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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-AUG-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 PROVIDE INFORMATION TO SEBI

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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