| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 501 |
|
SIYA SHARAN SINGHAL,M/S
(Member : JSE)
|
|
|
|
SIYA SHARAN SINGHAL
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 28-NOV-2004
28-NOV-2004
|
|
| 502 |
|
|
SMART INVESTMENT CONSULTANTS
(Member : NSE)
|
|
|
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 14-JAN-2004
14-JAN-2004
|
|
| 503 |
|
|
SOMANI INVESTMENTS
(Member : UPSE)
|
|
|
|
JYOTI SOMANI
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 01-DEC-2004
01-DEC-2004
|
|
| 504 |
|
|
SONALI SECURITIES PVT.LTD.
(Member : OTC)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 06-DEC-2004
06-DEC-2004
|
|
| 505 |
|
|
SOUNDARARAJA FINANCE LTD.
(Member : OTC)
|
|
|
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 23-DEC-2004
23-DEC-2004
|
|
| 506 |
|
|
SPECTRUM CORPORATE SERVICES LTD.
(Member : OTC)
|
|
|
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 22-JUN-2004
22-JUN-2004
|
|
| 507 |
|
|
SPOTMARKETS SECURITIES PVT.LTD.
(Member : OTC)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002
22-OCT-2002
|
|
| 508 |
|
|
SREEJA RAMESH,M/S
(Member : COCSE)
|
|
|
|
SREEJA RAMESH
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 03-JAN-2005
03-JAN-2005
|
|
| 509 |
|
|
SRI KANYAKA SECURITIES LTD.
(CIN:U67120TG1996PLC023045)
(Member : OTC)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
DID NOT PAY FEES TO SEBI
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 15-MAR-2007
15-MAR-2007
|
|
| 510 |
|
|
SRINIVAS ASAWA,M/S
(Member : HSE)
|
|
|
|
SRINIVAS ASAWA
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-JUN-2004
30-JUN-2004
|
|
| 511 |
|
|
STACK SECURITIES LTD.
(Member : OTC)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
DID NOT PAY FEES TO SEBI
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 15-MAR-2007
15-MAR-2007
|
|
| 512 |
|
|
STENLY CREDIT CAPITAL LTD.
(CIN:L65910UP1990PLC012491)
(Member : NSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002
22-OCT-2002
|
|
| 513 |
|
|
STENLY CREDIT CAPITAL LTD.
(CIN:L65910UP1990PLC012491)
(Member : OTC)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 03-SEP-2004
03-SEP-2004
|
|
| 514 |
|
|
SUCHI SECURITIES LTD.
(Member : DSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002
22-OCT-2002
|
|
| 515 |
|
|
SUDHIR KUMAR BANSAL & CO.
(Member : UPSE)
|
|
|
|
SUDHIR KUMAR BANSAL
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 12-FEB-2007
12-FEB-2007
|
|
| 516 |
|
|
SUDHIR KUMAR CHOPRA,M/S
(Member : JSE)
|
|
|
|
SUDHIR KUMAR CHOPRA
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 16-FEB-2005
16-FEB-2005
|
|
| 517 |
|
|
SUDHIR KUMAR SARDA,M/S
(Member : JSE)
|
|
|
|
SUDHIR KUMAR SARDA
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 24-DEC-2002
24-DEC-2002
|
|
| 518 |
|
|
SUKAM FINANCIAL SERVICES PVT.LTD.
(Member : OTC)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 03-SEP-2004
03-SEP-2004
|
|
| 519 |
|
|
SUKESH BHASKARAN,M/S
(Member : COCSE)
|
|
|
|
SUKESH BHASKARAN
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 06-DEC-2004
06-DEC-2004
|
|
| 520 |
|
|
SUMMIT INTEGRATED CREDIT CAPITALS LTD.
(Member : BSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 27-AUG-2004
27-AUG-2004
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
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| Page 26 of 30
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