| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 221 |
|
UNIQUE STOCKBRO PVT.LTD.
(PAN:AAACU2884M)
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE
DID NOT ADHERE TO "KNOW YOUR CLIENT" DIRECTIVES/INSTRUCTIONS/GUIDELINES
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
22-FEB-2007
|
|
| 222 |
|
|
UPSE SECURITIES LTD.
(PAN:AAACU6058K)
(Member : BSE/NSE)
|
|
|
ALLOWED TERMINAL TO UNAUTHORISED USERS
FAILED TO COMPLY WITH THE UNIQUE CLIENT CODE AS PRESCRIBED BY SEBI
|
IMPOSED PENALTY RS.2,00,000
31-MAY-2011
|
SAT: APPEAL ALLOWED WITH NO ORDER AS TO COSTS
|
| 223 |
|
|
URMILA DHYAWALA,M/S
(Member : UPSE,Sub-Broker of UPSE SECURITIES LTD., Member : BSE)
|
|
|
|
URMILA DHYAWALA
|
|
DID NOT FURNISH REQUISITE INFORMATION DURING INVESTIGATION
DID NOT ISSUE CONTRACT NOTES
DID NOT ISSUANCE OF CONTRACT NOTES IN TIME
DID NOT MAINTAIN CLIENT DATABASE
DEALT WITH UN-REGISTERED SUB-BROKERS
|
SUSPENDED REGISTRATION AS SUB-BROKER FROM 16-DEC-2010 TO 15-DEC-2011
SUSPENDED REGISTRATION AS STOCK BROKER FROM 16-DEC-2010 TO 15-DEC-2011
25-NOV-2010
|
|
| 224 |
|
|
VCK SHARE & STOCK BROKING SERVICES LTD.
(CIN:U67110WB1989PLC046799
PAN:AAACV8988P)
(Member : NSE/CSE/ASE/OTC)
|
|
|
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
CHARGED EXCESS BROKERAGE
DID NOT MAINTAIN CLIENT AGREEMENTS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENTS' SECURITIES AND OWN SECURITIES
DID NOT MAINTAIN DATABASE AND RECORDS OF INVESTOR COMPLAINTS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DEALT IN CASH WITH CLIENTS
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
18-JUL-2011
|
|
| 225 |
|
|
VENKATESHWARLU KONDURI,M/S
(Member : HSE)
|
|
|
|
VENKATESHWARLU KONDURI
|
|
DID NOT ISSUE CONTRACT NOTES
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT ENTER INTO AGREEMENT WITH CLIENTS
DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER
USED CLIENT'S SECURITIES FOR RAISING FUNDS
USED EXCHANGE MECHANISM IN ORDER TO MEET FINANCIAL OBLIGATIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 15-FEB-1999 TO 14-AUG-1999
05-FEB-1999
|
|
| 226 |
|
|
VENTURA SECURITIES LTD.
(PAN:AAACV1361J)
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE, SKILL AND DILIGENCE WHILE DEALING WITH CLIENTS IN SCRIP OF SMR UNIVERSAL SOFTECH LTD.
DEFICIENCIES IN REGISTRATION FORMS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
29-AUG-2007
|
|
| 227 |
|
|
VENUGOPAL MALANI,M/S
(Member : HSE)
|
|
|
|
VENUGOPAL MALANI
|
|
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
ALLEGED NON-COMPLIANCE OF REQUIREMENTS OF UNIQUE CLIENT CODE
DELAYED SUBMISSION OF AUDIT REPORT TO THE EXCHANGE
|
IMPOSED PENALTY RS.2,00,000
30-DEC-2004
|
|
| 228 |
|
|
VIDYUT BHARATKUMAR SHAH,M/S
(Member : ASE)
|
|
|
|
VIDYUT B.SHAH
|
|
DID NOT ENTER INTO AGREEMENT WITH CLIENTS
DEALT WITH UN-REGISTERED SUB-BROKERS
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
|
IMPOSED PENALTY RS.1,00,000
29-DEC-2004
|
|
| 229 |
|
|
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
|
|
| 230 |
|
|
VINTAGE CAPITAL MARKETS LTD.
(Member : NSE)
|
|
|
DID NOT HAVE PRE-PRINTED SERIAL NUMBERS ON CONTRACT NOTES
DID NOT COLLECT MARGINS FROM CLIENTS
DEALT WITH UN-REGISTERED SUB-BROKERS
MISMATCH IN CLIENT'S NAMES BETWEEN RECORDING OF TRANSACTIONS AND DELIVERY OF SECURITIES
DID NOT USE CORRECT CLIENT CODE
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
12-JAN-2006
|
|
| 231 |
|
|
VISHAL J.SHAH & CO.
(Member : CSE)
|
|
|
DID NOT ADHERE TO "KNOW YOUR CLIENT" DIRECTIVES/INSTRUCTIONS/GUIDELINES
AIDED ASHWIN MEHTA IN PRICE MANIPULATION IN SCRIP OF WESTERN PROJECTS LTD.
DID NOT EXERCISE DUE CARE AND SKILL IN DEALING WITH CLIENTS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
23-FEB-2007
|
|
| 232 |
|
|
WYSCARE SECURITIES PVT.LTD.
(Member : BGSE)
|
|
|
DID NOT MAINTAIN CLIENT AGREEMENTS
ALLOWED THIRD PARTY TO PLACE ORDERS FOR CLIENTS WITHOUT OBTAINING WRITTEN CONSENT FROM CLIENTS
DID NOT OBTAIN ACKNOWLEDGEMENT ON COUNTERFOILS OF CONTRACT NOTES
DEFAULTED IN VERIFYING FINANCIAL CAPABILITIES AND NET WORTH OF CLIENTS
DID NOT EXERCISE DUE CARE & DILIGENCE WHILE EXECUTING SUBSTANTIAL TRANSACTIONS IN HOME TRADE LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-OCT-2006 TO 07-NOV-2006
03-OCT-2006
|
|
| 233 |
|
|
YKS CAPITAL SERVICES PVT.LTD.
(Member : DSE)
|
|
|
DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DEFICIENCIES IN CLIENT DATABASE
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
03-JUL-2001
|
|
| 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 12 of 12
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