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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 : 03-JUL-2025

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
2121
History of entity/person YATIN D.SHAH,M/S

(Member : PSE)  
Click here to view complete history of this specific entity/person YATIN D.SHAH
  		DID NOT EXERCISE DUE CARE & DILIGENCE WHILE EXECUTING SUBSTANTIAL TRANSACTIONS IN HOME TRADE LTD.

INVOLVED IN CREATION OF FALSE MARKET, CIRCULAR TRADING AND PRICE MANIPULATION IN SCRIP OF HOME TRADE LTD.   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-DEC-2007 TO 19-JUN-2009

29-NOV-2007 		 
2122
History of entity/person YATISH NAROTAMDAS MITHANI,M/S

(Member : OTC)  
Click here to view complete history of this specific entity/person 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 		 
2123
History of entity/person YELKAYES FINANCIAL CONSULTANTS & INVESTMENTS LTD.

(Member : NSE)  
  DID NOT COLLECT MARGINS FROM CLIENTS

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 23-MAY-2003 TO 22-SEP-2003

02-MAY-2003 		 
2124
History of entity/person YOGEN J.VYAS,M/S

(Member : VSE)  
Click here to view complete history of this specific entity/person YOGEN J.VYAS
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-MAR-2010

08-MAR-2010 		 
2125
History of entity/person YOGENDRA SHARMA,/MS

(Member : UPSE)  
Click here to view complete history of this specific entity/person YOGENDRA SHARMA
  		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 01-JUN-1999 TO 30-NOV-1999

24-MAY-1999 		 
2126
History of entity/person YOHA SECURITIES LTD.

(PAN:AAACY0254D)

(Member : NSE)  
  INDULGED IN PRICE MANIPULATION IN SCRIP OF MARUTI ORGANICS LTD.

DID NOT EXERCISE DUE CARE AND DILIGENCE   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-SEP-2002 TO 07-OCT-2002

16-SEP-2002 		SAT: APPEAL DISMISSED  
2127
History of entity/person YUBEE CEE FINANCE & 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 		 
2128
History of entity/person ZACHARIAS PANKAVAN,M/S

(Member : COCSE)  
Click here to view complete history of this specific entity/person BABY ZACHARIA PANKAVIL
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 13-NOV-2007 TO 12-APR-2008

23-OCT-2007 		 
2129
History of entity/person ZAVERI & CO.PVT.LTD.

(PAN:AAACZ2014N)

(Member : NSEL)  
  NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER   SUSPENDED REGISTRATION AS STOCK BROKER FROM 31-JUL-2023 TO 30-OCT-2023

31-JUL-2023 		SAT: SAT VIDE ITS ORDER DATED 12/03/2025 DISPOSED OF THE APPEAL AND STAYED THE IMPUGNED ORDER DATED 31/07/2023  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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