| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 2081 |
|
VINOD KUMAR SINGHANIA,M/S
(Member : CSE)
|
|
|
|
VINOD KUMAR SINGHANIA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 2082 |
|
|
VINOD LODHA,M/S
(Member : OTC)
|
|
|
|
VINOD LODHA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 2083 |
|
|
VINOD SINGHVI,M/S
(Member : JSE)
|
|
|
|
VINOD SINGHVI
|
|
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
|
|
| 2084 |
|
|
VIPAN KUMAR SHARMA,M/S
(Member : LSE)
|
|
|
|
VIPAN KUMAR SHARMA
|
|
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
|
|
| 2085 |
|
|
VIPIN AHUJA & CO.
(Member : UPSE)
|
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
MISUSED DEBIT NOTE FACILITY IN STOCK EXCHANGE
DID NOT REPORT PRINCIPAL-TO-PRINCIPAL TRANSACTIONS TO THE EXCHANGE
DID NOT REPORT SPOT TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 22-JUN-1999 TO 22-DEC-1999
18-JUN-1999
|
|
| 2086 |
|
|
VIPUL P.KOTHARI,M/S
(Member : VSE)
|
|
|
|
VIPUL P.KOTHARI
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-MAR-2010
08-MAR-2010
|
|
| 2087 |
|
|
VIPUL SECURITIES LTD.
(Member : NSE)
|
|
|
INDULGED IN SHORT SALES
INTRODUCED FAKE SHARES
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-OCT-1997 TO 29-OCT-1999
24-OCT-1997
|
|
| 2088 |
|
|
VIRENDRA CHANDRA GUPTA,M/S
(Member : UPSE)
|
|
|
|
VIRENDRA CHANDRA GUPTA
|
|
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
|
| 2089 |
|
|
VIRESH BHARATIYA,M/S
(Member : UPSE)
|
|
|
|
VIRESH BHARATIYA
|
|
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
|
|
| 2090 |
|
|
VISARIA SECURITIES PVT.LTD.
(PAN:AAACV7721L)
(Member : NSE/BSE)
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF GLOBAL TRUST BANK LTD.
VIOLATED SEBI CODE OF CONDUCT
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-NOV-2004 TO 31-JAN-2005
11-OCT-2004
|
SAT: IMPUGNED ORDER SET ASIDE
|
| 2091 |
|
|
VISHAALA STOCKS & SECURITIES 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
|
|
| 2092 |
|
|
VISHAL VIJAY SHAH,M/S
(PAN:BBJPS3622P)
(Member : BSE)
|
|
|
|
VISHAL VIJAY SHAH
PAN:BBJPS3622P
|
|
AIDED AND ABETTED ITS CLIENTS IN CREATION OF FICITIOUS DOCUMENTS VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT. READ WITH REGULATIONS 3(B) TO 3(D) AND 4(1) & 4(2)(P) OF PFUTP REGULATIONS, 2003
DID NOT MAINTAIN HIGH STANDARD OF INTEGRITY, PROMPTITUDE & FAIRNESS AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 9 READ WITH CLAUSES A(1) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 02-JAN-2019 TO 01-JUL-2019
12-DEC-2018
|
|
| 2093 |
|
|
VISHAL VIJAY SHAH,M/S
(PAN:BBJPS3622P)
(Member : BSE)
|
|
|
|
VISHAL VIJAY SHAH
PAN:BBJPS3622P
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
ACCEPTED PAYMENTS FROM THIRD PARTIES IN CASH AND MADE PAYMENTS TO THIRD PARTIES ON BEHALF OF CLIENTS AND WITHDREW
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 22-JUL-2020 TO 21-JUL-2021
01-JUL-2020
|
|
| 2094 |
|
|
VISHESH 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
|
|
| 2095 |
|
|
VISHVAS SECURITIES LTD.
(PAN:AAACV2921N)
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF, SYNCHRONIZED AND CIRCULAR TRADES IN SCRIP OF GANGOTRI TEXTILES 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 REGULATIONS 7, 17(1) READ WITH 18 OF CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF GANGOTRI TEXTILES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-OCT-2016 TO 12-APR-2017
20-SEP-2016
|
|
| 2096 |
|
|
VISHWABHARATHI INVESTMENTS PVT.LTD.
(Member : CMBSE)
|
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 15-OCT-1998 TO 14-NOV-1998
08-OCT-1998
|
|
| 2097 |
|
|
VISION 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
|
| 2098 |
|
|
VIVEKANANDA SAFE INVESTMENTS
(Member : COCSE)
|
|
|
|
K.C.MENON
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-MAR-2007 TO 06-SEP-2007
07-MAR-2007
|
|
| 2099 |
|
|
VIVENASRI FINANCIAL SERVICES LTD.
(CIN:U65921TG1994PLC018806)
(Member : HSE)
|
|
|
ACTED IN CONCERT WITH OTHER ENTITIES TO MANIPULATE THE MARKET THROUGH CROSS DEALS, STRUCTURED DEALS AND CIRCULAR TRADING IN SCRIP OF ZODIAC CLOTHING COMPANY LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 15-SEP-2003 TO 14-SEP-2008
08-AUG-2006
|
|
| 2100 |
|
|
VKB CAPITAL SERVICES LTD.
(Member : LSE)
|
|
|
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
INDULGED IN OFF-THE-FLOOR TRANSACTIONS
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-JAN-2004 TO 06-APR-2004
17-DEC-2003
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 105 of 107
|
