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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: DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
41
History of entity/person BHARAT BHUSHAN EQUITY TRADERS LTD.

(PAN:AAACB5382M)

(Member : NSE)  
Click here to view complete history of this specific entity/person BAJRANG PRASAD
Click here to view complete history of this specific entity/person SHANKER SINGAL
 
DID NOT EXERCISE DUE CARE AND SKILL IN DEALING WITH CLIENTS   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

05-FEB-2007
 
42
History of entity/person BHARAT RAMKRISHNA SEKHSARIA,M/S

(PAN:AAVPS1689L)

(Member : BSE)  
Click here to view complete history of this specific entity/person BHARAT RAMKRISHNA SEKHSARIA

PAN:AAVPS1689L
 
DID NOT EXERCISE DUE CARE AND DILIGENCE WHILE DEALING WITH HIS CLIENT DAMAYANTI FINVEST IN SCRIP OF KRIB BIOCHEMICALS LTD.   WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

12-JAN-2006
SEBI VIDE ITS NOTICE DATED 17/03/2016 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED

SAT: SAT VIDE ITS ORDER DATED 11/01/2018 ALLOWED APPEAL TO BE WITHDRAWN WITH LIBERTY TO FILE FRESH APPEAL WITHIN A PERIOD OF EIGHT WEEKS FROM THE DATE OF THIS ORDER. NO COSTS  
43
History of entity/person BHARTI THAKKAR INDIA SECURITIES PVT.LTD.

(PAN:AAACB6484C)

(Member : BSE)  
Click here to view complete history of this specific entity/person BHARTI DHIREN THAKKAR
 
DID NOT EXERCISE DUE CARE AND DILIGENCE WHILE EXECUTING TRADES FOR ITS CLIENTS IN SCRIP OF KWALITY DAIRY (INDIA) LTD.   SUSPENDED REGISTRATION AS STOCK BROKER FROM 22-FEB-2006 TO 08-MAR-2006

01-FEB-2006
SAT: APPEAL ALLOWED AND IMPUGNED ORDER SET ASIDE  
44
History of entity/person BHAVESH RAMESHCHANDRA MEHTA,M/S

(Sub-Broker of SKSE SECURITIES LTD., Member : BSE,Member : SKSE)  
Click here to view complete history of this specific entity/person BHAVESH RAMESHCHANDRA MEHTA
 
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE EXECUTING TRANSACTIONS IN SCRIP OF DATABASE FINANCE LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

13-JAN-2009
 
45
History of entity/person BHUPENDRA MEGHJI BHEDA,M/S

(Member : BSE)  
Click here to view complete history of this specific entity/person BHUPENDRA MEGHJI BHEDA
 
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE IN MATTER OF MOREPEN HOTELS LTD.

DID NOT COLLECT MARGINS FROM CLIENTS  
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

28-OCT-2004
 
46
History of entity/person BHUPENDRA MEGHJI BHEDA,M/S

(Member : BSE)  
Click here to view complete history of this specific entity/person BHUPENDRA MEGHJI BHEDA
 
DID NOT MONITOR FUNCTIONING OF TERMINAL ALLOTTED TO CLIENTS

DID NOT EXERCISE DUE SKILL AND CARE IN MATTER OF EONOUR TECHNOLOGIES LTD.  
SUSPENDED REGISTRATION AS STOCK BROKER FROM 16-JAN-2006 TO 15-FEB-2006

27-DEC-2005
SAT: IMPUGNED ORDER SET ASIDE AND APPEAL ALLOWED  
47
History of entity/person BIJAL SECURITIES PVT.LTD.

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

DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE IN MATTER OF SAWACA BUSINESS MACHINES LTD.  
SUSPENDED REGISTRATION AS STOCK BROKER FROM 09-NOV-2004 TO 08-MAY-2005

19-OCT-2004
 
48
History of entity/person BIMAL KUMAR BEDI,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person BIMAL KUMAR BEDI
 
DID NOT EXERCISE DUE CARE AND DILIGENCE   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

27-FEB-2002
 
49
History of entity/person BLUE BLENDS STOCKS & SECURITIES LTD.

(Member : NSE)  
  INDULGED IN PRICE MANIPULATION IN SCRIP OF MARUTI ORGANICS LTD.

DID NOT EXERCISE DUE CARE AND DILIGENCE IN SCRIP OF MARUTI ORGANICS LTD.  
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-SEP-2002 TO 07-OCT-2002

16-SEP-2002
 
50
History of entity/person BONANZA PORTFOLIO LTD.

(CIN:U65991DL1993PLC052280
PAN:AAACB0764B)

(Member : NSE)  
Click here to view complete history of this specific entity/person S.P.GOEL
 
ACTED IN CONCERT WITH BROKERS/CLIENTS TO CREATE ARTIFICIAL MARKET/PRICE RISE THROUGH STRUCTURED DEALS/MATCHING BUY AND SELL ORDERS/REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF RADAAN MEDIAWORKS INDIA LTD.

ATTEMPTED TO INDUCE PUBLIC TO DEAL BY CREATING MISLEADING APPEARANCE OF TRADING IN THE SCRIP OF RADAAN MEDIAWORKS INDIA LTD.

DID NOT EXERCISE DUE CARE AND DILIGENCE IN CONDUCT OF ITS BUSINESS AS A BROKER  
IMPOSED PENALTY RS.10,00,000

17-MAY-2006


SETTLEMENT ( SETTLEMENT CHARGES RS.14,75,000, LEGAL EXPENSES RS.75,000 VIDE CONSENT ORDER)

14-DEC-2009~
SAT: AO ORDER DATED 17/05/2006 DISPOSED OFF. AS APPLICANT AGREED TO DEPOSIT RS.15,50,000 AS PER CONSENT ORDER. NO ORDER AS TO COSTS  
51
History of entity/person BONANZA PORTFOLIO LTD.

(CIN:U65991DL1993PLC052280
PAN:AAACB0764B)

(Member : NSE/OTC)  
  DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING WITH CLIENTS IN SCRIP OF INFORMATION TECHNOLOGIES (INDIA) LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

28-JUN-2007
 
52
History of entity/person BONANZA PORTFOLIO LTD.

(CIN:U65991DL1993PLC052280
PAN:AAACB0764B)

(Member : BSE/NSE/OTC)  
  DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING WITH CLIENTS IN SCRIP OF SHUKUN CONSTRUCTION LTD.   IMPOSED PENALTY RS.1,00,000

24-DEC-2008
 
53
History of entity/person BRICS SECURITIES LTD.

(Depository Participants : CDSL,Member : NSE/BSE)  
Click here to view complete history of this specific entity/person PARAG SHAH
Click here to view complete history of this specific entity/person SUNIL KUMAR BANG
 
DID NOT EXERCISE DUE CARE AND DILIGENCE WHILE ACTING AS A SEBI REGISTERED INTERMEDIARY   IMPOSED PENALTY RS.10,00,000

13-AUG-2007
SAT: APPEAL FAILED WITH NO ORDER AS TO COSTS  
54
History of entity/person BUBNA STOCK BROKING SERVICES LTD.

(PAN:AABCB1128L)

(Member : CSE)  
Click here to view complete history of this specific entity/person GOPI CHAND BANSHAL
 
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF PATRIOT TRADING CO.LTD.

VIOLATED CODE OF CONDUCT AS PRESCRIBED UNDER STOCK BROKER REGULATIONS

DID NOT EXERCISE DUE CARE AND DILIGENCE IN CONDUCT OF ITS BUSINESS AS A BROKER  
SUSPENDED REGISTRATION AS STOCK BROKER FROM 16-APR-2007 TO 15-APR-2008

26-MAR-2007
 
55
History of entity/person BUBNA STOCK BROKING SERVICES LTD.

(PAN:AABCB1128L)

(Member : CSE)  
  DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE EXECUTING TRANSACTIONS IN SCRIP OF ROHAN FINANCE & SECURITIES LTD.

INDULGED IN PRICE MANIPULATION AND CREATION OF ARTIFICIAL MARKET BY SELF TRADES, REVERSE OF TRADE TRANSACTIONS, SYNCHRONIZED TRADES AND CROSS DEALS IN SCRIP OF ROHAN FINANCE & SECURITIES LTD.  
IMPOSED PENALTY RS.4,00,000

20-NOV-2008
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS

INCLUDED IN SEBI LIST DATED 30/09/2010, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI  
56
History of entity/person CEEKAY HOLDINGS PVT.LTD.

(Member : NSE)  
  INDULGED IN PRICE MANIPULATION IN SCRIP OF MARUTI ORGANICS LTD.

DID NOT EXERCISE DUE CARE AND DILIGENCE IN SCRIP OF MARUTI ORGANICS LTD.  
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-SEP-2002 TO 14-OCT-2002

16-SEP-2002
 
57
History of entity/person CEEKAY HOLDINGS PVT.LTD.

(Member : NSE)  
  DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE IN MATTER OF MOREPEN HOTELS LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

25-OCT-2004
 
58
History of entity/person CFL SECURITIES LTD.

(PAN:AAACC6722E)

(Member : NSE)  
Click here to view complete history of this specific entity/person MILAN DALAL
 
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF RAVALGAON SUGAR FARM LTD.

INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF SHRENUJ & CO.LTD.

EXECUTED STRUCTURED TRANSACTIONS

DID NOT EXERCISE DUE CARE AND DILIGENCE  
SUSPENDED REGISTRATION AS STOCK BROKER FROM 19-JAN-2005 TO 18-JUL-2005

19-JAN-2005
 
59
History of entity/person CHANDRAHAS R.KULKARNI,M/S

(Member : PSE)  
Click here to view complete history of this specific entity/person CHANDRAHAS R.KULKARNI
 
DID NOT EXERCISE DUE CARE AND SKILL IN DEALING WITH CLIENTS   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

09-JAN-2009
 
60
History of entity/person CHANDRAKALA MONEY & CAPITAL MANAGEMENT LTD.

(Member : NSE)  
  DID NOT COLLECT MARGINS FROM CLIENTS

DID NOT MONITOR SUB-BROKERS ACTIVITIES  
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

24-JAN-2006
 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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