| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 8741 |
|
WELLINDIA COMMODITIES PVT.LTD.
(PAN:AAACW5461G)
(Member : MCX/NCDEX)
|
|
|
NO LONGER A MEMBER OF ANY STOCK EXCHANGE
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-AUG-2024
30-AUG-2024
|
|
| 8742 |
|
|
WELLINDIA SECURITIES LTD.
(PAN:AABCR5196G)
(Member : NSE/BSE/MSEI)
|
|
|
NO LONGER A MEMBER OF ANY STOCK EXCHANGE
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-AUG-2024
30-AUG-2024
|
|
| 8743 |
|
|
WELLWORTH SHARE & STOCK BROKING LTD.
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN MANIPULATION IN SCRIP OF KOSIAN INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)
18-MAR-2009
|
|
| 8744 |
|
|
WESTFIN SECURITIES LTD.
(Member : NSE)
|
|
|
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 24-APR-2015
24-APR-2015
|
|
| 8745 |
|
|
WESTFIN SECURITIES LTD.
(Member : COCSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 03-JAN-2005
03-JAN-2005
|
|
| 8746 |
|
|
WESTFIN SECURITIES LTD.
(Member : VSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-MAR-2010
08-MAR-2010
|
|
| 8747 |
|
|
WESTFIN SECURITIES LTD.
(Member : OTC)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002
22-OCT-2002
|
|
| 8748 |
|
|
WISDOM PORTFOLIO MANAGEMENT SERVICES PVT.LTD.
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 23-JAN-2008
23-JAN-2008
|
|
| 8749 |
|
|
WOODSTOCK BROKING PVT.LTD.
(Member : NSE)
|
|
|
INDULGED IN SYNCHRONIZED TRANSACTIONS IN SCRIP OF DSQ SOFTWARE LTD.
VIOLATED SEBI CODE OF CONDUCT
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-JUN-2007 TO 26-JUN-2008
06-JUN-2007
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,00,000 VIDE CONSENT ORDER)
17-OCT-2008
|
SAT: ORDER DATED 06/06/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.3,00,00,000 AS PER CONSENT ORDER DATED 17/10/2008
|
| 8750 |
|
|
WOODSTOCK BROKING PVT.LTD.
(Member : NSE)
|
|
|
DID NOT EXERCISE DUE SKILL AND DILIGENCE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
10-SEP-2004
|
|
| 8751 |
|
|
WOODSTOCK SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
|
SURESH K.JAJOO
|
|
|
VIMLA JAJOO
|
|
DID NOT EXERCISE DUE SKILL AND DILIGENCE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
10-SEP-2004
|
|
| 8752 |
|
|
WOODSTOCK SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
INDULGED IN SYNCHRONIZED TRANSACTIONS IN SCRIP OF DSQ SOFTWARE LTD.
VIOLATED SEBI CODE OF CONDUCT
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-JUN-2007 TO 26-JUN-2008
06-JUN-2007
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,00,000 VIDE CONSENT ORDER)
17-OCT-2008
|
SAT: ORDER DATED 06/06/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.50,00,000 AS PER CONSENT ORDER DATED 17/10/2008
|
| 8753 |
|
|
WOODSTOCK SECURITIES PVT.LTD.
(Member : BSE/NSE)
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF GLOBAL TRUST BANK LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF GLOBAL TRUST BANK LTD.
PARKED SHARES TO CIRCUMVENT SEBI TAKEOVER CODE, 1997
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2002 TILL INVESTIGATION COMPLETED
31-DEC-2002
|
|
| 8754 |
|
|
WORLDLINK FINANCE LTD.
(Member : OTC)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002
22-OCT-2002
|
|
| 8755 |
|
|
WYSCARE SECURITIES PVT.LTD.
(Member : BGSE)
|
|
|
DID NOT INTIMATE SEBI ABOUT CHANGE IN STATUS OF THE COMPANY
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 15-MAY-1998 TO 14-NOV-1998
05-MAY-1998
|
|
| 8756 |
|
|
WYSCARE SECURITIES PVT.LTD.
(Member : BGSE)
|
|
|
DID NOT MAINTAIN CLIENT AGREEMENTS
ALLOWED THIRD PARTY TO PLACE ORDERS FOR CLIENTS WITHOUT OBTAINING WRITTEN CONSENT FROM CLIENTS
DID NOT OBTAIN ACKNOWLEDGEMENT ON COUNTERFOILS OF CONTRACT NOTES
DEFAULTED IN VERIFYING FINANCIAL CAPABILITIES AND NET WORTH OF CLIENTS
DID NOT EXERCISE DUE CARE & DILIGENCE WHILE EXECUTING SUBSTANTIAL TRANSACTIONS IN HOME TRADE LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-OCT-2006 TO 07-NOV-2006
03-OCT-2006
|
|
| 8757 |
|
|
XANAX CAPITAL INVESTMENTS PVT.LTD.
(Member : PSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 8758 |
|
|
Y.L.V.PRASAD
|
|
|
|
Y.L.V.PRASAD,M/S
(Member : HSE)
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-JUN-2004
30-JUN-2004
|
|
| 8759 |
|
|
Y.L.V.PRASAD,M/S
(Member : HSE)
|
|
|
|
Y.L.V.PRASAD
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-JUN-2004
30-JUN-2004
|
|
| 8760 |
|
|
Y.N.SHAH,M/S
(Member : BSE)
|
|
|
|
YASHWANT N.SHAH
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 24-JUL-2002
24-JUL-2002
|
|
| 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 438 of 441
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