| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
A.VENKATESAN,M/S
(Member : CMBSE)
|
|
|
|
A.VENKATESAN
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 22 |
|
|
A.VISWANATHAN,M/S
(Member : OTC)
|
|
|
|
A.VISWANATHAN
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 23 |
|
|
AAA CAPITAL SERVICES PVT.LTD.
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 24 |
|
|
AADINATH SHARES & SERVICES PVT.LTD.
(Member : ICSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 10/08/2009
|
| 25 |
|
|
AAGAM SECURITIES PVT.LTD.
(Member : ASE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 26 |
|
|
AANERI SECURITIES & FINANCE PVT.LTD.
(Member : ASE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-MAR-2007 TO 06-SEP-2007
07-MAR-2007
|
|
| 27 |
|
|
AARAYAA FINSTOCK PVT.LTD.
(Member : BSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 28 |
|
|
AARON CHAZE,M/S
(Member : OTC)
|
|
|
|
AARON CHAZE
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 29 |
|
|
AARRON & MAATTO
(Member : COCSE)
|
|
|
|
MATTO THOMAS
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-MAR-2007 TO 06-SEP-2007
07-MAR-2007
|
|
| 30 |
|
|
AARTHI FINTECH SERVICES INDIA LTD.
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 31 |
|
|
AASHISH RAMLAL CHAWLA,M/S
(Member : BHSE)
|
|
|
|
AASHISH RAMLAL CHAWLA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 32 |
|
|
ABHIJIT UPADHYAYA,M/S
(Member : CSE)
|
|
|
|
ABHIJIT UPADHYAYA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 33 |
|
|
ABHINANDAN APEX SECURITIES PVT.LTD.
(Member : BGSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 34 |
|
|
ABS SHARE & STOCK BROKERS LTD.
(CIN:U67120DL1996PLC079429)
(Member : DSE)
|
|
|
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT MAINTAIN SEPARATE CLIENT ACCOUNT
DID NOT RECTIFY BAD DELIVERIES IN TIME
MISUTILIZED EXCHANGE MECHANISM FOR SECURING PAYMENT
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 06-JUL-1998 TO 05-AUG-1998
26-JUN-1998
|
|
| 35 |
|
|
ACCORD CAPITAL MARKETS LTD.
(PAN:AACCA5695G)
(Member : NSE)
|
|
|
|
GIRISH S.MEHTA
PAN:AFMPM1006P
|
|
|
HIMANSHU AJMERA
PAN:ADEPA7521K
|
|
|
NILESH DOSHI
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH MATCHED AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF DSQ SOFTWARE LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 17-SEP-2007 TO 16-SEP-2008
27-AUG-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.4,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT T
|
SEBI’S ORDER DATED 27/08/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.4,00,00,000.00 TOWARDS SETTLEMENT CHARGES AND TO VOLUNTARY DEBARMENT FROM BUYING,SELLING OR OTHERWISE DEALING IN SECURITIES MARKET FOR A PERIOD OF ONE YEAR FROM DATE OF CONSENT ORDER AND VOLUNTARY DEBARMENT OF PROMOTERS FROM BEING PROMOTERS/DIRECTORS OF INTERMEDIARIES REGISTERED WITH SEBI DURING THE SAID PERIOD OF DEBARMENT OF ONE YEAR,AS PER CONSENT ORDER DATED 29/06/2011
SAT: SAT VIDE IT’S ORDER DATED 13/09/2010 SET ASIDE SEBI’S ORDER DATED 27/08/2007 AND REMITTED CASE BACK TO SEBI TO CONCLUDE ENQUIRY PROCEEDINGS AND PASS FINAL ORDER BEFORE END OF MARCH 2011 WITH NO ORDER AS TO COSTS
|
| 36 |
|
|
ACHARYA SECURITIES PVT.LTD.
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 37 |
|
|
ACHIEVERS COMMERCIAL PVT.LTD.
(Member : NSEL)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-DEC-2023 TO 11-MAR-2024
12-DEC-2023
|
SAT: SAT VIDE ITS ORDER DATED 08/05/2024 DISPOSED OF ALL MISC.APPLICATION AND STAYED IMPUGNED ORDER
SAT: SAT VIDE ITS ORDER DATED 12/07/2024 GRANTED EXTENSION OF SIX MONTHS TO COMPLETE THE ENTIRE PROCEEDINGS AND COME OUT WITH A SCHEME UNDER THE SETTLEMENT REGULATIONS
|
| 38 |
|
|
ACQUITOR TRADING & INVESTMENT LTD.
(Member : NSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 39 |
|
|
ACTIVE FINSTOCK PVT.LTD.
(Member : BSE)
|
|
|
|
VIMAL P.KHANDWALA
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE
DEALT WITH UN-REGISTERED SUB-BROKERS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-JAN-2009 TO 27-JAN-2009
06-JAN-2009
SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000, LEGAL EXPENSES RS.60,000 VIDE CONSENT ORDER)
07-JAN-2010~
|
SAT: ORDER DATED 06/01/2009 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.2,00,000 TOWARDS SETTLEMENT CHARGES AND RS.60,000 TOWARDS LEGAL EXPSNES , AS PER CONSENT ORDER
|
| 40 |
|
|
ACTIVE FINSTOCK PVT.LTD.
(Member : BSE)
|
|
|
|
VIMAL P.KHANDWALA
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE WHILE DEALING WITH HIS CLIENTS IN SCRIP OF MAZDA FABRICS PROCESSORS LTD.
AIDED AND ABETTED CLIENTS IN CREATING MISLEADING APPEARANCE OF TRADING IN SCRIP OF MAZDA FABRICS & PROCESSORS LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 14-JUN-2007 TO 13-JUL-2007
24-MAY-2007
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 24/05/2007 SET ASIDE WITH NO ORDER AS TO COSTS
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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