| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 2041 |
|
VKG FINANCE & INVESTMENT PVT.LTD.
(Member : ICSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
09-JUN-2009
|
PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 09/06/2009
|
| 2042 |
|
|
VN PAREKH SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-MAR-2010
08-MAR-2010
|
|
| 2043 |
|
|
VOLPAK SECURITIES PVT.LTD.
(Member : ASE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-MAR-2007 TO 06-SEP-2007
07-MAR-2007
|
|
| 2044 |
|
|
VOTARY INVESTMENTS 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
|
|
| 2045 |
|
|
VRIDDHI ENTERPRISES
(Member : LSE)
|
|
|
|
KESHAV KUMAR
|
|
ALLEGED FAILURE TO PAY FEES TO SEBI
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,000 VIDE CONSENT ORDER)
03-FEB-2009
|
|
| 2046 |
|
|
WADHWA FINANCIAL SERVICES 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
|
|
| 2047 |
|
|
WALLSTREET CAPITAL MARKET PVT.LTD.
(Member : VSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-MAR-2010
08-MAR-2010
|
|
| 2048 |
|
|
WAY2WEALTH BROKERS PVT.LTD.
(PAN:AAACW3290M)
(Member : NSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
28-OCT-2009
|
|
| 2049 |
|
|
WAZIR CHAND NANDA,M/S
(Member : DSE)
|
|
|
|
WAZIR CHAND NANDA
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
24-DEC-2009
|
PROCEEDINGS INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AS THE SAID BROKER IS NOT ALIVE
|
| 2050 |
|
|
WELDEAL SHARES PVT.LTD.
(Member : ICSE)
|
|
|
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
|
| 2051 |
|
|
WESTFIN SECURITIES LTD.
(Member : VSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-MAR-2010
08-MAR-2010
|
|
| 2052 |
|
|
WISDOM PORTFOLIO MANAGEMENT SERVICES PVT.LTD.
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 23-JAN-2008
23-JAN-2008
|
|
| 2053 |
|
|
XANAX CAPITAL INVESTMENTS 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
|
|
| 2054 |
|
|
Y.RAMAKRISHNA,M/S
(Member : OTC)
|
|
|
|
Y.RAMAKRISHNA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 2055 |
|
|
Y.TIRUPATHIIAHH,M/S
(Member : OTC)
|
|
|
|
Y.TIRUPATHIIAHH
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 2056 |
|
|
YADA SECURITIES
(Member : HSE)
|
|
|
|
RATHNAKAR YADA
|
|
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
|
| 2057 |
|
|
YASH 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
|
|
| 2058 |
|
|
YASHASVEE & CO.
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 2059 |
|
|
YATIN D.SHAH,M/S
(Member : PSE)
|
|
|
|
YATIN D.SHAH
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 10/08/2009
|
| 2060 |
|
|
YATISH NAROTAMDAS MITHANI,M/S
(Member : OTC)
|
|
|
|
YATISH NAROTAMDAS MITHANI
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 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 104
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