Member : LSE)
|
|
|
|
KESHAV KUMAR
|
|
ALLEGED FAILURE TO PAY FEES TO SEBI
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,000 VIDE CONSENT ORDER)
03-FEB-2009
|
|
| 8710 |
|
|
VRISE SECURITIES PVT.LTD.
(CIN:119551
PAN:AABCV7112L)
(Member : BSE/NSE)
|
|
|
DID NOT UPLOAD AND REPORT PRO-ACCOUNT CTCL TERMINALS
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
|
DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 08-JAN-2020 TO 07-JUL-2020
08-JAN-2020
|
|
| 8711 |
|
|
VRISE SECURITIES PVT.LTD.
(CIN:119551
PAN:AABCV7112L)
(Member : NSE/BSE)
|
|
|
NO LONGER A MEMBER OF ANY STOCK EXCHANGE
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-AUG-2024
30-AUG-2024
|
|
| 8712 |
|
|
VRP FINANCIAL SERVICES PVT.LTD.
(PAN:AAACV7147C)
(Member : ICSE)
|
|
|
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 06-NOV-2003
06-NOV-2003
|
|
| 8713 |
|
|
VSE STOCK SERVICES LTD.
(PAN:AABCV4258K)
(Member : NSE)
(Along with : VADODARA STOCK EXCHANGE LTD.)
|
|
|
PERMISSION TO SET UP WHOLLY OWNED SUBSIDIARIES WAS GRANTED TO SMALLER STOCK EXCHANGES BY SEBI WITH A VIEW TO REVIVE THEM. VADODARA STOCK EXCHANGE HAS ALREADY FLOATED A SUBSIDIARY VSE SECURITIES LTD.WHICH IS A MEMBER OF MUMBAI STOCK EXCHANGE AND REGISTERED WITH SEBI AS A STOCK BROKER
|
REJECTED APPLICATION FOR REGISTRATION AS STOCK BROKER
31-DEC-2002
|
|
| 8714 |
|
|
VSE STOCK SERVICES LTD.
(PAN:AABCV4258K)
(Member : NSE/BSE)
|
|
|
VIOLATED CLAUSE A(2) OF CODE OF CONDUCT FOR STOCK BROKERS AS SPECIFIED IN SCHEDULE II READ WITH REGULATION 7,REGULATIONS 26(XVI),26(XX) OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
IMPOSED PENALTY RS.2,00,000
17-APR-2009
|
|
| 8715 |
|
|
VSE STOCK SERVICES LTD.
(PAN:AABCV4258K)
(Member : BSE)
|
|
|
DID NOT DEPOSIT BMC WITH STOCK EXCHANGE
ACCEPTED SHARES INSTEAD OF CASH TOWARDS MARGIN DEPOSIT/BMC/ADDITIONAL CAPITAL
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
02-FEB-2006
|
|
| 8716 |
|
|
VSE STOCK SERVICES LTD.
(PAN:AABCV4258K)
(Member : NSE/BSE)
|
|
|
DID NOT MAINTAIN CLIENT ORDER PLACEMENT EVIDENCE DURING INSPECTION PERIOD
DID NOT ACCEPT AS NO NAME/ SIGNATURE /STAMP OF INSPECTING OFFICIALS IN INSPECTION REPORTS OF 2019, 2022 AND 2023 AS AVAILABLE ON RECORD
DID NOT DISPLAY DO’S AND DON’TS AS PER PRESCRIBED FORMAT
DID NOT DISPLAY SEBI REGISTRATION CERTIFICATE & INFORMATION REGARDING GRIEVANCE REDRESSAL MECHANISM
ALLOWED TERMINAL TO UNAUTHORISED USERS
|
IMPOSED PENALTY RS.2,00,000
30-SEP-2024
|
|
| 8717 |
|
|
VVL SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 27-AUG-2004
27-AUG-2004
|
|
| 8718 |
|
|
VYOM FINANCIAL SERVICES PVT.LTD.
(Member : OTC)
|
|
|
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 22-JUN-2004
22-JUN-2004
|
|
| 8719 |
|
|
VYOMIT SHARES STOCKS & INVESTMENTS PVT.LTD.
(PAN:AAACV3499H)
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE ALLOWING SUB BROKER TO TRADE IN SCRIP OF SAWACA COMMUNICATIONS LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
31-JAN-2006
|
|
| 8720 |
|
|
VYOMIT SHARES STOCKS & INVESTMENTS PVT.LTD.
(PAN:AAACV3499H)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIPS OF HIMACHAL FUTURISTIC COMMUNICATIONS LTD. AND GLOBAL TELESYSTEMS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER) FROM 09-APR-2009 TO 08-APR-2010
09-APR-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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| Page 436 of 441
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