S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
41 |
|
GHANSHAM DAS GILADA,M/S
(Member : HSE)
|
|
|
G.S.GILADA
|
|
INDULGED IN GALA TRANSACTIONS
DID NOT MAINTAIN CONTRACT SLIPS
DEFAULTED IN MAINTENANCE OF SAUDA BOOK
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
08-JUN-1998
|
|
42 |
|
GHANSHYAM DWIVEDI
(Member : UPSE)
|
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 09-FEB-1999 TO 08-MAY-1999
05-FEB-1999
|
|
43 |
|
GNH GLOBAL SECURITIES LTD.
(Member : BSE)
|
|
|
ACTED IN CONCERT WITH OTHER BROKERS TO CORNER A VERY LARGE QUANTITY OF SHARES OF BPL, VIDEOCON AND STERLITE
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF BPL LTD., VIDEOCON INTERNATIONAL LTD. AND STERLITE INDUSTRIES LTD.
DID NOT COLLECT MARGINS FROM CLIENTS
DEFAULTED IN PAY-IN OBLIGATIONS
EXCEEDED CARRY FORWARD LIMIT SET BY SEBI/BSE
DID NOT REPORT SPOT TRANSACTIONS TO THE EXCHANGE
PROVIDED WRONG/INCOMPLETE INFORMATION TO EXCHANGES
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 15-JUN-1998 TO 14-JUN-2001
26-AUG-1999
|
|
44 |
|
H.A.SHAH,M/S
(Member : PSE)
|
|
|
H.A.SHAH
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-1997 TO 30-NOV-1997
13-AUG-1997
|
|
45 |
|
H.B.RELAN & CO.
(Member : DSE)
|
|
|
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
INDULGED IN GALA TRANSACTIONS
DID NOT RECTIFY BAD DELIVERIES IN TIME
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-JUN-1998 TO 28-JUL-1998
26-JUN-1998
|
|
46 |
|
H.NYALCHAND FINANCIAL SERVICES LTD.
(Member : ASE)
|
|
|
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
USED EXCHANGE MECHANISM IN ORDER TO MEET FINANCIAL OBLIGATIONS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
25-FEB-2000
|
|
47 |
|
HANUPRIYE SECURITIES PVT.LTD.
(Member : UPSE)
|
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 11-MAR-2005 TO 10-MAR-2008
18-FEB-2005
|
|
48 |
|
HARVINDER SECURITIES PVT.LTD.
(Along with : HARVINDER SINGH,M/S)
|
|
|
HARVINDER SINGH
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DEALT WITH UN-REGISTERED SUB-BROKERS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 09-MAR-1999 TO 08-MAY-1999
26-FEB-1999
|
|
49 |
|
HARVINDER SINGH,M/S
(Member : UPSE)
(Along with : HARVINDER SECURITIES PVT.LTD.)
|
|
|
HARVINDER SINGH
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DEALT WITH UN-REGISTERED SUB-BROKERS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 09-MAR-1999 TO 08-MAY-1999
26-FEB-1999
|
|
50 |
|
HITESH KANAIYALAL CHOTAI,M/S
(Member : SKSE)
|
|
|
HITESH K.CHOTAI
|
|
DEFAULTED IN MAINTENANCE OF SAUDA BOOK
DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER
DEFAULTED IN MAINTENANCE OF GENERAL LEDGER
DID NOT ISSUE CONTRACT NOTES
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
DID NOT MAINTAIN SEPARATE CLIENT ACCOUNT
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 08-JAN-1999 TO 07-JUL-1999
05-JAN-1999
|
|
51 |
|
J.P.SURANA,M/S
(Member : PSE)
|
|
|
J.P.SURANA
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
13-AUG-1997
|
|
52 |
|
J.V.STOCK BROKING PVT.LTD.
(PAN:AABCJ1783D)
(Member : UPSE)
|
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 19-JAN-1999 TO 18-MAR-1999
15-JAN-1999
|
|
53 |
|
JAGANNATH VINOD KUMAR,M/S
(Member : PSE)
|
|
|
VINOD J.GUPTA
|
|
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
DID NOT ENTER INTO AGREEMENT WITH CLIENTS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
EXECUTED CROSS DEALS AMONG CLIENTS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 02-SEP-2002 TO 01-MAR-2003
27-AUG-2002
|
|
54 |
|
JAIDEEP AGGARWAL & CO.
(Member : LSE)
|
|
|
JAIDEEP AGGARWAL
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
08-OCT-1999
|
|
55 |
|
JANHAVI SECURITIES PVT.LTD.
(Member : PSE)
|
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-1997 TO 31-AUG-1998
13-AUG-1997
|
|
56 |
|
JITENDRA WAGH,M/S
(Member : PSE)
|
|
|
JITENDRA WAGH
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-1997 TO 30-NOV-1997
13-AUG-1997
|
|
57 |
|
JYOTISH BHOGILAL STOCK BROKERS PVT.LTD.
(PAN:AAACJ5486G)
(Member : ASE)
|
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 17-DEC-2001 TO 16-FEB-2002
19-DEC-2001
|
|
58 |
|
K.K.CAPSEC PVT.LTD.
(Along with : KHEM KAUR GANDHI,M/S)
|
|
|
KHEM KAUR GANDHI
|
|
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-SEP-1998 TO 06-DEC-1998
31-AUG-1998
|
|
59 |
|
K.SURESH PRABHU,M/S
(Member : BGSE)
|
|
|
K.SURESH PRABHU
|
|
DID NOT COLLECT MARGINS FROM CLIENTS
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
INDULGED IN OFF-THE-FLOOR TRANSACTIONS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-OCT-2006 TO 03-NOV-2006
29-SEP-2006
|
|
60 |
|
KANDOI SECURITIES PVT.LTD.
(Member : CSE)
|
|
|
VINOD KUMAR KANDOI
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 15-JAN-1997 TO 14-APR-1997
12-JAN-1998
|
|
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
|
|
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