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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.

SUB-BROKERS: CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

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

(Sub-Broker of ISE SECURITIES & SERVICES LTD., Member : NSE)  
Click here to view complete history of this specific entity/person SONA M.SHETH
  		DID NOT FRAME CODE OF INTERNAL PROCEDURES AND CONDUCT FOR PREVENTION OF INSIDER TRADING   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

30-DEC-2005 		 
42
History of entity/person SREE GANESH ENTERPRISE

(Sub-Broker of SUBHKAM SECURITIES PVT.LTD., Member : BSE)  
  ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

22-AUG-2007 		 
43
History of entity/person SUBECHA SECURITIES PVT.LTD.

(Sub-Broker of SVS SECURITIES PVT.LTD., Member : BSE, BETALA STOCK BROKING LTD., Member : NSE)  
  ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

09-JAN-2009 		 
44
History of entity/person V & U SECURITIES PVT.LTD.

(PAN:AAACV6984H)

(Sub-Broker of ASE CAPITAL MARKETS LTD., Member : BSE)  
  COMMITTED IRREGULARITIES/DEFAULTED IN ISSUANCE OF CONFIRMATION MEMOS

DEFICIENCIES IN MEMBER-CLIENT AGREEMENTS

DID NOT MAINTAIN CLIENT REGISTRATION FORMS

EXECUTED TRANSACTIONS FOR CLIENT BEFORE OBTAINING CLIENT REGISTRATION FORMS

DEALT WITH UN-REGISTERED SUB-BROKERS

DEALT WITH A CLIENT WHO IS A DEFAULTER   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

30-DEC-2005 		 
45
History of entity/person VIRENDRA SINGH BHANDARI JR.,M/S

(Sub-Broker of S.S.KANTILAL ISHWARLAL SECURITIES LTD., Member : BSE)  
Click here to view complete history of this specific entity/person VIRENDRA SINGH BHANDARI JR.
  		DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE EXECUTING TRANSACTIONS IN SCRIP OF OJAS TECHNOCHEM PRODUCTS LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

09-JAN-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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