| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1981 |
|
VATSA INDUSTRIES LTD.
(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STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION
|
| 1982 |
|
|
VATSAL INVESTMENT 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
|
|
| 1983 |
|
|
VEENA OJHA,M/S
(Member : UPSE)
|
|
|
|
VEENA OJHA
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
13-NOV-2009
|
PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 13/11/2009
|
| 1984 |
|
|
VEENA PANDEY,M/S
(Member : UPSE)
|
|
|
|
VEENA PANDEY
|
|
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 |
|
|
VEER JAIN & CO.
(Member : JSE)
|
|
|
DID NOT PAY FEES TO SEBI
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 28-MAY-1998 TO 27-JUN-1998
15-MAY-1998
|
|
| 1986 |
|
|
VEER KUMAR JAIN,M/S
(Member : JSE)
|
|
|
|
VEER KUMAR JAIN
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
20-AUG-2009
|
PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 20/08/2009
|
| 1987 |
|
|
VENDRAPPILLIL ASSOCIATES
(Member : COCSE)
|
|
|
|
JOHNSON V.JOHN
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-MAR-2007 TO 06-SEP-2007
07-MAR-2007
|
|
| 1988 |
|
|
VENKATARAMAN & CO.
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
15-SEP-2009
|
PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 15/09/2009
|
| 1989 |
|
|
VIBRANT SECURITIES & STOCKS PVT.LTD.
(Member : OTC)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
DID NOT PAY FEES TO SEBI
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 15-MAR-2007
15-MAR-2007
|
|
| 1990 |
|
|
VIDEOCON INDUSTRIAL FINANCE 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
|
|
| 1991 |
|
|
VIDYAPATI BHUSHAN,M/S
(Member : OTC)
|
|
|
|
VIDYAPATI BHUSHAN
|
|
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
|
| 1992 |
|
|
VIJAILAL J.KOTHARI,M/S
(Member : OTC)
|
|
|
|
VIJAILAL J.KOTHARI
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 1993 |
|
|
VIJAY ARORA,M/S
(Member : SKSE)
|
|
|
|
VIJAY ARORA
|
|
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
|
| 1994 |
|
|
VIJAY DHIRAJAL SHETH,M/S
(Member : OTC)
|
|
|
|
VIJAY DHIRAJAL SHETH
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 1995 |
|
|
VIJAY HEMANT SECURITIES 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
|
|
| 1996 |
|
|
VIJAY KRISHAN KHOSLA,M/S
(Member : JSE)
|
|
|
|
VIJAY KRISHAN KHOSLA
|
|
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
|
| 1997 |
|
|
VIJAY KUMAR JASRASARIA,M/S
(Member : GSE)
|
|
|
|
VIJAY KUMAR JASRASARIA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-MAR-2007 TO 06-SEP-2007
07-MAR-2007
|
|
| 1998 |
|
|
VIJAY KUMAR SINGH,M/S
(Member : MGSE)
|
|
|
|
VIJAY KUMAR SINGH
|
|
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
|
| 1999 |
|
|
VIJAY LAXMI,M/S
(Member : UPSE)
|
|
|
|
VIJAY LAXMI
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
28-OCT-2009
|
|
| 2000 |
|
|
VIJAY RAMNIKLAL RUPANI,M/S
(Member : SKSE)
|
|
|
|
VIJAY RAMNIKLAL RUPANI
|
|
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
|
| 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 104
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