| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 241 |
|
SUNIL KUMAR KAYAN & CO.
(PAN:AGDPK5151F)
(Member : CSE)
|
|
|
|
SUNIL KUMAR KAYAN
|
|
UNAUTHORISED OPERATIONS ON NSE TERMINALS TAKEN FROM SANJAY BANSAL
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
INDULGED IN OFF-THE-FLOOR TRANSACTIONS
INDULGED IN TRADES OUTSIDE RECOGNIZED EXCHANGE IN F&O SEGMENT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-AUG-2003 TILL PENDING ENQUIRY
20-AUG-2003
|
REVOKED RESTRICTION IMPOSED ON BROKER FROM 12/07/2005
|
| 242 |
|
|
SURE CAPITAL PVT.LTD.
(CIN:U67120PN1999PTC014178)
(Member : PSE)
|
|
|
|
ASHOK RAJMAL NAHAR
|
|
|
MILIND UDAYSING BADGUJAR
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT ISSUE CONTRACT NOTES
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
DEFAULTED IN MAINTENANCE OF MARGIN REGISTER
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 17-FEB-2009
27-JAN-2009
|
|
| 243 |
|
|
SUSHILA N.RUNGTA,M/S
(Member : BSE)
|
|
|
|
SUSHILA NIRMAL KUMAR RUNGTA
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT MAINTAIN CLIENT AGREEMENTS
INDULGED IN OFF-THE-FLOOR TRANSACTIONS
INDULGED IN GALA TRANSACTIONS
ISSUED FICTITIOUS CONTRACT NOTES
DID NOT APPLY FOR REGISTRATION OF CIS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 15-SEP-2003 TO 15-SEP-2004
25-AUG-2003
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PERIOD OF SUSPENSION TO ONE MONTH W.E.F.15/11/2005
|
| 244 |
|
|
SVV SHARE & STOCK BROKERS PVT.LTD.
(Member : BSE)
|
|
|
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
DID NOT OBTAIN ACKNOWLEDGEMENT FROM CLIENTS
DID NOT ADHERE TO "KNOW YOUR CLIENT" DIRECTIVES/INSTRUCTIONS/GUIDELINES
MEMBER-CLIENT AGREEMENTS WERE NOT DATED
DEALT WITH UN-REGISTERED SUB-BROKERS
PRE-PRINTED SERIAL NUMBERS ON CONTRACT NOTES PERTAINING TO ONE SETTLEMENT WERE USED FOR OTHER SETTLEMENTS
MANUALLY CHANGED PRE-PRINTED SERIAL NUMBERS ON CONTRACT NOTES
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
06-JAN-2006
|
|
| 245 |
|
|
SYKES & RAY EQUITIES (INDIA) LTD.
(PAN:AAECS5168A)
(Member : NSE)
|
|
|
DID NOT ISSUANCE OF CONTRACT NOTES IN TIME
DID NOT MENTION NAMES OF AUTHORISED REPRESENTATIVES ON CONTRACT NOTES
ALLEGED NON-COMPLIANCE OF REQUIREMENTS OF UNIQUE CLIENT CODE
DEALT WITH UN-REGISTERED SUB-BROKERS
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
27-DEC-2005
|
|
| 246 |
|
|
SYKES & RAY EQUITIES (MUMBAI) PVT.LTD.
(Member : BSE)
|
|
|
DID NOT HAVE PRE-PRINTED SERIAL NUMBERS ON CONTRACT NOTES
DID NOT ISSUANCE OF CONTRACT NOTES IN TIME
DEALT WITH UN-REGISTERED SUB-BROKERS
DEFAULTED IN AVAILING LETTER FROM BANK CERTIFYING BANK ACCOUNT NUMBER
DID NOT MAINTAIN SEGREGATION BETWEEN SUB-BROKER FUNDS AND OWN FUNDS
DELIVERED FAKE/FORGED SHARES
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
23-SEP-2005
|
|
| 247 |
|
|
TIME CAPITAL LTD.
(Member : NSE)
|
|
|
|
MANOJ MITTAL
|
|
DEFAULTED IN MAINTENANCE OF MARGIN REGISTER
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT MAINTAIN SEPARATE CLIENT ACCOUNT
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
17-SEP-2007
|
|
| 248 |
|
|
TRIMITI INVESTMENTS & FINANCIAL SERVICES PVT.LTD.
(Member : PSE)
|
|
|
DEFAULTED IN MAINTENANCE OF BOOKS/DOCUMENTS
DEALT WITH UN-REGISTERED SUB-BROKERS
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
INDULGED IN UNAUTHORISED FUND-BASED ACTIVITIES
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 13-AUG-1999 TO 12-OCT-1999
06-AUG-1999
|
|
| 249 |
|
|
TRIUMPH INTERNATIONAL FINANCE INDIA LTD.
(PAN:AAACE0308A)
(Member : NSE)
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF HFCL, ZEE, ADANI, GTL, RANBAXY, SAB TV, SHONKH, PADMINI (FORMERLY PADMINI POLYMERS LTD.) AND AFTEK WITH KP ENTITIES
INDULGED IN MANIPULATIVE ACTIVITIES LIKE SYNCHRONIZED TRADING
FINANCED TRANSACTIONS TO GIVE SEMBLANCE OF PURCHASE AND SALE OF SHARES AT THE EXCHANGES
INDULGED IN CIRCULAR TRADING
CREATED ARTIFICIAL MARKET
BENCHMARKED PRICES OF CERTAIN SCRIPS BY EXECUTING NON-GENUINE TRANSACTIONS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-NOV-2007 TO 11-NOV-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-NOV-2007 TO 11-NOV-2012
12-NOV-2007
|
SAT: APPEAL DISMISSED AS INFRUCTUOUS
|
| 250 |
|
|
TRIUMPH SECURITIES LTD.
(PAN:AAACT2152P)
(Member : BSE)
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF HFCL, ZEE, ADANI, GTL, RANBAXY, SAB TV, SHONKH, PADMINI (FORMERLY PADMINI POLYMERS LTD.) AND AFTEK WITH KP ENTITIES
INDULGED IN MANIPULATIVE ACTIVITIES LIKE SYNCHRONIZED TRADING
FINANCED TRANSACTIONS TO GIVE SEMBLANCE OF PURCHASE AND SALE OF SHARES AT THE EXCHANGES
INDULGED IN CIRCULAR TRADING
CREATED ARTIFICIAL MARKET
BENCHMARKED PRICES OF CERTAIN SCRIPS BY EXECUTING NON-GENUINE TRANSACTIONS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-NOV-2007 TO 11-NOV-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-NOV-2007 TO 11-NOV-2012
12-NOV-2007
|
|
| 251 |
|
|
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
|
|
| 252 |
|
|
V.K.DUA & CO.
(Member : DSE)
|
|
|
|
VINOD KUMAR DUA
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DEALT WITH UN-REGISTERED SUB-BROKERS
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
06-MAR-2000
|
|
| 253 |
|
|
VEDICA SECURITIES PVT.LTD.
(Member : NSE)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT TRANSFER DIVIDEND TO CLIENTS ACCOUNT
|
IMPOSED PENALTY RS.2,00,000
31-JAN-2011
|
|
| 254 |
|
|
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
|
|
| 255 |
|
|
VIJAY GROWTH FINANCIAL SERVICES LTD.
(CIN:L17121TG1987PLC007120
PAN:AAACV6838J)
(Member : HSE)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
09-JAN-2009
|
|
| 256 |
|
|
VIJAY KUMAR PATNI,M/S
(Member : CSE)
|
|
|
|
VIJAY KUMAR PATNI
|
|
INDULGED IN OFF-MARKET TRANSACTIONS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
INDULGED IN UNAUTHORISED FUND-BASED ACTIVITIES
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 02-SEP-2003 TO 01-JAN-2004
12-AUG-2003
|
|
| 257 |
|
|
VIKASH SOMANI SECURITIES PVT.LTD.
(Member : CSE)
|
|
|
INDULGED IN OFF-MARKET TRANSACTIONS
INDULGED IN UNAUTHORISED FUND-BASED ACTIVITIES
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-MAR-2004 TO 23-SEP-2004
03-MAR-2004
|
|
| 258 |
|
|
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
|
|
| 259 |
|
|
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
|
|
| 260 |
|
|
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 13 of 13
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