| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 181 |
|
MULTI SECURITIES
(Along with : RAJENDRA S.DAGA,M/S)
|
|
|
|
RAJENDRA DAGA
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
13-AUG-1997
|
|
| 182 |
|
|
MULTIPLEX CAPITAL LTD.
(PAN:AAACM1761B)
(Member : NSE)
|
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DEALT WITH UN-REGISTERED SUB-BROKERS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
13-JAN-2006
|
|
| 183 |
|
|
NAM SECURITIES LTD.
(Member : NSE)
|
|
|
|
ASHWANI GOYAL
|
|
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID INTER-CLIENT ADJUSTMENT OF BALANCES
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
30-OCT-2003
|
|
| 184 |
|
|
NARENDRA C.SHAH,M/S
(Member : CSE)
|
|
|
|
NARENDRA C.SHAH
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
09-JAN-2009
|
|
| 185 |
|
|
NARENDRA SHANKERLAL TANNA,M/S
(Member : SKSE,Sub-Broker of SKSE SECURITIES LTD., Member : BSE)
|
|
|
|
NARENDRA SHANKERLAL TANNA
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE EXECUTING TRANSACTIONS IN SCRIP OF DATABASE FINANCE LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
13-JAN-2009
|
|
| 186 |
|
|
NARESH CHAND CHANDAK,M/S
(Member : CSE)
|
|
|
|
NARESH CHAND CHANDAK
|
|
ALLEGED INDULGENCE IN PRO ACCOUNT TRADING
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
28-NOV-2008
|
|
| 187 |
|
|
NCJ SHARE & STOCK BROKERS LTD.
(PAN:AABCN3702G)
(Member : BSE)
|
|
|
|
N.C.JAIN
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
08-FEB-2008
|
|
| 188 |
|
|
NEREYETH SECURITIES PVT.LTD.
(Member : BGSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF HOME TRADE LTD.
DEFAULTED IN VERIFYING FINANCIAL CAPABILITIES AND NET WORTH OF CLIENTS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
30-NOV-2005
|
|
| 189 |
|
|
NIRAJ KUMAR BALASARIA PVT.LTD.
(Member : CSE)
|
|
|
|
NIRAJ KUMAR BALASARIA
|
|
ALLEGED INDULGENCE IN PRO ACCOUNT TRADING
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
28-NOV-2008
|
|
| 190 |
|
|
NIRPAN SECURITIES PVT.LTD.
(PAN:AAACN1329A)
(Member : NSE)
|
|
|
|
HARENDRA DOLATRAI SHAH
PAN:AAFPS1912G
|
|
|
PANKAJ DOLATRAI SHAH
PAN:AAFPS1913H
|
|
|
RAJENDRA DOLATRAI SHAH
PAN:AAFPS1910E
|
|
|
RAJUL S.SHAH
|
|
|
SHAILESH DOLATRAI SHAH
PAN:AAFPS1911F
|
|
INDULGED IN NEGOTIATED DEALS WITH MATCH TRANSACTIONS IN SCRIP OF DSQ SOFTWARE LTD.,GLOBAL TELE-SYSTEMS LTD.,HIMACHAL FUTURISTIC COMMUNICATIONS LTD.,HINDUSTAN LEVER LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
16-AUG-2007
|
|
| 191 |
|
|
NNM SECURITIES PVT.LTD.
(PAN:AAACN8070G)
(Depository Participants : CDSL,Member : BSE/NSE)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
MADE INCORRECT AND/OR DID NOT REPORT ENHANCED SUPERVISION OF DATA TO STOCK EXCHANGES
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
11-SEP-2025
|
SAT: SAT VIDE ITS ORDER DATED 09/01/2026 CONDONED THE DELAY OF 26 DAYS IN FILING OF APPEAL AND ALLOWED RESPONDENT FOUR WEEKS TO FILE REPLY
|
| 192 |
|
|
NOVEL SECURITIES PVT.LTD.
(PAN:AABCN1824H)
(Member : NSE)
|
|
|
DID NOT MAINTAIN HIGH STANDARDS OF INTEGRITY AND FAIRNESS IN CONDUCT OF BUSINESS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
16-DEC-2005
|
|
| 193 |
|
|
NVS BROKERAGE PVT.LTD.
(PAN:AAACN9184H)
(Member : BSE)
|
|
|
|
N.V.SHAH
|
|
DID NOT COLLECT MARGINS FROM CLIENTS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
21-SEP-2004
|
|
| 194 |
|
|
OPTION SECURITIES PVT.LTD.
(Member : DSE)
|
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
03-MAR-2000
|
|
| 195 |
|
|
P R B SECURITIES PVT.LTD.
(PAN:AABCP5425G)
(Member : NSE)
|
|
|
DEFAULTED IN MAINTENANCE OF SECURITIES REGISTER
DEFICIENCIES IN REGISTRATION FORMS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
EXECUTED TRADES WHERE BROKER HIMSELF WAS BUYER AS WELL AS SELLER
ALLEGED NON-COMPLIANCE OF REQUIREMENTS OF UNIQUE CLIENT CODE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
13-JAN-2006
|
|
| 196 |
|
|
P.C.KAPILA & CO.
(Member : DSE)
|
|
|
|
P.C.KAPILA
|
|
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
15-JUN-2007
|
|
| 197 |
|
|
P.K.KHANNA & CO.
(Member : LSE)
|
|
|
|
PRADEEP KUMAR KHANNA
|
|
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
22-OCT-1999
|
|
| 198 |
|
|
P.R.SHAH SHARE & STOCK BROKERS PVT.LTD.
(Member : BSE)
|
|
|
|
CHETAN SETH
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING WITH CLIENTS IN SCRIP OF GREENFIELD TRADING & FINANCE LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
15-MAR-2007
|
|
| 199 |
|
|
PARK LIGHT INVESTMENT PVT.LTD.
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING WITH CLIENTS IN SCRIP OF CONTINENTAL CONTROLS LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
13-JUN-2007
|
|
| 200 |
|
|
PIONEER EQUITY TRADE (INDIA) LTD.
(Member : NSE)
|
|
|
|
GIRISH BHAKRE
|
|
|
KETAN GANDHI
|
|
|
RAKESH BHATIA
|
|
DID NOT ADHERE TO SEBI DIRECTIVES/INSTRUCTIONS/GUIDELINES IN MATTER OF SHONKH TECHNOLOGIES INTERNATIONAL LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
04-FEB-2004
|
|
| 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 10 of 15
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