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SOURCE OF INFORMATION

SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
UPDATED TILL : 03-JUL-2025

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

STOCK BROKERS: PROSECUTION LAUNCHED

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person BALLABH DASS DAGA,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person BALLABH DASS DAGA
  		FAILED TO PAY PENALTY   PROSECUTION LAUNCHED

31-MAR-2014 		CONVICTION  
2
History of entity/person BALLABH DASS DAGA,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person BALLABH DASS DAGA
  		VIOLATED SECTION 24 (2) OF SEBI ACT, 1992   PROSECUTION LAUNCHED

31-MAR-2010 		CONVICTION  
3
History of entity/person CLASSIC SHARE & STOCK BROKING SERVICES LTD.

(CIN:U67120WB1993PLC060799)

(Member : BSE/NSE/CSE/OTC)  
Click here to view complete history of this specific entity/person KARTIK KIRTIKUMAR PAREKH

DIN:00009502
Click here to view complete history of this specific entity/person KAUSHIK CHHOTALAL SHAH

DIN:00009510
Click here to view complete history of this specific entity/person KETAN VINAYCHANDRA PAREKH

DIN:00009468
PAN:AADPP1505A
Click here to view complete history of this specific entity/person MUKESH JOSHI
  		VIOLATED SEBI (PFUTP) REGULATIONS, 1995   PROSECUTION LAUNCHED

15-MAY-2006 		DISMISSED  
4
History of entity/person FIRST CUSTODIAN FUND (INDIA) LTD.,THE

(Member : NSE)  
Click here to view complete history of this specific entity/person MANISH BANTHIA
Click here to view complete history of this specific entity/person SURENDRA KUMAR BANTHIA
Click here to view complete history of this specific entity/person SUSHIL MANTRI
  		VIOLATED REGULATIONS 6(A) TO (D) OF SEBI (PFUTP) REGULATIONS, 1995   PROSECUTION LAUNCHED

15-MAY-2006 		CASE DISMISSED HOLDING THAT PROSECUTION IS NOT MAINTAINABLE DUE TO ABSENCE OF PROVISION FOR CRIMINAL ACTION IN THE REGULATIONS. REVISION IS FILED BY SEBI AGAINST THE SAID ORDER WHICH IS PENDING BEFORE THE BOMBAY HIGH COURT  
5
History of entity/person FIRST GLOBAL STOCKBROKING PVT.LTD.

(PAN:AAACF0661K)

(Member : NSE)  
Click here to view complete history of this specific entity/person DEVINA MEHRA
Click here to view complete history of this specific entity/person SHANKAR SHARMA
  		VIOLATED SEBI (PFUTP) REGULATIONS, 1995

VIOLATED SECTION 11 (3) OF SEBI ACT, 1992

ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SEBI (PORTFOLIO MANAGERS) REGULATIONS, 1993   		PROSECUTION LAUNCHED

15-MAY-2006 		 
6
History of entity/person GAUTAMBHAI NANUBHAI JHAVERI

(PAN:ADAPJ5993J)

(Member : ASE)  
Click here to view complete history of this specific entity/person RAJESH NANUBHAI JHAVERI

PAN:ADAPJ5993J
  		ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED REGULATIONS 4 (A) (B) & (D) OF SEBI (PFUTP) REGULATIONS, 1995

VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992   		PROSECUTION LAUNCHED

15-MAY-2006 		 
7
History of entity/person HARISH CHANDRA BIYANI,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person HARISH CHANDRA BIYANI
  		VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956

VIOLATED SEBI (PFUTP) REGULATIONS, 1995

VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995

VIOLATED RULE 4 OF SEBI (STOCK BROKERS & SUB BROKERS) RULES, 1992

VIOLATED REGULATION 7 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 24 OF SEBI ACT, 1992   		PROSECUTION LAUNCHED

15-MAY-2006 		 
8
History of entity/person HARVESTDEAL SECURITIES LTD.

(Member : BSE)  
Click here to view complete history of this specific entity/person MANISH BANTHIA
Click here to view complete history of this specific entity/person RAJENDRA KUMAR BANTHIA
Click here to view complete history of this specific entity/person SAROJ BANTHIA
Click here to view complete history of this specific entity/person SHRIKANT G.MANTRI
  		VIOLATED REGULATIONS 6(A) TO (D) OF SEBI (PFUTP) REGULATIONS, 1995   PROSECUTION LAUNCHED

15-MAY-2006 		CASE DISMISSED HOLDING THAT PROSECUTION IS NOT MAINTAINABLE DUE TO ABSENCE OF PROVISION FOR CRIMINAL ACTION IN THE REGULATIONS. REVISION IS FILED BY SEBI AGAINST THE SAID ORDER WHICH IS PENDING BEFORE THE BOMBAY HIGH COURT  
9
History of entity/person HARVIC MANAGEMENT SERVICES (INDIA) LTD.

(Member : SKSE)  
Click here to view complete history of this specific entity/person HEMANG D.JANGLA
Click here to view complete history of this specific entity/person KALPESH K.CHAWALLA
  		ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995   		PROSECUTION LAUNCHED

15-MAY-2006 		 
10
History of entity/person HOFFLAND FINANCE LTD.

(Member : BGSE/JSE)  
Click here to view complete history of this specific entity/person A.SUBBA RAO
Click here to view complete history of this specific entity/person BRIJ BHUSHAN SHARMA
Click here to view complete history of this specific entity/person BRIJ KISHORE KAPUR
Click here to view complete history of this specific entity/person JAGDISH NARAYAN
Click here to view complete history of this specific entity/person M.N.PADAM
Click here to view complete history of this specific entity/person NAVEEN CHANDRA PANDEY
Click here to view complete history of this specific entity/person NAVIN PANDEY
Click here to view complete history of this specific entity/person PRAMODH KAPUR
Click here to view complete history of this specific entity/person SURAJ PAL SHARMA
  		VIOLATED SECTION 26 OF SEBI ACT, 1992

VIOLATED SEBI ACT, 1992

VIOLATED SEBI (PORTFOLIO MANAGERS) REGULATIONS, 1993

ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SEBI (PFUTP) REGULATIONS, 1995

VIOLATED SEBI (MERCHANT BANKER) REGULATIONS, 1992   		PROSECUTION LAUNCHED

15-MAY-2006 		A1 AND A2 CONVICTED. A3 ACQUITTED. A4 EXPIRED, THUS, PROCEEDINGS ABATED. PROCEEDINGS AGAINST A5 QUASHED. A6 DECLARED PO. A7 COMPOUNDED (VIDE ORDER DT.21.02.2008). FILE BE CONSIGNED TO RECORD ROOM

A1 AND A2 CONVICTED. A3 ACQUITTED. A4 EXPIRED, THUS, PROCEEDINGS ABATED. PROCEEDINGS AGAINST A5 QUASHED. A6 DECLARED PO. A7 COMPOUNDED (VIDE ORDER DT.21.02.2008). FILE BE CONSIGNED TO RECORD ROOM.  
11
History of entity/person HOME TRADE LTD.

(PAN:AABFH8408A)

(Member : BSE/NSE)  
Click here to view complete history of this specific entity/person N.S.TRIVEDI
Click here to view complete history of this specific entity/person RAKESH CHANDAK
Click here to view complete history of this specific entity/person SANJAY AGARWAL
Click here to view complete history of this specific entity/person SUBODH BHANDARI
  		VIOLATED SECTION 19 (2) (B) OF SECURITIES CONTRACTS (REGULATION) ACT, 1956

VIOLATED SECTION 11 (2) OF SEBI TAKEOVER CODE, 1997

VIOLATED REGULATION 3 OF SEBI (PFUTP) REGULATIONS, 1995

VIOLATED REGULATIONS 4(A) TO 4(F) OF SEBI (PFUTP) REGULATIONS, 1995   		PROSECUTION LAUNCHED

15-MAY-2006 		 
12
History of entity/person JHUNJHUNWALA STOCK BROKERS PVT.LTD.

(Member : BSE)  
Click here to view complete history of this specific entity/person AJIT R.SANGHVI
Click here to view complete history of this specific entity/person ARTI R.JHUNJHUNWALA
Click here to view complete history of this specific entity/person MALINI A.SANGHVI
Click here to view complete history of this specific entity/person PARAS D.SHAH
Click here to view complete history of this specific entity/person RAJENDRAPASAD K.JHUNJHUNWALA
  		VIOLATED SECTION 13 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956

VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995

DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992

ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992   		PROSECUTION LAUNCHED

15-MAY-2006 		DISCHARGED  
13
History of entity/person JUGGONPRASAD BAIJNATH,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person JUGGONPRASAD BAIJNATH
Click here to view complete history of this specific entity/person MOHANLAL L.NATHANY
  		FAILED TO PAY PENALTY   PROSECUTION LAUNCHED

15-MAY-2006 		 
14
History of entity/person JYOTISH BHOGILAL STOCK BROKERS PVT.LTD.

(PAN:AAACJ5486G)

(Member : ASE)  
Click here to view complete history of this specific entity/person JYOTISH BHOGILAL SHAH
Click here to view complete history of this specific entity/person MEENA JYOTISH SHAH
Click here to view complete history of this specific entity/person RAMNIK N.VYAS
Click here to view complete history of this specific entity/person SHAILESH S.JHAVERI
  		VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992   		PROSECUTION LAUNCHED

15-MAY-2006 		THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.85,000 BY THE ACCUSED TO SEBI  
15
History of entity/person KARVY STOCK BROKING LTD.

(PAN:AABCK5190K)

(Member : BSE/NSE/HSE)  
Click here to view complete history of this specific entity/person BHUPENDRA T.JOSHI
Click here to view complete history of this specific entity/person COMANDUR PARTHASARATHY

PAN:AAFPC7617L
Click here to view complete history of this specific entity/person GAUTAMBHAI KARSANBHAI PATEL
Click here to view complete history of this specific entity/person HEMLATABEN VINUBHAI PATEL
Click here to view complete history of this specific entity/person JAGDISHBHAI GOVINDLAL SHETH
Click here to view complete history of this specific entity/person KIRITBEN RAJESH PATEL
Click here to view complete history of this specific entity/person M.S.RAMAKRISHNA
Click here to view complete history of this specific entity/person M.YAGUANDHAR
Click here to view complete history of this specific entity/person MANHARLAL KANTALILAL KOTADIA
Click here to view complete history of this specific entity/person NILESH RAMANLAL SHAH
Click here to view complete history of this specific entity/person RAJESH KUMAR VITHABHAI PATEL
Click here to view complete history of this specific entity/person RAKESH SURESHCHANDRA SHAH
Click here to view complete history of this specific entity/person SOAYUBEN H.VORA
Click here to view complete history of this specific entity/person VIPINCHANDRA GORDHANBHAI PATEL
  		FILED APPLICATION FOR SUBSCRIPTION AND/OR ACQUISITION OF SHARES IN FICTITIOUS NAME

VIOLATED SECTION 12A OF SEBI ACT.,1992

VIOLATED SECTION 24 (1) OF SEBI ACT, 1992   		PROSECUTION LAUNCHED

15-MAY-2006 		 
16
History of entity/person M.BHIWANIWALA & CO.

(Member : CSE)  
Click here to view complete history of this specific entity/person MADHU BHIWANIWALA
  		FAILED TO PAY PENALTY   PROSECUTION LAUNCHED

31-MAR-2014 		WITHDRAWN  
17
History of entity/person MALINI SANGHVI SECURITIES PVT.LTD.

(Member : BSE)  
Click here to view complete history of this specific entity/person AJIT R.SANGHVI
Click here to view complete history of this specific entity/person MALINI A.SANGHVI
Click here to view complete history of this specific entity/person PARAS D.SHAH
  		VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995

DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992

ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992   		PROSECUTION LAUNCHED

15-MAY-2006 		 
18
History of entity/person MUKESH DOKANIA & CO.

(Member : CSE)  
Click here to view complete history of this specific entity/person MUKESH DOKANIA
  		FAILED TO PAY PENALTY   PROSECUTION LAUNCHED

31-MAR-2014 		RS.5,19,384.00 TOWARDS INTEREST AND LEGAL COSTS  
19
History of entity/person N.KHEMANI & CO.

(Member : CSE)  
Click here to view complete history of this specific entity/person N.KHEMANI
  		VIOLATED SECTION 19 (1) OF SECURITIES CONTRACTS (REGULATION) ACT, 1956

VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995

VIOLATED REGULATION 7 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992   		PROSECUTION LAUNCHED

15-MAY-2006 		 
20
History of entity/person NH SECURITIES LTD.

(PAN:AAACS7140Q)

(Member : BSE/NSE)  
Click here to view complete history of this specific entity/person KARTIK KIRTIKUMAR PAREKH

DIN:00009502
Click here to view complete history of this specific entity/person KETAN VINAYCHANDRA PAREKH

DIN:00009468
PAN:AADPP1505A
Click here to view complete history of this specific entity/person KIRTIKUMAR NARBHERAM PAREKH
Click here to view complete history of this specific entity/person NAVINCHANDRA NARBHERAM PAREKH

DIN:00009547
Click here to view complete history of this specific entity/person VINAYCHANDRA NARBHERAM PAREKH

DIN:00009663
  		VIOLATED SEBI (PFUTP) REGULATIONS, 1995   PROSECUTION LAUNCHED

15-MAY-2006 		DISMISSED  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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