| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
ADITYA MONEYCARE PVT.LTD.
(Member : VSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
22-MAR-2010
|
PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 22/03/2010
|
| 42 |
|
|
ADVANCE MANAGEMENT SERVICES PVT.LTD.
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 43 |
|
|
AGARWAL EQUITY BROKING INDIA PVT.LTD.
(Member : ICSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 44 |
|
|
AGARWAL SECURITIES
(Member : COCSE)
|
|
|
|
AKSHAY KIRTY AGRAWAL
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-MAR-2007 TO 06-SEP-2007
07-MAR-2007
|
|
| 45 |
|
|
AGARWALA STOCKS
(Member : GSE)
|
|
|
|
ASHOK KUMAR AGARWALA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-MAR-2007 TO 06-SEP-2007
07-MAR-2007
|
|
| 46 |
|
|
AGGRIVATE INVESTFIN PVT.LTD.
(Member : JSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SHOW CAUSE NOTICE ISSUED
SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-APR-2010 TILL REGISTRATION FEE DEPOSITED
09-NOV-2009
|
SEBI VIDE ORDER DATED 22/03/2010, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEE IS FULLY PAID
|
| 47 |
|
|
AGRAWAL & TIBREWAL
(Member : MGSE)
|
|
|
|
SHIV KUMAR AGRAWAL
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
23-APR-2009
|
PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION
|
| 48 |
|
|
AJAY DOSHI,M/S
(Member : VSE)
|
|
|
|
AJAY DOSHI
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-MAR-2010
08-MAR-2010
|
|
| 49 |
|
|
AJAY GUPTA,M/S
(Member : OTC)
|
|
|
|
AJAY GUPTA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 50 |
|
|
AJAY JAIN,M/S
(Member : GSE)
|
|
|
|
AJAY JAIN
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
07-MAY-2009
|
PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 07/05/2009
|
| 51 |
|
|
AJAY KAPUR,M/S
(Member : JSE)
|
|
|
|
AJAY KAPUR
|
|
DID NOT PAY FEES TO SEBI
|
SHOW CAUSE NOTICE ISSUED
SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-APR-2010 TILL REGISTRATION FEE DEPOSITED
09-NOV-2009
|
SEBI VIDE ORDER DATED 22/03/2010, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEE IS FULLY PAID
|
| 52 |
|
|
AJAY KUMAR ARORA,M/S
(Member : ICSE)
|
|
|
|
AJAY KUMAR ARORA
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
09-JUN-2009
|
PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 09/06/2009
|
| 53 |
|
|
AJAY KUMAR GUPTA,M/S
(Member : UPSE)
|
|
|
|
AJAY KUMAR GUPTA
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
22-MAR-2010
|
PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 22/03/2010
|
| 54 |
|
|
AJAY KUMAR GUPTA,M/S
(Member : UPSE)
|
|
|
|
AJAY KUMAR GUPTA
|
|
DID NOT PAY FEES TO SEBI
|
SHOW CAUSE NOTICE ISSUED
09-NOV-2009
|
|
| 55 |
|
|
AJAY KUMAR TULSYAN,M/S.
(Member : UPSE)
|
|
|
|
AJAY KUMAR TULSYAN
|
|
DID NOT PAY FEES TO SEBI
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 10-JUN-2010
20-MAY-2010
|
|
| 56 |
|
|
AJAY MUNDRA,M/S
(Member : ICSE)
|
|
|
|
AJAY MUNDRA
|
|
DID NOT PAY FEES TO SEBI
|
SHOW CAUSE NOTICE ISSUED
SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-FEB-2010 TILL REGISTRATION FEE DEPOSITED
09-NOV-2009
|
SEBI VIDE ORDER DATED 03/02/2010, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEE IS FULLY PAID
|
| 57 |
|
|
AJAY TODY,M/S
(Member : MPSE)
|
|
|
|
AJAY TODY
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 58 |
|
|
AJIT KUMAR JAIN,M/S
(Member : CSE)
|
|
|
|
AJIT KUMAR JAIN
|
|
DID NOT PAY FEES TO SEBI
|
SHOW CAUSE NOTICE ISSUED
SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-FEB-2010 TILL REGISTRATION FEE DEPOSITED
09-NOV-2009
|
SEBI VIDE ORDER DATED 03/02/2010, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEE IS FULLY PAID
|
| 59 |
|
|
AJNEE FINANCE PVT.LTD.
(Member : BSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SHOW CAUSE NOTICE ISSUED
SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-FEB-2010 TILL REGISTRATION FEE DEPOSITED
09-NOV-2009
|
SEBI VIDE ORDER DATED 03/02/2010, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEE IS FULLY PAID
|
| 60 |
|
|
AJOY BIJAPURKAR,M/S
(Member : BHSE)
|
|
|
|
AJOY BIJAPURKAR
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
22-MAR-2010
|
PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 22/03/2010
|
| 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 3 of 104
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