| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1981 |
|
TRIMITI INVESTMENTS & FINANCIAL SERVICES PVT.LTD.
(Member : PSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 1982 |
|
|
TRIMITI INVESTMENTS & FINANCIAL SERVICES PVT.LTD.
(Member : PSE)
|
|
|
DID NOT EXERCISE DUE CARE & DILIGENCE WHILE EXECUTING SUBSTANTIAL TRANSACTIONS IN HOME TRADE LTD.
DID NOT OBTAIN ACKNOWLEDGEMENT ON COUNTERFOILS OF CONTRACT NOTES
DID NOT MAINTAIN CLIENT DATABASE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 19-SEP-2006 TO 03-OCT-2006
24-AUG-2006
|
|
| 1983 |
|
|
TRINITY SUB-SURFACE CONSULTANTS PVT.LTD.
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-MAR-2010
08-MAR-2010
|
|
| 1984 |
|
|
TRIUMPH RETAIL BROKING SERVICES LTD.
(Member : BSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010
SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010
07-DEC-2009
|
|
| 1985 |
|
|
TROPICAL SECURITIES & INVESTMENTS PVT.LTD.
(PAN:AAACT1670N)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH STRUCTURED DEALS IN SCRIP OF CEAT LTD.
INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(3) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF CEAT LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 17-JAN-2011 TO 16-FEB-2011
17-JAN-2011
|
|
| 1986 |
|
|
TROPICAL SECURITIES & INVESTMENTS PVT.LTD.
(PAN:AAACT1670N)
(Member : BSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010
SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010
07-DEC-2009
|
|
| 1987 |
|
|
TROPICAL SECURITIES & INVESTMENTS PVT.LTD.
(PAN:AAACT1670N)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND MATCHED TRANSACTIONS IN SCRIP OF VXL INSTRUMENTS LTD.
INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(3) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF VXL INSTRUMENTS LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 08-MAR-2011 TO 21-MAR-2011
08-MAR-2011
|
|
| 1988 |
|
|
TROPICAL SECURITIES & INVESTMENTS PVT.LTD.
(PAN:AAACT1670N)
(Member : BSE)
|
|
|
INDULGED IN MARKET MANIPULATION IN SCRIP OF SURYA ROSHNI LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 19-OCT-2004 TO 18-DEC-2004
29-SEP-2004
|
|
| 1989 |
|
|
TROPICAL SECURITIES & INVESTMENTS PVT.LTD.
(PAN:AAACT1670N)
(Member : BSE)
|
|
|
|
MILAN DALAL
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH STRUCTURED, SYNCHRONIZED TRANSACTIONS AND FINANCING DEALS IN SCRIP OF JAGSONPAL PHARMACEUTICALS LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF JAGSONPAL PHARMACEUTICALS LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-JUN-2011 TO 29-AUG-2011
09-JUN-2011
|
|
| 1990 |
|
|
TROPICAL SECURITIES & INVESTMENTS PVT.LTD.
(PAN:AAACT1670N)
(Member : BSE)
|
|
|
|
MILAN DALAL
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE EXECUTING TRANSACTIONS ON BEHALF OF CLIENTS IN SCRIP OF DCM SHRIRAM CONSOLIDATED LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF DCM SHRIRAM CONSOLIDATED LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 04-FEB-2009 TO 03-AUG-2009
14-JAN-2009
|
|
| 1991 |
|
|
TROPICAL SECURITIES & INVESTMENTS PVT.LTD.
(PAN:AAACT1670N)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH STRUCTURED/MATCHED TRANSACTIONS IN SCRIPS OF RAVALGAON SUGAR FARMS LTD. AND SHRENUJ & CO.LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF RAVALGAON SUGAR FARMS LTD. AND SHRENUJ & CO.LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 17-MAR-2011 TO 16-MAY-2011
24-FEB-2011
|
|
| 1992 |
|
|
TROPICAL SECURITIES & INVESTMENTS PVT.LTD.
(PAN:AAACT1670N)
(Member : BSE)
|
|
|
|
MILAN DALAL
|
|
AIDED PAWANKUMAR PARMESHWARLAL CHOUDHARY IN THE SYNCHRONIZED/STRUCTURED DEALS IN SCRIP OF PRUDENTIAL PHARMACEUTICALS LTD.
VIOLATED CODE OF CONDUCT AS PRESCRIBED UNDER STOCK BROKER REGULATIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-MAY-2007 TO 31-MAY-2007
10-APR-2007
|
|
| 1993 |
|
|
TULSI RAM AGARWAL,M/S
(Member : BHSE)
|
|
|
|
TULSI RAM AGARWAL
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 1994 |
|
|
TUSHTI SECURITIES PVT.LTD.
(Member : ASE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 1995 |
|
|
TWENTY20 COMMODITIES PVT.LTD.
(Member : NSEL)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 11-DEC-2023 TO 10-MAR-2024
11-DEC-2023
|
|
| 1996 |
|
|
TWINSTAR FINVEST PVT.LTD.
(PAN:AABCT1168Q)
(Member : MPSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 1997 |
|
|
U.K.THIAGARAJAN,M/S
(Member : OTC)
|
|
|
|
U.K.THIAGARAJAN
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-MAR-2010
08-MAR-2010
|
|
| 1998 |
|
|
U.M.KAMDAR,M/S
(Member : BSE)
|
|
|
|
U.M.KAMDAR
|
|
INDULGED IN ABNORMAL PRICE RISE AND MARKET MANIPULATIONS IN SCRIP OF SVA UDYOG INDIA LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-APR-1998 TO 26-JUN-1998
23-APR-1998
|
|
| 1999 |
|
|
U.S.CHATURVEDI,M/S
(Member : UPSE)
|
|
|
|
U.S.CHATURVEDI
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010
SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010
07-DEC-2009
|
|
| 2000 |
|
|
UDAY S.HATTARKI,M/S
(Member : ICSE)
|
|
|
|
UDAY S.HATTARKI
|
|
DID NOT PAY FEES TO SEBI
|
SHOW CAUSE NOTICE ISSUED
SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-FEB-2010 TILL REGISTRATION FEE DEPOSITED
09-NOV-2009
|
SEBI VIDE ORDER DATED 03/02/2010, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEE IS FULLY PAID
|
| 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 100 of 107
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