| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 8801 |
|
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
|
|
| 8802 |
|
|
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
|
|
| 8803 |
|
|
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
|
|
| 8804 |
|
|
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
|
|
| 8805 |
|
|
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
|
|
| 8806 |
|
|
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STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION
|
| 8807 |
|
|
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
|
| 8808 |
|
|
YOGESH KEDIA
|
|
|
|
DG GOENKA EQUITIES PVT.LTD.
PAN:AABCD1447Q
(Member : BSE)
|
|
INDULGED IN INTRODUCTION OF UNLISTED SHARES INTO MARKET AND IN SYNCHRONIZED TRANSACTIONS IN SCRIP OF DESIGN AUTO SYSTEMS LTD.
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF DESIGN AUTO SYSTEMS LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 19-NOV-2009 TO 18-JAN-2010
29-OCT-2009
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 29/10/2009 SET ASIDE AND CASE SENT BACK TO WHOLE TIME MEMBER. APPELLANT MAY FILE ITS RESPONSE ON OR BEFORE 02/08/2010 WITH NO ORDER AS TO COSTS
SEBI VIDE ITS ORDER DATED 04/01/2011 SUSPENDED CERTIFICATE OF REGISTRATION AS STOCK BROKER FOR A PERIOD OF TWO MONTHS WHICH SHALL COME INTO FORCE ON EXPIRY OF TWENTY ONE DAYS FROM DATE OF THIS ORDER
|
| 8809 |
|
|
YOGESH M.KAMDAR,M/S
(Member : SKSE)
|
|
|
|
YOGESH MANSUKHLAL KAMDAR
|
|
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
|
| 8810 |
|
|
YOGESH MANSUKHLAL KAMDAR
|
|
|
|
YOGESH M.KAMDAR,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
|
| 8811 |
|
|
YOGESH MEHTA
|
|
|
|
YOGESH MEHTA,M/S
(Member : BSE)
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 10-APR-2002
10-APR-2002
|
SAT: APPEAL ALLOWED TO BE WITHDRAWN. NO COSTS
|
| 8812 |
|
|
YOGESH MEHTA,M/S
(Member : BSE)
|
|
|
|
YOGESH MEHTA
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 10-APR-2002
10-APR-2002
|
SAT: APPEAL ALLOWED TO BE WITHDRAWN. NO COSTS
|
| 8813 |
|
|
YOHA SECURITIES LTD.
(PAN:AAACY0254D)
(Member : NSE)
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF MARUTI ORGANICS LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-SEP-2002 TO 07-OCT-2002
16-SEP-2002
|
SAT: APPEAL DISMISSED
|
| 8814 |
|
|
YOKE SECURITIES LTD.
(Member : BSE/NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF PYRAMID SAIMIRA THEATRE LTD.
|
DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 12-NOV-2021 TO 11-MAR-2022
12-NOV-2021
|
|
| 8815 |
|
|
YOKE SECURITIES LTD.
(Member : NSE/BSE/OTC)
|
|
|
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
ALLEGED VIOLATION OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
ALLEGED VIOLATION OF SEBI ACT, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
20-MAY-2009
|
|
| 8816 |
|
|
YUBEE CEE FINANCE & 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
|
|
| 8817 |
|
|
YUG SECURITIES PVT.LTD.
(Member : NSE)
|
|
|
CONNECTED TO SECONDARY SERVER WITHOUT ANY SUFFICIENT REASON DURING INVESTIGATION PERIOD VIOLATING NSE CO-LOCATION DIRECTIVES/INSTRUCTIONS/GUIDELINES READ WITH POINT 2(A) OF CHAPTER V OF NSE BYE-LAWS READ WITH CLAUSE A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKER) REGULATIONS, 1992 IN MATTER OF NSE CO-LOCATION FACILITY
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE ACCESSING SECONDARY SERVER OF NSE COLOCATION IN LINE WITH INSTRUCTION OF NSE CO-LOCATION DIRECTIVES/INSTRUCTIONS/GUIDELINES VIOLATING CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKER) REGULATIONS, 1992 IN MATTER OF NSE CO-LOCATION FACILITY
|
IMPOSED PENALTY RS.3,00,000
12-APR-2022
|
SAT: SAT VIDE ITS ORDER DATED 13/02/2026 DISMISSED THE APPEAL. NO COSTS
|
| 8818 |
|
|
YUVRAJ SECURITIES
(PAN:AUSPG4180B)
(Member : NSE)
|
|
|
NO LONGER A MEMBER OF ANY STOCK EXCHANGE
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-AUG-2024
30-AUG-2024
|
|
| 8819 |
|
|
ZACHARIAS PANKAVAN,M/S
(Member : COCSE)
|
|
|
|
BABY ZACHARIA PANKAVIL
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 13-NOV-2007 TO 12-APR-2008
23-OCT-2007
|
|
| 8820 |
|
|
ZAFAR YUNUS SARESHWALA
(DIN:00123536
PAN:ANYPS8494D)
(Depository Participants : CDSL)
|
|
|
|
PARSOLI CORP.LTD.
PAN:AABCP9030F
(Depository Participants : CDSL,Member : BSE/NSE)
|
|
INDULGED IN CONSPIRACY WITH REGISTRAR IN GETTING SHARES TRANSFERRED FRAUDULENTLY IN THEIR ACCOUNT IN MATTER OF PARSOLI CORP.LTD.
INDULGED IN CONSPIRACY WITH REGISTRAR IN DELAYING TRANSFER OF SHARES IN MATTER OF PARSOLI CORP.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-FEB-2009 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-FEB-2009 TILL FURTHER ORDERS
DIRECTED TO REMOVE PINNACLE SHARES REGISTRY PVT.LTD. AS REGISTRAR AND TRANSFER AGENT AND APPOINT ANOTHER REGISTRAR AND TRANSFER AGENT WITHIN SIX MONTHS
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 20-FEB-2009 TILL FURTHER ORDERS
DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FROM 20-FEB-2009 TILL FURTHER ORDERS
DIRECTED TO CONDUCT SECRETARIAL AUDIT TO IDENTIFY ACTUAL SHAREHOLDERS AND RECONCILE THEIR RECORDS
20-FEB-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 441 of 442
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