| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 8781 |
|
YATIN D.SHAH
|
|
|
|
YATIN D.SHAH,M/S
(Member : PSE)
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 10/08/2009
|
| 8782 |
|
|
YATIN D.SHAH,M/S
(Member : PSE)
|
|
|
|
YATIN D.SHAH
|
|
DID NOT EXERCISE DUE CARE & DILIGENCE WHILE EXECUTING SUBSTANTIAL TRANSACTIONS IN HOME TRADE LTD.
INVOLVED IN CREATION OF FALSE MARKET, CIRCULAR TRADING AND PRICE MANIPULATION IN SCRIP OF HOME TRADE LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-DEC-2007 TO 19-JUN-2009
29-NOV-2007
|
|
| 8783 |
|
|
YATIN D.SHAH,M/S
(Member : PSE)
|
|
|
|
YATIN D.SHAH
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 10/08/2009
|
| 8784 |
|
|
YATISH NAROTAMDAS MITHANI
|
|
|
|
YATISH NAROTAMDAS MITHANI,M/S
(Member : OTC)
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 8785 |
|
|
YATISH NAROTAMDAS MITHANI,M/S
(Member : OTC)
|
|
|
|
YATISH NAROTAMDAS MITHANI
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 8786 |
|
|
YELKAYES FINANCIAL CONSULTANTS & INVESTMENTS LTD.
(Member : NSE)
|
|
|
DID NOT COLLECT MARGINS FROM CLIENTS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 23-MAY-2003 TO 22-SEP-2003
02-MAY-2003
|
|
| 8787 |
|
|
YES SECURITIES (INDIA) LTD.
(PAN:AAACY6065C)
(Member : BSE/NSE/MSEI)
|
|
|
DELAY IN SENDING RETENTION STATEMENT TO CLIENTS
INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES
DID NOT ADHERE TO LEVERAGE AND EXPOSURE LIMITS AS PRESCRIBED WHILE GRANTING MARGIN TRADING FACILITY
DISCREPANCIES IN NETWORTH REPORTED TO STOCK EXCHANGE
MADE INCORRECT AND/OR DID NOT REPORT ENHANCED SUPERVISION OF DATA TO STOCK EXCHANGES
|
IMPOSED PENALTY RS.5,00,000
27-SEP-2023
|
|
| 8788 |
|
|
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
|
|
| 8789 |
|
|
YOGEN J.VYAS
|
|
|
|
YOGEN J.VYAS,M/S
(Member : VSE)
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-MAR-2010
08-MAR-2010
|
|
| 8790 |
|
|
YOGEN J.VYAS,M/S
(Member : VSE)
|
|
|
|
YOGEN J.VYAS
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-MAR-2010
08-MAR-2010
|
|
| 8791 |
|
|
YOGENDRA K.MODI
|
|
|
|
YOGENDRA K.MODI,M/S
(Member : BHSE)
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
20-AUG-2009
|
PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 20/08/2009
|
| 8792 |
|
|
YOGENDRA K.MODI
|
|
|
|
YOGENDRA K.MODI,M/S
(Member : BHSE)
|
|
ALLEGED FAILURE TO PAY REGISTRATION FEE TO SEBI
|
DIRECTED TO REPLY WITHIN 15 DAYS FROM DATE OF PUBLICATION OF NOTICE
29-JUN-2009
|
|
| 8793 |
|
|
YOGENDRA K.MODI,M/S
(Member : BHSE)
|
|
|
|
YOGENDRA K.MODI
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
20-AUG-2009
|
PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 20/08/2009
|
| 8794 |
|
|
YOGENDRA K.MODI,M/S
(Member : BHSE)
|
|
|
|
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
|
|
| 8795 |
|
|
YOGENDRA SHARMA
|
|
|
|
YOGENDRA SHARMA,/MS
(Member : UPSE)
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
MISUSED DEBIT NOTE FACILITY IN STOCK EXCHANGE
DID NOT REPORT PRINCIPAL-TO-PRINCIPAL TRANSACTIONS TO THE EXCHANGE
DID NOT REPORT SPOT TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-JUN-1999 TO 30-NOV-1999
24-MAY-1999
|
|
| 8796 |
|
|
YOGENDRA SHARMA
|
|
|
|
YOGENDRA SHARMA,/MS
(Member : UPSE)
|
|
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 08-JUL-2003
17-JUN-2003
|
|
| 8797 |
|
|
YOGENDRA SHARMA,/MS
(Member : UPSE)
|
|
|
|
YOGENDRA SHARMA
|
|
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 08-JUL-2003
17-JUN-2003
|
|
| 8798 |
|
|
YOGENDRA SHARMA,/MS
(Member : UPSE)
|
|
|
|
YOGENDRA SHARMA
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
MISUSED DEBIT NOTE FACILITY IN STOCK EXCHANGE
DID NOT REPORT PRINCIPAL-TO-PRINCIPAL TRANSACTIONS TO THE EXCHANGE
DID NOT REPORT SPOT TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-JUN-1999 TO 30-NOV-1999
24-MAY-1999
|
|
| 8799 |
|
|
YOGESH CHHOTALAL SHAH
|
|
|
|
YOGESH CHHOTALAL SHAH,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
|
| 8800 |
|
|
YOGESH CHHOTALAL SHAH,M/S
(Member : SKSE)
|
|
|
|
YOGESH CHHOTALAL SHAH
|
|
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
|
| 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 440 of 441
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