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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: INDULGED IN UNAUTHORISED CARRY FORWARD TRANSACTIONS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
41
History of entity/person GHANSHAM DAS GILADA,M/S

(Member : HSE)  
Click here to view complete history of this specific entity/person 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
History of entity/person 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
History of entity/person 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
History of entity/person H.A.SHAH,M/S

(Member : PSE)  
Click here to view complete history of this specific entity/person 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
History of entity/person 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
History of entity/person 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
History of entity/person 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
History of entity/person HARVINDER SECURITIES PVT.LTD.

(Along with : HARVINDER SINGH,M/S)  
Click here to view complete history of this specific entity/person 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
History of entity/person HARVINDER SINGH,M/S

(Member : UPSE)

(Along with : HARVINDER SECURITIES PVT.LTD.)  
Click here to view complete history of this specific entity/person 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
History of entity/person HITESH KANAIYALAL CHOTAI,M/S

(Member : SKSE)  
Click here to view complete history of this specific entity/person 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
History of entity/person J.P.SURANA,M/S

(Member : PSE)  
Click here to view complete history of this specific entity/person J.P.SURANA
 
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

13-AUG-1997
 
52
History of entity/person 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
History of entity/person JAGANNATH VINOD KUMAR,M/S

(Member : PSE)  
Click here to view complete history of this specific entity/person 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
History of entity/person JAIDEEP AGGARWAL & CO.

(Member : LSE)  
Click here to view complete history of this specific entity/person 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
History of entity/person 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
History of entity/person JITENDRA WAGH,M/S

(Member : PSE)  
Click here to view complete history of this specific entity/person 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
History of entity/person 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
History of entity/person K.K.CAPSEC PVT.LTD.

(Along with : KHEM KAUR GANDHI,M/S)  
Click here to view complete history of this specific entity/person 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
History of entity/person K.SURESH PRABHU,M/S

(Member : BGSE)  
Click here to view complete history of this specific entity/person 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
History of entity/person KANDOI SECURITIES PVT.LTD.

(Member : CSE)  
Click here to view complete history of this specific entity/person 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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