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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: PROSECUTION LAUNCHED

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
21
History of entity/person NITIN BHANSILAL CHOKSHI,M/S

(Member : ASE)  
Click here to view complete history of this specific entity/person NITIN BHANSILAL CHOKSHI
  		ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992   PROSECUTION LAUNCHED

15-MAY-2006 		 
22
History of entity/person P.K.AGARWAL & CO.

(Member : CSE)  
  FAILED TO PAY PENALTY   PROSECUTION LAUNCHED

31-MAR-2014 		COMPOUNDED ON PYMENT OF LEGAL COSTS OF RS.67,000.00  
23
History of entity/person POPULAR STOCK & SHARE SERVICES LTD.

(Member : NSE/OTC)  
Click here to view complete history of this specific entity/person ARVIND YASHWANT TAMHANE
Click here to view complete history of this specific entity/person S.S.KARKHANIS
Click here to view complete history of this specific entity/person SANDHYA KARKHANIS
Click here to view complete history of this specific entity/person VINAYAK MADHUKAR KULKARNI
  		VIOLATED SECTION 24 OF SEBI ACT, 1992

VIOLATED SEBI (PORTFOLIO MANAGERS) REGULATIONS, 1993   		PROSECUTION LAUNCHED

15-MAY-2006 		 
24
History of entity/person RAJENDRA PRASAD SHAH,M/S

(PAN:AKUPS5078C)

(Member : CSE)  
Click here to view complete history of this specific entity/person RAJENDRA PRASAD SHAH

PAN:AKUPS5078C
  		FAILED TO PAY PENALTY   PROSECUTION LAUNCHED

31-MAR-2014 		LEGAL COSTS OF RS.67,000.00

COMPOUNDED ON PAYMENT OF LEGAL COST RS.67,000.00  
25
History of entity/person S.K.KHEMKA,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person S.K.KHEMKA
  		FAILED TO PAY PENALTY   PROSECUTION LAUNCHED

31-MAR-2014 		 
26
History of entity/person SANJAY BIYANI,M/S

(Member : MPSE)  
Click here to view complete history of this specific entity/person SANJAY BIYANI
  		VIOLATED SECTION 24 (2) OF SEBI ACT, 1992   PROSECUTION LAUNCHED

31-MAR-2010 		THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.67,000.00  
27
History of entity/person SANJAY KHEMANI,M/S

(Member : CSE/MPSE)  
Click here to view complete history of this specific entity/person SANJAY KHEMANI
  		VIOLATED SECTION 19 (1) OF SECURITIES CONTRACTS (REGULATION) ACT, 1956

VIOLATED SECURITIES CONTRACTS (REGULATION) ACT, 1956

VIOLATED SECTION 4 OF SEBI (PFUTP) REGULATIONS, 1995

VIOLATED REGULATION 7 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992   		PROSECUTION LAUNCHED

15-MAY-2006 		 
28
History of entity/person SECURITIES BROKERS OF INDIA LTD.

(Member : DSE/VSE)  
Click here to view complete history of this specific entity/person NUPIL KUMAR GUPTA
Click here to view complete history of this specific entity/person PAWAN KUMAR RUIA
Click here to view complete history of this specific entity/person SURENDRA KUMAR SINGHI
  		FURNISHED FALSE INFORMATION TO PUBLIC SERVANT (SECTION 177 – IPC)

FURNISHED/FABRICATED FALSE EVIDENCE INTENTIONALLY DURING THE COURSE OF JUDICIAL PROCEEDING (SECTION 193 – IPC)   		PROSECUTION LAUNCHED

15-MAY-2006 		 
29
History of entity/person SHREE SHYAM SECURITIES

(Member : ICSE)  
Click here to view complete history of this specific entity/person KAMAL RATHI
Click here to view complete history of this specific entity/person MAHESHBHAI TOTLA
  		ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992   PROSECUTION LAUNCHED

15-MAY-2006 		ACQUITTED  
30
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
  		VIOLATED REGULATIONS 6(A) TO (D) OF SEBI (PFUTP) REGULATIONS, 1995   PROSECUTION LAUNCHED

15-MAY-2006 		CASE DISMISSED HOLDING THAT PROSECUTION IS NOT MAINTAINABLE DUE TO ABSENCE OF PROVISION FOR CRIMINAL ACTIONS IN THE REGULATIONS. REVISION IS FILED BY SEBI AGAINST THE SAID ORDER WHICH IS PENDING BEFORE BOMBAY HIGH COURT  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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