| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 2061 |
|
VIJAYAWADA SHARE BROKERS LTD.
(CIN:U65990AP1995PLC020810)
(Member : BHSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 2062 |
|
|
VIKALP SECURITIES LTD.
(Member : UPSE)
|
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 19-JAN-1999 TO 18-MAR-1999
14-JAN-1999
|
COMPANY VIDE ITS LETTER DATED 30/09/2014 INFORMED U.P.STOCK EXCHANGES ASSOCIATION LTD. THAT IT HAS DECIDED TO DELIST THE SHARES FROM THE EXCHANGE
|
| 2063 |
|
|
VIKAS HOLDINGS PVT.LTD.
(PAN:AAACV3866E)
(Member : DSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF ANKUR COMMERCIAL LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF ANKUR COMMERCIAL LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 16-JUL-2010 TO 29-JUL-2010
25-JUN-2010
|
|
| 2064 |
|
|
VIKASH SOMANI SECURITIES PVT.LTD.
(Member : CSE)
|
|
|
INDULGED IN OFF-MARKET TRANSACTIONS
INDULGED IN UNAUTHORISED FUND-BASED ACTIVITIES
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-MAR-2004 TO 23-SEP-2004
03-MAR-2004
|
|
| 2065 |
|
|
VIKRAM KAPUR,M/S
(Member : BHSE)
|
|
|
|
VIKRAM KAPUR
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 2066 |
|
|
VIKSON COMMODITIES PVT.LTD.
(Member : NSEL)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 22-AUG-2023 TO 21-NOV-2023
22-AUG-2023
|
|
| 2067 |
|
|
VIMAL KUMAR CHAUDHARY,M/S
(Member : CSE)
|
|
|
|
VIMAL KUMAR CHAUDHARY
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 2068 |
|
|
VINAY B.KAPADIA,M/S
(Member : CSE)
|
|
|
|
VINAY B.KAPADIA
|
|
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
|
| 2069 |
|
|
VINAY KUMAR MANCHANDA,M/S
(Member : UPSE)
|
|
|
|
VINAY KUMAR MANCHANDA
|
|
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
|
|
| 2070 |
|
|
VINITHA ASSOCIATES
(Member : MDSE)
|
|
|
DID NOT MAINTAIN HIGH STANDARDS OF INTEGRITY AND FAIRNESS IN CONDUCT OF BUSINESS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 18-MAR-1998 TO 17-JUN-1998
28-FEB-1998
|
|
| 2071 |
|
|
VINITHA ASSOCIATES LTD.
(Member : NSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-MAY-2010
09-APR-2010
|
|
| 2072 |
|
|
VINITHA ASSOCIATES LTD.
(Member : MDSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 2073 |
|
|
VINMAR SECURITIES PVT.LTD.
(Member : VSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-MAR-2010
08-MAR-2010
|
|
| 2074 |
|
|
VINOD & CO.
(Member : UPSE)
|
|
|
|
VINOD KUMAR GUPTA
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 11-MAR-2005 TO 10-MAR-2008
18-FEB-2005
|
|
| 2075 |
|
|
VINOD AGGARWAL,M/S
(Member : OTC)
|
|
|
|
VINOD AGGARWAL
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 2076 |
|
|
VINOD BAID,M/S
(Member : CSE)
|
|
|
|
VINOD BAID
|
|
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
|
| 2077 |
|
|
VINOD KUMAR & CO.
(Member : UPSE)
|
|
|
|
VINOD KUMAR
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DID NOT ROUTE CLIENT'S TRANSACTIONS THROUGH CLIENT ACCOUNT
DID NOT RECTIFY BAD DELIVERIES IN TIME
MISUSED EXCHANGE MECHANISM TO SETTLE LOAN TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-MAR-1999 TO 29-MAY-1999
24-MAR-1999
|
|
| 2078 |
|
|
VINOD KUMAR & CO.
(Member : UPSE)
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
DID NOT ISSUE CONTRACT NOTES
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
DEFICIENCIES IN CLIENT DATABASE
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
DID NOT FRAME CODE OF INTERNAL PROCEDURES AND CONDUCT FOR PREVENTION OF INSIDER TRADING
ALLEGED NON-COMPLIANCE OF REQUIREMENTS OF UNIQUE CLIENT CODE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-SEP-2006 TO 11-OCT-2006
06-SEP-2006
|
|
| 2079 |
|
|
VINOD KUMAR KEDIA,M/S
(Member : CSE)
|
|
|
|
VINOD KUMAR KEDIA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 2080 |
|
|
VINOD KUMAR S.,M/S
(Member : COCSE)
|
|
|
|
VINOD KUMAR S.
|
|
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. |
| |
|
|
| Page 104 of 107
|
