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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
281
History of entity/person VIDYUT BHARATKUMAR SHAH,M/S

(Member : ASE)  
Click here to view complete history of this specific entity/person VIDYUT B.SHAH
  		DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

20-FEB-2002 		 
282
History of entity/person VIDYUT DEVENDRAKUMAR,M/S

(Member : BSE)  
Click here to view complete history of this specific entity/person VIDYUT DEVENDRAKUMAR
  		DID NOT COLLECT MARGINS FROM CLIENTS

DID NOT EXERCISE DUE CARE AND DILIGENCE AT THE TIME OF ADMITTING CLIENTS   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

30-DEC-2005 		 
283
History of entity/person 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 		 
284
History of entity/person VIJAY GUPTA & CO.

(Member : LSE)  
  INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

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

19-NOV-1999 		 
285
History of entity/person VINOD D.SONI & CO.

(Member : BSE)  
Click here to view complete history of this specific entity/person VINOD SONI
  		DID NOT REDRESS INVESTOR COMPLAINTS

NON-COOPERATION WITH SEBI IN INVESTIGATIONS   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

06-AUG-1998 		 
286
History of entity/person VIPINBHAI CHINUBHAI DALAL,M/S

(Member : ASE)  
Click here to view complete history of this specific entity/person VIPINBHAI CHINUBHAI DALAL
  		DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

20-FEB-2002 		 
287
History of entity/person 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 		 
288
History of entity/person VISHAL J.SHAH & CO.

(Member : CSE)  
  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS IN SCRIP OF DSQ INDUSTRIES LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

14-OCT-2005 		 
289
History of entity/person VSE STOCK SERVICES LTD.

(PAN:AABCV4258K)

(Member : BSE)  
  DID NOT DEPOSIT BMC WITH STOCK EXCHANGE

ACCEPTED SHARES INSTEAD OF CASH TOWARDS MARGIN DEPOSIT/BMC/ADDITIONAL CAPITAL   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

02-FEB-2006 		 
290
History of entity/person VYOMIT SHARES STOCKS & INVESTMENTS PVT.LTD.

(PAN:AAACV3499H)

(Member : BSE)  
  DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE ALLOWING SUB BROKER TO TRADE IN SCRIP OF SAWACA COMMUNICATIONS LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

31-JAN-2006 		 
291
History of entity/person WALLFORT FINANCIAL SERVICES LTD.

(Member : BSE/NSE/CSE)  
  INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF SPANCO TELESYSTEMS & SOLUTIONS LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

11-DEC-2006 		 
292
History of entity/person WOODSTOCK BROKING PVT.LTD.

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

10-SEP-2004 		 
293
History of entity/person WOODSTOCK SECURITIES PVT.LTD.

(Member : BSE)  
Click here to view complete history of this specific entity/person SURESH K.JAJOO
Click here to view complete history of this specific entity/person VIMLA JAJOO
  		DID NOT EXERCISE DUE SKILL AND DILIGENCE   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

10-SEP-2004 		 
294
History of entity/person 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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