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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: 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
241
History of entity/person SHILPA STOCK BROKER PVT.LTD.

(PAN:AAECS9799R)

(Member : BSE)  
  DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING WITH ITS SUB-BROKER BHANSALI SECURITIES & ADHUNIK FINANCE PVT.LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

05-OCT-2007 		 
242
History of entity/person SHREE RAM & CO.

(Member : DSE)  
  COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES

DID NOT OBTAIN WRITTEN CONSENT FROM CLIENTS FOR PRINCIPAL TO PRINCIPAL TRANSACTIONS

DID NOT ROUTE CLIENT'S MONEY THROUGH SEPARATE BANK ACCOUNT

DEALT WITH UN-REGISTERED SUB-BROKERS

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

15-JUN-1998 		 
243
History of entity/person SHREEPATI HOLDINGS & FINANCE PVT.LTD.

(PAN:AAACS3111R)

(Member : NSE)  
Click here to view complete history of this specific entity/person KANAN SHETH
Click here to view complete history of this specific entity/person PRAMOD GOYAL
  		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

21-MAY-2007 		 
244
History of entity/person SHRIKANT G.MANTRI,M/S

(Member : BSE)  
Click here to view complete history of this specific entity/person SHRIKANT G.MANTRI
  		AIDED AND ABETTED DAMAYANTI GROUP ENTITIES IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF BPL LTD., VIDEOCON INTERNATIONAL LTD. AND STERLITE INDUSTRIES LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

13-OCT-2021 		 
245
History of entity/person SHRIYAM BROKING INTERMEDIARY LTD.

(Member : BSE)  
  DID NOT FULFILL UNDERWRITING OBLIGATION   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

28-MAR-2002 		 
246
History of entity/person SHYAM SUNDAR DALMIA,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person RAJESH SINHA
Click here to view complete history of this specific entity/person SHYAM SUNDAR DALMIA
  		INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF SPANCO TELESYSTEMS & SOLUTIONS LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

19-JAN-2007 		 
247
History of entity/person SI INVESTMENTS & BROKING PVT.LTD.

(Member : BSE)  
  DID NOT ENTER INTO AGREEMENT WITH CLIENTS

DID NOT FILE FIRST INFORMATION REPORT IN RESPECT OF STOLEN/FAKE/FORGED SHARES

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

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

NETTED TRANSACTIONS SCRIP WISE AND THEN REPORTED AS CARRY FORWARD TRANSACTIONS TO EXCHANGE   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

21-FEB-2000 		 
248
History of entity/person SKG STOCK & SHARE BROKERS LTD.

(Member : DSE)  
  COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES

DEALT WITH UN-REGISTERED SUB-BROKERS

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

DID NOT MAINTAIN CLIENT REGISTRATION FORMS

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

14-AUG-2002 		 
249
History of entity/person SKSE SECURITIES LTD.

(PAN:AAFCS1539J)

(Member : BSE/NSE)  
  DID NOT HAVE PRE-PRINTED SERIAL NUMBERS ON CONTRACT NOTES

PERMITTED HIGH EXPOSURE WITHOUT RENEWAL OF BANK GUARANTEE

ENHANCED TURNOVER LIMITS AND HIGH EXPOSURE LIMIT

DID NOT FOLLOW EARLY PAY-IN INSTRUCTIONS OF SEBI

DEALT WITH UN-REGISTERED SUB-BROKERS

ALLOWED SUB-BROKER TO TRADE DURING SUSPENDED PERIOD   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

26-FEB-2008 		 
250
History of entity/person SMC GLOBAL SECURITIES LTD.

(PAN:AAACS0581R)

(Member : NSE)  
  DID NOT EXERCISE DUE CARE AND DILIGENCE WHILE DEALING WITH ITS CLIENTS IN SCRIP OF DSQ BIOTECH LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

01-JAN-2008 		SAT: IMPUGNED ORDER SET ASIDE AND APPEAL ALLOWED LEAVING PARTIES TO BEAR THEIR OWN COSTS  
251
History of entity/person SMK SHARES & STOCK BROKING PVT.LTD.

(Member : BSE)  
Click here to view complete history of this specific entity/person DINESH S.KHEMKA
  		MANIPULATION IN SCRIP OF AMARA RAJA BATTERIES LIMITED DURING THE PERIOD AUGUST 2000 TO MARCH 2001   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

01-AUG-2002 		 
252
History of entity/person SMK SHARES & STOCK BROKING PVT.LTD.

(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

09-OCT-2007 		 
253
History of entity/person SREE SWAYAMBU STOCKS & SHARES

(Member : BGSE)  
  DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS

DID NOT ISSUE CONTRACT NOTES

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

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

18-JUN-1998 		 
254
History of entity/person SRI SIDDHI VINAYAK SHARES LTD.

(Member : MDSE)  
  DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE

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

ISSUED CONTRACT NOTES OF MSE FOR TRANSACTIONS DONE ON BSE/NSE   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

10-FEB-2000 		 
255
History of entity/person STEEL CITY SECURITIES LTD.

(PAN:AAECS0970L)

(Member : NSE)  
Click here to view complete history of this specific entity/person SATISH KUMAR ARYA

PAN:ADPPA5763Q
Click here to view complete history of this specific entity/person V.SRINIVAS
  		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 		 
256
History of entity/person STEEL CITY SECURITIES LTD.

(PAN:AAECS0970L)

(Member : NSE)  
  DID NOT DELIVER SECURITIES TO CLIENTS IN TIME

DID NOT MAKE PAYMENTS TO CLIENTS IN TIME

DID NOT FOLLOW BYE-LAWS OF THE STOCK EXCHANGE WHILE ISSUING ADVERTISEMENTS   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

02-FEB-2006 		 
257
History of entity/person STEEL CITY SECURITIES LTD.

(PAN:AAECS0970L)

(Member : BSE/NSE)  
  SUBMITTED FAKE/NON-GENUINE B.COM DEGREE CERTIFICATE DECLARING THAT MR.SATISH KUMAR ARYA WAS B.COM GRADUATE, FAILED TO SATISFY CRITERIA FOR FIT & PROPER PERSON MANDATED UNDER INTERMEDIARY REGULATIONS   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

DIRECTED NOT TO EMPLOY/ ENGAGE/ ASSOCIATE WITH MR.SATISH KUMAR ARYA, MANAGING DIRECTOR & CEO WITH RESPECT TO ANY OF ITS FUNCTIONS DIRECTLY OR INDIRECTLY FROM 23-SEP-2024 TO 22-OCT-2024

23-SEP-2024 		 
258
History of entity/person SUBHKAM SECURITIES PVT.LTD.

(PAN:AADCS4498N)

(Member : BSE)  
  COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES

DID NOT COLLECT MARGINS FROM CLIENTS

USED CLIENTS' ACCOUNT FOR PAYMENT OF OWN OBLIGATIONS   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

24-JAN-2006 		 
259
History of entity/person SUDHIR JOSHI & ASSOCIATES

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

DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK

DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS

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

18-JUN-1998 		 
260
History of entity/person SUNRISE FINCAP LTD.

(Member : ASE)  
  DID NOT REFUND MONEY COLLECTED UNDER CIS

ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

07-AUG-2009 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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