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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
261
History of entity/person SURESH RATHI SECURITIES PVT.LTD.

(PAN:AABCS5554M)

(Member : BSE/NSE)  
  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-2004 		 
262
History of entity/person SUVIDHA FINCAP PVT.LTD.

(Member : LSE)  
  INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS

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

19-NOV-1999 		 
263
History of entity/person SWADHA SECURITIES LTD.

(Member : CSE)  
Click here to view complete history of this specific entity/person NARESH KUMAR JALAN
  		DID NOT EXERCISE DUE SKILL AND DILIGENCE   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

09-JAN-2009 		 
264
History of entity/person SWADHA SECURITIES LTD.

(Member : CSE)  
Click here to view complete history of this specific entity/person NARESH KUMAR JALAN
  		ALLEGED IRREGULARITIES IN DEALING IN SCRIP OF BLUE PRINT SECURITIES LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

27-JAN-2005 		 
265
History of entity/person SYAL & CO.

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

INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

04-OCT-1999 		 
266
History of entity/person SYKES & RAY EQUITIES (INDIA) LTD.

(PAN:AAECS5168A)

(Member : BSE/NSE)  
  IN THE CASE OF AMARA RAJA BATTERIES LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

15-JUL-2002 		 
267
History of entity/person 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 		 
268
History of entity/person TIME CAPITAL LTD.

(Member : NSE)  
Click here to view complete history of this specific entity/person 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 		 
269
History of entity/person TOSS FINANCIAL SERVICES PVT.LTD.

(PAN:AAACT1625K)

(Member : NSE)  
Click here to view complete history of this specific entity/person M.Z.REHMAN
  		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 		 
270
History of entity/person TRENDZ INVESTMENTS PVT.LTD.

(Member : NSE)  
  DID NOT EXERCISE DUE CARE AND DILIGENCE   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

27-FEB-2002 		 
271
History of entity/person TRIVENI MANAGEMENT CONSULTANCY SERVICES LTD.

(PAN:AABCT4249C)

(Member : NSE)  
  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SPECULATIVE TRANSACTIONS DONE BY THE CLIENTS WITHOUT ANY INTENTION OF GIVING OR TAKING DELIVERY OF SHARES OF MOREPEN HOTELS LTD.

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

27-DEC-2005 		 
272
History of entity/person TRIVENI MANAGEMENT CONSULTANCY SERVICES LTD.

(PAN:AABCT4249C)

(Member : NSE)  
Click here to view complete history of this specific entity/person N.B.SHETTY
  		DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING WITH CLIENTS IN SCRIP OF SNOWCEM INDIA LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

19-JUN-2007 		 
273
History of entity/person TRUST HOUSE SECURITIES LTD.

(Member : NSE)  
  DID NOT ENTER INTO AGREEMENT WITH CLIENTS   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

24-JAN-2006 		 
274
History of entity/person TWENTY FIRST CENTURY SHARES & SECURITIES LTD.

(PAN:AAACT2542D)

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

DID NOT MAKE PAYMENTS TO CLIENTS IN TIME

MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

BOOKED PAYMENT IN DIFFERENT CLIENT ACCOUNTS

PROVIDED LOAN AGAINST SHARES OF HOLDING COMPANY

DID LOAN TRANSACTIONS IN CLIENTS ACCOUNTS   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

19-FEB-2002 		 
275
History of entity/person UDAY STOCKS & SECURITIES PVT.LTD.

(Member : BGSE)  
Click here to view complete history of this specific entity/person B.NIRMAL KUMAR JAIN
  		DID NOT DELIVER SECURITIES TO CLIENTS IN TIME

DID NOT OBTAIN ACKNOWLEDGEMENT ON COUNTERFOILS OF CONTRACT NOTES

DEFAULTED IN VERIFYING FINANCIAL CAPABILITIES AND NET WORTH OF CLIENTS

DID NOT ADHERE TO "KNOW YOUR CLIENT" DIRECTIVES/INSTRUCTIONS/GUIDELINES   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

24-NOV-2006 		 
276
History of entity/person UNIQUE STOCKBRO PVT.LTD.

(PAN:AAACU2884M)

(Member : BSE)  
Click here to view complete history of this specific entity/person ASHISH V.POPAT
  		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 		 
277
History of entity/person 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 		 
278
History of entity/person V & U SECURITIES PVT.LTD.

(PAN:AAACV6984H)

(Member : ASE)  
  DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE EXECUTING TRANSACTIONS IN SCRIP OF OJAS TECHNOCHEM PRODUCTS LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

09-JAN-2009 		 
279
History of entity/person V.K.DUA & CO.

(Member : DSE)  
Click here to view complete history of this specific entity/person 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 		 
280
History of entity/person 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 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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