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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: SUSPENDED REGISTRATION AS SUB-BROKER

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
41
History of entity/person MANOJ KUMAR PAREEK,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person MANOJ KUMAR PAREEK
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010

SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010

07-DEC-2009 		 
42
History of entity/person MANOJ KUMAR SETHI,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person MANOJ KUMAR SETHI
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010

SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010

07-DEC-2009 		 
43
History of entity/person MEENU ARORA,M/S

(Member : LSE)  
Click here to view complete history of this specific entity/person MEENU ARORA
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010

SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010

07-DEC-2009 		 
44
History of entity/person MSV SHARE & STOCK BROKERS LTD.

(Member : CSE)  
  DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010

SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010

07-DEC-2009 		 
45
History of entity/person NANCY KAUL,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person NANCY KAUL
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010

SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010

07-DEC-2009 		 
46
History of entity/person OM PRAKASH ARORA,M/S

(Member : LSE)  
Click here to view complete history of this specific entity/person OM PRAKASH ARORA
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010

SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010

07-DEC-2009 		 
47
History of entity/person OPTIMAX CAPITAL SERVICES PVT.LTD.

(Member : OTC)  
  DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010

SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010

07-DEC-2009 		 
48
History of entity/person P.P.RAMACHANDRAN,M/S

(Member : COCSE)  
Click here to view complete history of this specific entity/person P.P.RAMACHANDRAN
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010

SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010

07-DEC-2009 		 
49
History of entity/person P.T.KRISHNADAS,M/S

(Member : OTC)  
Click here to view complete history of this specific entity/person P.T.KRISHNADAS
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010

SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010

07-DEC-2009 		 
50
History of entity/person PARIKA INVESTMENTS PVT.LTD.

(Member : OTC)  
  DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010

SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010

07-DEC-2009 		 
51
History of entity/person PAV ADVERTISERS & MARKETERS PVT.LTD.

(Member : OTC)  
  DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010

SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010

07-DEC-2009 		 
52
History of entity/person PINAKINI FINANCE & INVESTMENTS (INDIA) PVT.LTD.

(Member : OTC)  
  DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010

SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010

07-DEC-2009 		 
53
History of entity/person PRAXTON ASSOCIATES PVT.LTD.

(Member : OTC)  
  DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010

SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010

07-DEC-2009 		 
54
History of entity/person PREM BEHARI GUPTA,M/S

(Member : LSE)  
Click here to view complete history of this specific entity/person PREM BEHARI GUPTA
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010

SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010

07-DEC-2009 		 
55
History of entity/person PREMIER SECURITIES LTD.

(Member : OTC)  
  DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010

SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010

07-DEC-2009 		 
56
History of entity/person PUSHPA DEVI RATHI,M/S

(Member : UPSE)  
Click here to view complete history of this specific entity/person PUSHPA DEVI RATHI
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010

SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010

07-DEC-2009 		 
57
History of entity/person PUSHPAK FINANCIAL SERVICES LTD.

(Member : OTC)  
  DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010

SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010

07-DEC-2009 		 
58
History of entity/person RAJENDRA JAYANTILAL SHAH,M/S

(PAN:ACIPS6614E)

(Sub-Broker of ASE CAPITAL MARKETS LTD., Member : BSE,Member : ASE)  
Click here to view complete history of this specific entity/person RAJENDRA JAYANTILAL SHAH

PAN:ACIPS6614E
  		INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF ADANI EXPORTS LTD.

DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF ADANI EXPORTS LTD.(NOW KNOWN AS ADANI ENTERPRISES LTD.)   		SUSPENDED REGISTRATION AS SUB-BROKER FROM 24-MAY-2012 TO 23-JUL-2012

SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-MAY-2012 TO 23-JUL-2012

03-MAY-2012 		SAT: APPEAL ALLOWED WITH NO ORDER AS TO COSTS  
59
History of entity/person RAJINDER SINGH THUKRAL,M/S

(Member : LSE)  
Click here to view complete history of this specific entity/person RAJINDER SINGH THUKRAL
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010

SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010

07-DEC-2009 		 
60
History of entity/person RAM KISHORE RAWAT,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person RAM KISHORE RAWAT
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010

SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010

07-DEC-2009 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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