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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 : 27-MAY-2026

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: CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
201
History of entity/person PRABHAT KUMAR JHUNJHUNWALA,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person PRABHAT KUMAR JHUNJHUNWALA
  		INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF GROB TEA LTD.

DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSE A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF OFF-MARKET TRANSACTIONS IN SCRIP OF GROB TEA LTD.   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

15-FEB-2010 		 
202
History of entity/person PRABHUDAS LILLADHER PVT.LTD.

(PAN:AAACP2733Q)

(Member : BSE)  
  DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE

COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

06-JAN-2000 		 
203
History of entity/person PRABHUDAS LILLADHER PVT.LTD.

(PAN:AAACP2733Q)

(Member : BSE)  
  DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING WITH ITS SUB-BROKERS   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

18-JAN-2006 		 
204
History of entity/person PRABHUDAS LILLADHER PVT.LTD.

(PAN:AAACP2733Q)

(Member : BSE)  
  MANIPULATED MARKET IN SCRIP OF SAWACA BUSINESS MACHINES LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

27-APR-2004 		 
205
History of entity/person PRAMODKUMAR JAIN SECURITIES PVT.LTD.

(PAN:AAACP6229P)

(Member : BSE)  
  DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE IN MATTER OF MOREPEN HOTELS LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

25-OCT-2003 		 
206
History of entity/person PRAMODKUMAR JAIN SECURITIES PVT.LTD.

(PAN:AAACP6229P)

(Member : BSE)  
  ALLEGED MARKET MANIPULATION IN SCRIP OF MOREPEN LABORATORIES LTD.AND ENTERED INTO STRUCTURED DEALS WITH KETAN SHAH WITH A VIEW TO CREATE ARTIFICIAL LIQUIDITY

DID NOT ACT PROFESSIONALLY AND ENSURING CONFIDENTIALITY OF DEALINGS OF ITS CLIENTS   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

06-JAN-2003 		 
207
History of entity/person PREET MOHINDER SINGH,M/S

(Member : LSE)  
Click here to view complete history of this specific entity/person PREET MOHINDER SINGH
  		DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER

DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

25-FEB-2000 		 
208
History of entity/person PREMIER SHARES LTD.

(Member : NSE)  
  DID NOT ISSUE CONTRACT NOTES

COMMITTED IRREGULARITIES IN MAINTENANCE OF COUNTERFOILS OR DUPLICATES OF CONTRACT NOTES

DID NOT ENTER INTO AGREEMENT WITH CLIENTS

DID NOT MAINTAIN SEPARATE CLIENT ACCOUNT

DID NOT COLLECT MARGINS FROM CLIENTS   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

17-JAN-2008 		 
209
History of entity/person PRO FIN CAPITAL SERVICES LTD.

(PAN:AAACP0251F)

(Member : NSE)  
Click here to view complete history of this specific entity/person RAJESH SEHGAL
  		DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE EXECUTING TRANSACTIONS IN SCRIP OF EIDER INFOTECH LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

15-JAN-2009 		 
210
History of entity/person PUNIT CAPITAL & DEBT MARKET PVT.LTD.

(Member : NSE)  
  IN THE CASE OF HITECHI JEWELLERY INDUSTRIES LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

15-JUL-2002 		 
211
History of entity/person R.R.CHOKHANI STOCK BROKERS PVT.LTD.

(PAN:AAACR7391E)

(Member : BSE)  
  DEALT WITH UN-REGISTERED SUB-BROKERS

DID NOT MAINTAIN CLIENT REGISTRATION FORMS

MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

06-AUG-1999 		 
212
History of entity/person R.S.& CO.

(Member : DSE)  
  DEALT WITH UN-REGISTERED SUB-BROKERS

DID NOT MENTION DATE OF TRANSACTIONS ON DELIVERY BILLS

DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

30-JUN-1998 		 
213
History of entity/person R.SINGHANIA & CO.

(Member : DSE)  
  DEALT WITH UN-REGISTERED SUB-BROKERS

DID NOT HAVE PRE-PRINTED SERIAL NUMBERS ON CONTRACT NOTES

DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE

DID NOT ADHERE TO SECURITIES CONTRACTS (REGULATION) ACT, WITH REGARD TO SPOT TRANSACTIONS

DID NOT RECTIFY BAD DELIVERIES IN TIME   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

18-JUN-1998 		 
214
History of entity/person RAGHAVENDRA JOSHI,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person RAGHAVENDRA JOSHI
  		DEFAULTED IN MAINTENANCE OF SAUDA BOOK

DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER

DEFAULTED IN MAINTENANCE OF JOURNAL

DID NOT DELIVER SECURITIES TO CLIENTS IN TIME

DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE

DID NOT ENTER INTO AGREEMENT WITH CLIENTS

COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

06-JAN-2000 		 
215
History of entity/person RAGHUNANDAN CAPITAL PVT.LTD.

(PAN:AADCR7430F)

(Member : BSE/NSE/MCX/NCDEX)  
  DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS

DELAY IN SETTLING OF RUNNING ACCOUNTS OF CLIENTS

RETAINED CLIENT FUNDS IN EXCESS OF APPLICABLE MARGIN OBLIGATIONS

DID NOT SEND RETENTION STATEMENTS/ SMS TO CLIENTS AT THE TIME OF SETTLEMENT

DID NOT PROVIDE INFORMATION TO SEBI   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

03-SEP-2025 		 
216
History of entity/person RAJCHANDRA CAPITAL SERVICES PVT.LTD.

(PAN:AAACR5526M)

(Member : BSE)  
Click here to view complete history of this specific entity/person L.R.SHAH
Click here to view complete history of this specific entity/person N.M.LAPASIA
  		DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE EXECUTING TRANSACTIONS IN SCRIP OF DATABASE FINANCE LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

13-JAN-2009 		 
217
History of entity/person RAJENDRA S.DAGA,M/S

(Member : PSE)

(Along with : MULTI SECURITIES)  
Click here to view complete history of this specific entity/person RAJENDRA DAGA
  		INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

13-AUG-1997 		 
218
History of entity/person RAMA SECURITIES PVT.LTD.

(Member : CSE)  
  DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

28-APR-2006 		 
219
History of entity/person RAMANLAL D.SHAH,M/S

(Member : BSE)  
Click here to view complete history of this specific entity/person RAMANLAL D.SHAH
  		DEALT WITH UN-REGISTERED SUB-BROKERS   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

06-OCT-2004 		 
220
History of entity/person RAMESH BIYANI,M/S

(Member : BSE)

(Along with : G.DAS CAPITAL MARKETS PVT.LTD.)  
Click here to view complete history of this specific entity/person RAMESH BIYANI
  		INDULGED IN SHORT SALES

INTRODUCED FAKE SHARES   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

24-OCT-1997 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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