| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 2041 |
|
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
|
|
| 2042 |
|
|
VCK COMMODITY SERVICES PVT.LTD.
(PAN:AACCV4358H)
(Member : NSEL)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 14-DEC-2023 TO 13-MAR-2024
14-DEC-2023
|
|
| 2043 |
|
|
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
|
|
| 2044 |
|
|
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
|
|
| 2045 |
|
|
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
|
|
| 2046 |
|
|
VENKATESHWARLU KONDURI,M/S
(Member : HSE)
|
|
|
|
VENKATESHWARLU KONDURI
|
|
DID NOT ISSUE CONTRACT NOTES
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT ENTER INTO AGREEMENT WITH CLIENTS
DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER
USED CLIENT'S SECURITIES FOR RAISING FUNDS
USED EXCHANGE MECHANISM IN ORDER TO MEET FINANCIAL OBLIGATIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 15-FEB-1999 TO 14-AUG-1999
05-FEB-1999
|
|
| 2047 |
|
|
VICTORY FINANCIAL SERVICES LTD.
(PAN:AAACV3362P)
(Member : NSE)
|
|
|
|
AJAY
|
|
|
V.K.AHUJA
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF INFORMATION TECHNOLOGIES (INDIA) LTD.
VIOLATED SEBI CODE OF CONDUCT
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 28-JUN-2007 TO 27-AUG-2007
07-JUN-2007
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.9,00,000, LEGAL EXPENSES RS.1,00,000 VIDE CONSENT ORDER)
30-APR-2008
|
SAT: APPEAL STAND DISPOSED OFF, AS APPLICANT AGREED TO PAY RS. 10,00,000 AS PER CONSENT ORDER
|
| 2048 |
|
|
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
|
|
| 2049 |
|
|
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
|
| 2050 |
|
|
VIDYUT BHARATKUMAR SHAH,M/S
(Member : ASE)
|
|
|
|
VIDYUT B.SHAH
|
|
ACTED IN CONCERT WITH ASSOCIATED ENTITIES/BROKERS TO CREATE ARTIFICIAL MARKET/PRICE RISE THROUGH CIRCULAR TRADING AND TO SELL THEIR HOLDINGS AT AN ARTIFICIALLY CREATED PRICE IN THE CASE OF MANNA GLASS TECH INDUSTRIES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 23-DEC-2008 TO 22-APR-2009
02-DEC-2008
|
|
| 2051 |
|
|
VIDYUT DEVENDRAKUMAR,M/S
(Member : BSE)
|
|
|
|
VIDYUT DEVENDRAKUMAR
|
|
VIOLATED REGULATION 4(B), (C) AND (D) OF THE FUTP REGULATIONS AND CLAUSE A(2) AND B(4) OF THE CODE OF CONDUCT
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 22-FEB-2007 TO 21-MAR-2007
02-FEB-2007
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 02/02/2007 SET ASIDE WITH NO ORDER AS TO COSTS
|
| 2052 |
|
|
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
|
|
| 2053 |
|
|
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
|
|
| 2054 |
|
|
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
|
|
| 2055 |
|
|
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
|
| 2056 |
|
|
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
|
|
| 2057 |
|
|
VIJAY KUMAR PATNI,M/S
(Member : CSE)
|
|
|
|
VIJAY KUMAR PATNI
|
|
INDULGED IN OFF-MARKET TRANSACTIONS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
INDULGED IN UNAUTHORISED FUND-BASED ACTIVITIES
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 02-SEP-2003 TO 01-JAN-2004
12-AUG-2003
|
|
| 2058 |
|
|
VIJAY SINGH BENGANI,M/S
(Member : CSE)
|
|
|
|
VIJAY SINGH BENGANI
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 2059 |
|
|
VIJAY SINGH KOTHARI,M/S
(Member : CSE)
|
|
|
|
VIJAY SINGH KOTHARI
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 2060 |
|
|
VIJAY VYAS,M/S
(Member : MPSE)
|
|
|
|
VIJAY VYAS
|
|
DID NOT EXERCISE DUE SKILL AND CARE IN MATTER OF EONOUR TECHNOLOGIES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF EONOUR TECHNOLOGIES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 18-NOV-2003 TO 17-JAN-2004
29-OCT-2003
|
|
| 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 103 of 107
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