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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: SHOW CAUSE NOTICE ISSUED

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
21
History of entity/person ASHOK KUMAR ARORA,M/S

(Member : UPSE)  
Click here to view complete history of this specific entity/person ASHOK KUMAR ARORA
  		DID NOT PAY FEES TO SEBI   SHOW CAUSE NOTICE ISSUED

09-NOV-2009 		CERTIFICATE OF REGISTRATION CANCELLED W.E.F 10/06/2010, VIDE ORDER DATED 20/05/2010.  
22
History of entity/person ASHOK KUMAR RATERIA,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person ASHOK KUMAR RATERIA
  		DID NOT PAY FEES TO SEBI   SHOW CAUSE NOTICE ISSUED

SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-FEB-2010 TILL REGISTRATION FEE DEPOSITED

09-NOV-2009 		SEBI VIDE ORDER DATED 03/02/2010, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEE IS FULLY PAID  
23
History of entity/person ATAMJIT SINGH JUNEJA,M/S

(Member : UPSE)  
Click here to view complete history of this specific entity/person ATAMJIT SINGH JUNEJA
  		DID NOT PAY FEES TO SEBI   SHOW CAUSE NOTICE ISSUED

09-NOV-2009 		CERTIFICATE OF REGISTRATION CANCELLED W.E.F 10/06/2010, VIDE ORDER DATED 20/05/2010.  
24
History of entity/person B S B FINANCIAL SERVICES PVT.LTD.

(Member : ICSE)  
  DID NOT PAY FEES TO SEBI   SHOW CAUSE NOTICE ISSUED

SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-FEB-2010 TILL REGISTRATION FEE DEPOSITED

09-NOV-2009 		SEBI VIDE ORDER DATED 03/02/2010, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEE IS FULLY PAID  
25
History of entity/person BACNOTON INVESTMENTS PVT.LTD.

(Member : ICSE)  
  DID NOT PAY FEES TO SEBI   SHOW CAUSE NOTICE ISSUED

SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-FEB-2010 TILL REGISTRATION FEE DEPOSITED

09-NOV-2009 		SEBI VIDE ORDER DATED 03/02/2010, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEE IS FULLY PAID  
26
History of entity/person BAFNA SECURITIES PVT.LTD.

(CIN:U67120KA1995PTC017755)

(Member : CSE)  
  DID NOT PAY FEES TO SEBI   SHOW CAUSE NOTICE ISSUED

SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-FEB-2010 TILL REGISTRATION FEE DEPOSITED

09-NOV-2009 		SEBI VIDE ORDER DATED 03/02/2010, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEE IS FULLY PAID  
27
History of entity/person BAL BINOD BAJORIA,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person BAL BINOD BAJORIA
  		DID NOT PAY FEES TO SEBI   SHOW CAUSE NOTICE ISSUED

SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-FEB-2010 TILL REGISTRATION FEE DEPOSITED

09-NOV-2009 		SEBI VIDE ORDER DATED 03/02/2010, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEE IS FULLY PAID  
28
History of entity/person BAL KRISHNA GUPTA,M/S

(Member : UPSE)  
Click here to view complete history of this specific entity/person BAL KRISHNA GUPTA
  		DID NOT PAY FEES TO SEBI   SHOW CAUSE NOTICE ISSUED

09-NOV-2009 		CERTIFICATE OF REGISTRATION CANCELLED W.E.F 10/06/2010, VIDE ORDER DATED 20/05/2010.  
29
History of entity/person BALLABH DAS DWARKANI,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person BALLABH DAS DWARKANI
  		DID NOT PAY FEES TO SEBI   SHOW CAUSE NOTICE ISSUED

SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-FEB-2010 TILL REGISTRATION FEE DEPOSITED

09-NOV-2009 		SEBI VIDE ORDER DATED 03/02/2010, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEE IS FULLY PAID  
30
History of entity/person BHANSALI HARESH VARJIVANDAS,M/S

(Member : ICSE)  
Click here to view complete history of this specific entity/person BHANSALI HARESH VARJIVANDAS
  		DID NOT PAY FEES TO SEBI   SHOW CAUSE NOTICE ISSUED

SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-FEB-2010 TILL REGISTRATION FEE DEPOSITED

09-NOV-2009 		SEBI VIDE ORDER DATED 03/02/2010, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEE IS FULLY PAID  
31
History of entity/person BHARATENDU INVESTMENTS & FINANCIAL SERVICES PVT.LTD.

(Member : BSE)  
  DID NOT PAY FEES TO SEBI   SHOW CAUSE NOTICE ISSUED

SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-FEB-2010 TILL REGISTRATION FEE DEPOSITED

09-NOV-2009 		SEBI VIDE ORDER DATED 03/02/2010, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEE IS FULLY PAID  
32
History of entity/person BHUPENDRA TALAKCHAND MEHTA,M/S

(Member : BSE)  
Click here to view complete history of this specific entity/person BHUPENDRA TALAKCHAND MEHTA
  		DID NOT PAY FEES TO SEBI   SHOW CAUSE NOTICE ISSUED

SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-FEB-2010 TILL REGISTRATION FEE DEPOSITED

09-NOV-2009 		SEBI VIDE ORDER DATED 03/02/2010, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEE IS FULLY PAID  
33
History of entity/person BIJAY KUMAR DAGA,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person BIJAY KUMAR DAGA
  		DID NOT PAY FEES TO SEBI   SHOW CAUSE NOTICE ISSUED

SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-FEB-2010 TILL REGISTRATION FEE DEPOSITED

09-NOV-2009 		SEBI VIDE ORDER DATED 03/02/2010, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEE IS FULLY PAID  
34
History of entity/person BIRENDRA KUMAR ROY,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person BIRENDRA KUMAR ROY
  		DID NOT PAY FEES TO SEBI   SHOW CAUSE NOTICE ISSUED

SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-FEB-2010 TILL REGISTRATION FEE DEPOSITED

09-NOV-2009 		SEBI VIDE ORDER DATED 03/02/2010, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEE IS FULLY PAID  
35
History of entity/person BISSENDAYAL DAYARAM,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person BISSENDAYAL DAYARAM
  		ALLEGED IRREGULARITIES IN DEALINGS IN SCRIP OF DSQ INDUSTRIES LTD.   SHOW CAUSE NOTICE ISSUED

27-NOV-2006 		 
36
History of entity/person BVN SECURITIES PVT.LTD.

(Member : ICSE)  
  DID NOT PAY FEES TO SEBI   SHOW CAUSE NOTICE ISSUED

SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-FEB-2010 TILL REGISTRATION FEE DEPOSITED

09-NOV-2009 		SEBI VIDE ORDER DATED 03/02/2010, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEE IS FULLY PAID  
37
History of entity/person C.J.BOSE,M/S

(Member : COCSE)  
Click here to view complete history of this specific entity/person C.J.BOSE
  		DID NOT PAY FEES TO SEBI   SHOW CAUSE NOTICE ISSUED

SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-FEB-2010 TILL REGISTRATION FEE DEPOSITED

09-NOV-2009 		SEBI VIDE ORDER DATED 03/02/2010, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEE IS FULLY PAID  
38
History of entity/person CHHAGAN LAL BINANI,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person CHHAGAN LAL BINANI
  		DID NOT PAY FEES TO SEBI   SHOW CAUSE NOTICE ISSUED

SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-FEB-2010 TILL REGISTRATION FEE DEPOSITED

09-NOV-2009 		SEBI VIDE ORDER DATED 03/02/2010, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEE IS FULLY PAID  
39
History of entity/person CLASSIC SHARE & STOCK BROKING SERVICES LTD.

(CIN:U67120WB1993PLC060799)

(Member : CSE)  
  DID NOT PAY FEES TO SEBI   SHOW CAUSE NOTICE ISSUED

SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-FEB-2010 TILL REGISTRATION FEE DEPOSITED

09-NOV-2009 		SEBI VIDE ORDER DATED 03/02/2010, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEE IS FULLY PAID  
40
History of entity/person D.P.PODDAR,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person D.P.PODDAR
  		DID NOT PAY FEES TO SEBI   SHOW CAUSE NOTICE ISSUED

SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-FEB-2010 TILL REGISTRATION FEE DEPOSITED

09-NOV-2009 		SEBI VIDE ORDER DATED 03/02/2010, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEE IS FULLY PAID  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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