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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 : 11-APR-2026

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: DID NOT ADHERE TO PROVISION REGULATION OF SEBI

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
521
History of entity/person SUNAM SECURITIES PVT.LTD.

(Member : COCSE)  
  DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 03-JAN-2005

03-JAN-2005 		 
522
History of entity/person SUNAM SECURITIES PVT.LTD.

(Member : COCSE)  
  DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 16-FEB-2005

16-FEB-2005 		 
523
History of entity/person SUNDAR & CO.

(Member : BGSE)  
Click here to view complete history of this specific entity/person SUNDARA TENKILLAYA
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002

22-OCT-2002 		 
524
History of entity/person SURENDER REDDY TALAKANTI,M/S

(Member : HSE)  
Click here to view complete history of this specific entity/person SURENDER REDDY TALAKANTI
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992

DID NOT REDRESS INVESTOR COMPLAINTS   		CANCELLED REGISTRATION AS STOCK BROKER FROM 23-JAN-2008

23-JAN-2008 		 
525
History of entity/person SURESH CHANDRA MALLIA,M/S

(Member : COCSE)  
Click here to view complete history of this specific entity/person SURESH CHANDRA MALLIA
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 10-APR-2002

10-APR-2002 		 
526
History of entity/person SURESH GUPTA & CO.

(Member : JSE)  
  DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 08-FEB-2007

08-FEB-2007 		 
527
History of entity/person SURESH SHENOY,M/S

(Member : COCSE)  
Click here to view complete history of this specific entity/person SURESH SHENOY
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 10-APR-2002

10-APR-2002 		 
528
History of entity/person SURESH SONI,M/S

(Member : HSE)  
Click here to view complete history of this specific entity/person SURESH SONI
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 30-JUN-2004

30-JUN-2004 		 
529
History of entity/person SURINDERPAL SINGH,M/S

(Member : COCSE)  
Click here to view complete history of this specific entity/person SURINDERPAL SINGH
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 06-DEC-2004

06-DEC-2004 		 
530
History of entity/person SURYASHRI SECURITIES

(Member : ICSE)  
Click here to view complete history of this specific entity/person GOPALDAS GOENKA
  		DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED

DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992   		CANCELLED REGISTRATION AS STOCK BROKER FROM 16-JAN-2004

16-JAN-2004 		 
531
History of entity/person SUSAN ABRAHAM,M/S

(Member : COCSE)  
Click here to view complete history of this specific entity/person SUSAN ABRAHAM
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 16-FEB-2005

16-FEB-2005 		 
532
History of entity/person SUSHANT CAPITALS LTD.

(Member : NSE)  
  DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED   CANCELLED REGISTRATION AS STOCK BROKER FROM 24-APR-2015

24-APR-2015 		 
533
History of entity/person SWARAJ FINANCIAL & INVESTMENT PVT.LTD.

(Member : NSE)  
  DID NOT PAY FEES TO SEBI

DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED   		CANCELLED REGISTRATION AS STOCK BROKER FROM 23-JAN-2008

23-JAN-2008 		 
534
History of entity/person SWASTIK SHARES & INVESTMENTS

(Member : MNGSE)  
Click here to view complete history of this specific entity/person G.RAVISHANKER
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002

22-OCT-2002 		 
535
History of entity/person TARGET SECURITIES PVT.LTD.

(Member : UPSE)  
  DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 15-APR-2002

15-APR-2002 		 
536
History of entity/person TEJAL & CO.

(Along with : K.R.VENKATASWAMY,M/S)  
Click here to view complete history of this specific entity/person K.R.VENKATASWAMY
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002

22-OCT-2002 		 
537
History of entity/person THAKKAR CONSULTANTS PVT.LTD.

(Member : OTC)  
  DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 16-FEB-2005

16-FEB-2005 		 
538
History of entity/person THANGAM JACOB,M/S

(Member : COCSE)  
Click here to view complete history of this specific entity/person THANGAM JACOB
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 03-JAN-2005

03-JAN-2005 		 
539
History of entity/person THOMAS MATHEW,M/S

(Member : COCSE)  
Click here to view complete history of this specific entity/person THOMAS MATHEW
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 06-DEC-2004

06-DEC-2004 		 
540
History of entity/person TOUCH GOAL INVESTMENTS PVT.LTD.

(Along with : VASANTRAI KANJIBHAI PATEL,M/S)  
Click here to view complete history of this specific entity/person VASANTRAI K.PATEL
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 13-MAY-2002

13-MAY-2002 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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