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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 : 27-MAY-2026

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: SUSPENDED REGISTRATION AS STOCK BROKER

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
2001
History of entity/person UDAYA SHANKAR DAS,M/S

(Member : BHSE)  
Click here to view complete history of this specific entity/person UDAYA SHANKAR DAS
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010

10-AUG-2009 		 
2002
History of entity/person UFL PORTFOLIO LTD.

(Member : OTC)  
  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  
2003
History of entity/person UJALA FINSTOCK PVT.LTD.

(CIN:U65910GJ1994PTC023636)

(Member : ASE)  
  DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-MAR-2007 TO 06-SEP-2007

07-MAR-2007 		 
2004
History of entity/person UMA MAHESHWARI SECURITIES PVT.LTD.

(Member : CMBSE)  
  DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010

10-AUG-2009 		 
2005
History of entity/person UMANG ADVISORY & FINVEST MANAGEMENT PVT.LTD.

(Member : OTC)  
  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  
2006
History of entity/person UMED SINGH JAIN,M/S

(Member : GSE)  
Click here to view complete history of this specific entity/person UMED SINGH JAIN
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010

10-AUG-2009 		 
2007
History of entity/person UNISYS SECURITIES & FINANCE LTD.

(Member : OTC)  
  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  
2008
History of entity/person UNITED LEASING LTD.

(Member : OTC)  
  DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-MAR-2010

08-MAR-2010 		 
2009
History of entity/person UPENDRA SINGH RATHOR,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person UPENDRA SINGH RATHOR
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010

29-OCT-2009 		 
2010
History of entity/person URMI L.KOHLI,M/S

(Member : DSE)  
Click here to view complete history of this specific entity/person URMI L.KOHLI
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010

10-AUG-2009 		 
2011
History of entity/person URMILA DHYAWALA,M/S

(Member : UPSE,Sub-Broker of UPSE SECURITIES LTD., Member : BSE)  
Click here to view complete history of this specific entity/person URMILA DHYAWALA
  		DID NOT FURNISH REQUISITE INFORMATION DURING INVESTIGATION

DID NOT ISSUE CONTRACT NOTES

DID NOT ISSUANCE OF CONTRACT NOTES IN TIME

DID NOT MAINTAIN CLIENT DATABASE

DEALT WITH UN-REGISTERED SUB-BROKERS   		SUSPENDED REGISTRATION AS SUB-BROKER FROM 16-DEC-2010 TO 15-DEC-2011

SUSPENDED REGISTRATION AS STOCK BROKER FROM 16-DEC-2010 TO 15-DEC-2011

25-NOV-2010 		 
2012
History of entity/person USHA GARG & CO.

(Member : LSE)  
  DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DID NOT PAY FEES TO SEBI   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-MAY-2002 TO 26-JUL-2002 TILL PAYMENT OF SEBI FEE,WHICHEVER IS LATER

24-MAR-2002 		 
2013
History of entity/person USHA GARG,M/S

(Member : LSE)  
Click here to view complete history of this specific entity/person USHA GARG
  		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 		 
2014
History of entity/person USHA NAIR,M/S

(Member : MDSE)  
Click here to view complete history of this specific entity/person USHA NAIR
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010

10-AUG-2009 		 
2015
History of entity/person UTHRA SECURITIES PVT.LTD.

(Member : CMBSE)  
  DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010

29-OCT-2009 		 
2016
History of entity/person V.G.SECURITIES LTD.

(Member : OTC)  
  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  
2017
History of entity/person V.K.SHEELA,M/S

(Member : COCSE)  
Click here to view complete history of this specific entity/person V.K.SHEELA
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010

29-OCT-2009 		 
2018
History of entity/person V.R.M.SHARE BROKING PVT.LTD.

(Member : NSE)  
Click here to view complete history of this specific entity/person R.K.PANDEY
  		INDULGED IN PRICE MANIPULATION BY CIRCULAR AND STRUCTURED TRANSACTIONS IN SCRIP OF SOUNDCRAFT INDUSTRIES LTD.   SUSPENDED REGISTRATION AS STOCK BROKER FROM 03-JAN-2009 TO 02-FEB-2009

12-DEC-2008 		SAT: APPEAL ALLOWED. IMPUGNED ORDER SET ASIDE AND CASE REMANDED TO SEBI FOR FRESH DECISION. NO ORDER AS TO COSTS  
2019
History of entity/person V.R.SURENDRAN NAIR,M/S

(Member : COCSE)  
Click here to view complete history of this specific entity/person V.R.SURENDRAN NAIR
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010

29-OCT-2009 		 
2020
History of entity/person V.RAJENDIRAKUMAR,M/S

(Member : COCSE)  
Click here to view complete history of this specific entity/person V.RAJENDIRAKUMAR
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-MAR-2010

08-MAR-2010 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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