| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
A.A.DOSHI SHARE & STOCK BROKERS LTD.
(Member : BSE)
|
|
|
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
DEALT WITH UN-REGISTERED SUB-BROKERS
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
28-DEC-2005
|
|
| 2 |
|
|
A.JAIN & CO.PVT.LTD.
(Member : DSE)
|
|
|
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DEFAULTED IN MAINTENANCE OF STOCK REGISTER
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 13-MAR-2003 TO 12-SEP-2003
07-MAR-2003
|
|
| 3 |
|
|
A.K.AGARWAL & CO.
(Member : JSE)
|
|
|
|
ASHOK KUMAR AGARWAL
|
|
DEFAULTED IN MAINTENANCE OF SAUDA BOOK
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT RECTIFY BAD DELIVERIES IN TIME
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
06-JAN-2000
|
|
| 4 |
|
|
A.K.JAIN & CO.
(Member : JSE)
|
|
|
DID NOT ISSUE CONTRACT NOTES
INDULGED IN OFF-MARKET TRANSACTIONS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT REDRESS INVESTOR COMPLAINTS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-FEB-1998 TO 13-MAR-1998
28-JAN-1998
|
|
| 5 |
|
|
A.NITIN CAPITAL SERVICES LTD.
(Member : DSE)
|
|
|
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DID NOT AFFIX STAMPS ON CONTRACT NOTES
ALLOTTED SERIAL NUMBERS ON CONTRACT NOTES ON DAILY BASIS INSTEAD OF YEARLY BASIS
DISCREPANCIES IN REGISTER OF TRANSACTIONS OF CONTRACT NOTES
COMMITTED IRREGULARITIES IN MAINTENANCE OF COUNTERFOILS OR DUPLICATES OF CONTRACT NOTES
DID NOT OBTAIN ACKNOWLEDGEMENT FROM CLIENTS
DID NOT REDRESS INVESTOR COMPLAINTS
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
FAILED TO SUBMIT AUDIT REPORT TO THE EXCHANGE ON DUE DATE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 10-JUL-2007 TO 09-AUG-2007
19-JUN-2007
|
|
| 6 |
|
|
ABHIPRA CAPITAL LTD.
(PAN:AABCA1702F)
(Member : NSE)
|
|
|
DID NOT RECORD TIME OF PLACEMENT OF ORDERS ON CONTRACT NOTES
DUPLICATE CONTRACT NOTES NOT SIGNED BY BROKER
DID NOT OBTAIN ACKNOWLEDGEMENT FROM CLIENTS
DID NOT HAVE PRE-PRINTED SERIAL NUMBERS ON CONTRACT NOTES
PERMITTED TRADING TERMINALS AT UNAUTHORISED LOCATIONS
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
02-NOV-2006
|
ADVISORY COMPLIED WITH
|
| 7 |
|
|
ADITI A.DALAL,M/S
(Member : ASE)
|
|
|
|
ADITI A.DALAL
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 7 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF PRUDENTIAL PHARMACEUTICALS LTD.
DID NOT ISSUE CONTRACT NOTES
|
IMPOSED PENALTY RS.2,50,000
27-DEC-2010
|
|
| 8 |
|
|
ADOLF PATRICK PINTO,M/S
(Member : BSE)
|
|
|
|
ADOLF PATRICK PINTO
|
|
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT REDRESS INVESTOR COMPLAINTS
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
17-MAY-2000
|
|
| 9 |
|
|
AGARWAL SHARE & STOCK BROKERS PVT.LTD.
(Member : UPSE)
|
|
|
DID NOT HAVE PRE-PRINTED SERIAL NUMBERS ON CONTRACT NOTES
DID NOT RECORD TIME OF PLACEMENT OF ORDERS ON CONTRACT NOTES
DID NOT RECORD TIME OF EXECUTION OF ORDER ON CONTRACT NOTES
DID NOT OBTAIN ACKNOWLEDGEMENT ON COUNTERFOILS OF CONTRACT NOTES
DID NOT ISSUE CONTRACT NOTES
DEFICIENCIES IN MEMBER-CLIENT AGREEMENTS
DEALT WITH UN-REGISTERED SUB-BROKERS
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DEALT IN CASH WITH CLIENTS
INDULGED IN BUSINESS OTHER THAN THAT OF SECURITIES
COMMITTED IRREGULARITIES PERTAINING TO CLIENTS SECURITIES
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 17-OCT-2006 TO 16-NOV-2006
26-SEP-2006
|
|
| 10 |
|
|
ALLIANCE INTERMEDIARIES & NETWORK PVT.LTD.
(Member : ICSE)
|
|
|
ISSUED BOGUS CONTRACT NOTES
ISSUED FICTITIOUS CONTRACT NOTES
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 09-MAR-2021
09-MAR-2021
|
|
| 11 |
|
|
ALPESH JAGDISHCHANDRA PAREKH,M/S
(Sub-Broker of SKSE SECURITIES LTD., Member : BSE,Member : SKSE)
|
|
|
|
ALPESH JAGDISHCHANDRA PAREKH
|
|
COMMITTED IRREGULARITIES/DEFAULTED IN ISSUANCE OF CONFIRMATION MEMOS
COMMITTED IRREGULARITIES IN MAINTENANCE OF COUNTERFOILS OR DUPLICATES OF CONTRACT NOTES
DID NOT ISSUE CONTRACT NOTES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DEALT IN CASH WITH CLIENTS
|
IMPOSED PENALTY RS.1,50,000
31-JAN-2007
|
SAT: IMPUGNED ORDER DATED 31/01/2007 MODIFIED BY REDUCING PENALTY AMOUNT TO RS. 50,000 FROM RS.1,50,000
|
| 12 |
|
|
ANAND RATHI FINANCIAL SERVICES LTD.
(PAN:AABCA3577G)
(Depository Participants : CDSL,Member : BSE/NSE)
|
|
|
DEFICIENCIES IN MEMBER-CLIENT AGREEMENTS
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
DISCREPANCIES IN PROCESSING OF DELIVERY INSTRUCTION SLIP
DEFAULTED IN DELIVERY OF CONTRACT NOTES IN RESPECT OF BOUNCED ELECTRONIC CONTRACT NOTES
DID NOT HAVE ADEQUATE SYSTEM IN PLACE TO CHECK RECEIPT OF THIRD PARTY CHEQUES
|
IMPOSED PENALTY RS.5,00,000
30-NOV-2011
|
|
| 13 |
|
|
ANIKET N.AGGARWAL & CO.
(Member : LSE)
|
|
|
ALLEGED DISCREPANCY IN ISSUANCE OF CONTRACT NOTES
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF CLASSIC GLOBAL IMPEX LTD.(NOW KNOWN AS DEVINE IMPEX LTD.)
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
07-JAN-2011
|
|
| 14 |
|
|
ANIL DHAWAN & CO.
(Member : DSE)
|
|
|
|
ANIL DHAWAN
|
|
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
ILLEGAL AND UNAUTHORIZED GRANT OF TRADING TERMINAL TO CLIENT
DID NOT ISSUE CONTRACT NOTES
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 04-JUN-2008 TO 10-JUN-2008
14-MAY-2008
|
|
| 15 |
|
|
ANIL KUMAR AGARWAL,M/S
(Member : UPSE)
|
|
|
|
ANIL KUMAR AGARWAL
|
|
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT AFFIX BROKER NOTE STAMPS
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
INDULGED IN OFF-THE-FLOOR TRANSACTIONS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-APR-2004 TO 11-AUG-2004
22-MAR-2004
|
|
| 16 |
|
|
ANIL SHAH SECURITIES & FINANCE LTD.
(Member : ASE)
|
|
|
DID NOT ISSUE CONTRACT NOTES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-AUG-1999 TO 26-OCT-1999
25-AUG-1999
|
|
| 17 |
|
|
ANJAN KUMAR TEKRIWAL,M/S
(Member : MGSE)
|
|
|
|
ANJAN KUMAR TEKRIWAL
|
|
DID NOT ISSUE CONTRACT NOTES
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN SEPARATE CLIENT ACCOUNT
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT PAY FEES TO SEBI
DID NOT MEET CAPITAL ADEQUACY REQUIREMENT
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-1998 TO 30-NOV-1998
25-AUG-1998
|
|
| 18 |
|
|
ANOOP JAIN & CO.
(Member : LSE)
|
|
|
|
MADHU JAIN
|
|
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
EXECUTED STRUCTURED TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-AUG-2002 TO 11-FEB-2003 TILL PAYMENT OF SEBI FEE, WHICHEVER IS LATER
14-AUG-2002
|
SAT: APPEAL DISMISSED AS APPLICANT'S CONTENTION NOT TENABLE
|
| 19 |
|
|
ANSH PORTFOLIO KENDRA PVT.LTD.
(Member : DSE)
|
|
|
|
SHANKAR SOMANI
|
|
|
SUNIL KUMAR GUPTA
|
|
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
INDULGED IN OFF-THE-FLOOR TRANSACTIONS
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 03-DEC-2003 TO 03-JAN-2004
12-NOV-2003
|
SAT: ORDER MODIFIED AND APPEAL DISPOSED OFF
|
| 20 |
|
|
APS CAPITAL SERVICES PVT.LTD.
(Member : PSE)
|
|
|
DID NOT ADHERE TO "KNOW YOUR CLIENT" DIRECTIVES/INSTRUCTIONS/GUIDELINES
DID NOT COLLECT MARGINS FROM CLIENTS
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
INDULGED IN UNAUTHORISED FUND-BASED ACTIVITIES
INDULGED IN OFF-THE-FLOOR TRANSACTIONS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
16-JAN-2008
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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