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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: INDULGED IN UNAUTHORISED CARRY FORWARD TRANSACTIONS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
21
History of entity/person C.M.SETHI

(Member : UPSE)  
Click here to view complete history of this specific entity/person MANJEET SINGH SETHI
  		INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   SUSPENDED REGISTRATION AS STOCK BROKER FROM 11-MAR-2005 TO 10-MAR-2008

18-FEB-2005 		 
22
History of entity/person C.M.SETHI

(Member : UPSE)  
Click here to view complete history of this specific entity/person MANJEET SINGH SETHI
  		INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS

MISUSED DEBIT NOTE FACILITY IN STOCK EXCHANGE   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-JAN-1999 TO 26-MAR-1999

21-JAN-1999 		 
23
History of entity/person C.MACKERTICH LTD.

(Member : CSE)  
  DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE

INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-MAY-2002 TO 26-NOV-2002

27-MAY-2002 		 
24
History of entity/person CHHAGANLAL BHABUTMAL RATHOD,M/S

(Member : ASE)  
Click here to view complete history of this specific entity/person CHHAGANLAL BHABUTMAL RATHOD
  		DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 11-FEB-2002 TO 10-APR-2002

11-FEB-2002 		 
25
History of entity/person CHUKNOO & CO.

(Member : UPSE)  
Click here to view complete history of this specific entity/person SANJEEV AGARWAL
Click here to view complete history of this specific entity/person SUDHIR AGARWAL
  		INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   SUSPENDED REGISTRATION AS STOCK BROKER FROM 09-MAR-1999 TO 08-MAY-1999

26-FEB-1999 		 
26
History of entity/person CLEVER INVESTMENT & SECURITIES PVT.LTD.

(Member : PSE)  
  INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-1997 TO 30-NOV-1997

13-AUG-1997 		 
27
History of entity/person D.K.GUPTA,M/S

(Member : UPSE)  
Click here to view complete history of this specific entity/person DILIP KUMAR GUPTA
  		DEFAULTED IN MAINTENANCE OF CHOPRI

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE

INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-DEC-1998 TO 28-FEB-1999

18-NOV-1998 		 
28
History of entity/person D.K.TANDON SECURITIES PVT.LTD.

(Member : UPSE)  
Click here to view complete history of this specific entity/person DEVENDRA KUMAR TANDON
  		DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 19-JAN-1999 TO 18-MAR-1999

14-JAN-1999 		 
29
History of entity/person DEEP KUMAR AGARWAL,M/S

(Member : UPSE)  
Click here to view complete history of this specific entity/person DEEP KUMAR AGARWAL
  		COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES

INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS

DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE

DID NOT REPORT SHORT SALES AND LONG PURCHASE POSITIONS TO THE EXCHANGE

DID NOT MAINTAIN CLIENT AGREEMENTS

DID NOT MAINTAIN CLIENT REGISTRATION FORMS

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 09-SEP-2002 TO 08-SEP-2003

19-SEP-2002 		 
30
History of entity/person DEEP KUMAR AGARWAL,M/S

(Member : UPSE)  
Click here to view complete history of this specific entity/person DEEP KUMAR AGARWAL
  		INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   SUSPENDED REGISTRATION AS STOCK BROKER FROM 11-MAR-2005 TO 10-MAR-2008

18-FEB-2005 		 
31
History of entity/person DEEPAK BHOGILAL SHAH,M/S

(Member : ASE)  
Click here to view complete history of this specific entity/person DEEPAK BHOGILAL SHAH
  		DEFAULTED IN MAINTENANCE OF SAUDA BOOK

DID NOT ISSUE CONTRACT NOTES

INDULGED IN UNAUTHORISED FUND-BASED ACTIVITIES

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE

INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 18-JAN-1999 TO 17-JUL-1999

15-JAN-1999 		 
32
History of entity/person DEVAL NARENDRABHAI SHETH

(Member : ASE)  
  INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   SUSPENDED REGISTRATION AS STOCK BROKER FROM 16-AUG-1999 TO 15-OCT-1999

11-AUG-1999 		 
33
History of entity/person DEVI INVESTMENTS

(Member : PSE)  
  INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

13-AUG-1997 		 
34
History of entity/person DINESH BABULAL JAIN,M/S

(Member : ASE)

(Along with : MERIDIAN SHARES & SERVICES PVT.LTD.)  
Click here to view complete history of this specific entity/person DINESH BABULAL JAIN
  		INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS

DEFAULTED IN MAINTENANCE OF BOOKS/DOCUMENTS

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DID NOT ISSUE CONTRACT NOTES   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 05-NOV-1999 TO 04-FEB-2000

28-OCT-1999 		 
35
History of entity/person DRB SECURITIES PVT.LTD.

(Member : UPSE)  
  COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES

INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS

INDULGED IN OFF-THE-FLOOR TRANSACTIONS

DID NOT MAINTAIN CLIENT REGISTRATION FORMS

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DID NOT MAKE PAYMENTS TO CLIENTS IN TIME

INDULGED IN BUSINESS OTHER THAN THAT OF SECURITIES

DID NOT COLLECT MARGINS FROM CLIENTS

DID NOT RECTIFY BAD DELIVERIES IN TIME   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-JUL-2004 TO 11-NOV-2004

21-JUN-2004 		 
36
History of entity/person EDASSERY STOCK & INVESTMENT LTD.

(Member : COCSE)  
  DID NOT OBTAIN WRITTEN CONSENT FROM CLIENTS FOR PRINCIPAL TO PRINCIPAL TRANSACTIONS

INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 09-AUG-1999 TO 08-OCT-1999

06-AUG-1999 		 
37
History of entity/person ELITE SECURITIES

(Member : PSE)  
  INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-1997 TO 30-NOV-1997

13-AUG-1997 		 
38
History of entity/person ENIGMA FINANCIAL SERVICES PVT.LTD.

(Member : UPSE)  
Click here to view complete history of this specific entity/person PANKAJ ARORA
  		DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER

DID NOT REFUND MONEY COLLECTED UNDER CIS

INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS

INDULGED IN OFF-THE-FLOOR TRANSACTIONS

DID NOT MAKE PAYMENTS TO CLIENTS IN TIME

COMMITTED IRREGULARITIES IN MAINTENANCE OF COUNTERFOILS OR DUPLICATES OF CONTRACT NOTES

DID NOT MAINTAIN CLIENT AGREEMENTS

DID NOT MAINTAIN CLIENT REGISTRATION FORMS   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 17-OCT-2003 TO 17-FEB-2004

26-SEP-2003 		 
39
History of entity/person GEETA SHARE ENTERPRISES

(Member : UPSE,Sub-Broker of UPSE SECURITIES LTD., Member : BSE)  
  COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES

DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER

INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS

DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE

DEFICIENCIES IN CLIENT DATABASE

DID NOT MAKE PAYMENTS TO CLIENTS IN TIME

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DID NOT REDRESS INVESTOR COMPLAINTS   		SUSPENDED REGISTRATION AS SUB-BROKER FROM 09-NOV-2004 TO 08-MAY-2005

SUSPENDED REGISTRATION AS STOCK BROKER FROM 09-NOV-2004 TO 08-MAY-2005

19-OCT-2004 		 
40
History of entity/person GENUINE STOCK BROKERS PVT.LTD.

(PAN:AAACG7970J)

(Member : ASE)  
  INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   SUSPENDED REGISTRATION AS STOCK BROKER FROM 03-SEP-2001 TO 02-OCT-2001

04-SEP-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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