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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.

UN-AUTHORISED SUB-BROKERS: VIOLATED SEBI ACT, 1992

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
41
History of entity/person RAM SAGAR SINHA,M/S  
Click here to view complete history of this specific entity/person RAM SAGAR SINHA
  		VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		DISMISSED  
42
History of entity/person REACH HIGH INVESTMENTS  
  VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		 
43
History of entity/person ROOP CHAND VASWANI,M/S  
Click here to view complete history of this specific entity/person ROOP CHAND VASWANI
  		VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		DISMISSED  
44
History of entity/person S.S.FINANCIAL SERVICES  
  VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		DISMISSED  
45
History of entity/person SAGAR SECURITIES  
  VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		DISMISSED  
46
History of entity/person SAIDATA SECURITIES PVT.LTD.  
  VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		 
47
History of entity/person SAILESH M.DOSHI,M/S  
Click here to view complete history of this specific entity/person SAILESH M.DOSHI
  		VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		ACCUSED CONVICTED AND SENTENCED TO IMPRISONMENT FOR A TERM OF ONE YEAR AND FINE OF RS.5000  
48
History of entity/person SANKALP ASSOCIATES  
  VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		DISMISSED  
49
History of entity/person SATISHA & CO.  
  VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		DISMISSED  
50
History of entity/person SHREE SHITALNATH INVESTMENTS  
  VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		 
51
History of entity/person SHUBH SHANTI INVESTMENT  
Click here to view complete history of this specific entity/person INDER MAL SOLANKI
  		VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992   		PROSECUTION LAUNCHED

15-MAY-2006 		ACQUITTED  
52
History of entity/person SIBY & CO.  
  VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		 
53
History of entity/person SRIKANTKUMAR RAMESHCHANDRA,M/S  
Click here to view complete history of this specific entity/person JAGDIP SUTARIA
Click here to view complete history of this specific entity/person SRIKANTKUMAR RAMESHCHANDRA
  		VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		 
54
History of entity/person SUN SECURITIES  
  VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		 
55
History of entity/person SUNDARAM SERVICES  
Click here to view complete history of this specific entity/person V.M.SUNDRAM
  		VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		PROPRIETOR OF THE ACCUSED SOLE PROPRIETORSHIP FIRM EXPIRED. THEREFORE, PROCEEDINGS ABATED  
56
History of entity/person SUVIDHA TRADERS  
  VIOLATED SECTION 24 OF SEBI ACT, 1992   PROSECUTION LAUNCHED

15-MAY-2006 		 
57
History of entity/person T.SRIDHAR,M/S  
Click here to view complete history of this specific entity/person T.SRIDHAR
  		VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		 
58
History of entity/person TRIBUWAN INVESTMENT  
  VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992

VIOLATED SECTION 17 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		 
59
History of entity/person UMA SHARES  
Click here to view complete history of this specific entity/person C.SEENU
Click here to view complete history of this specific entity/person P.CHIDAMBARAM
  		VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		 
60
History of entity/person VIRTUE SECURITIES  
  VIOLATED SECTION 24 OF SEBI ACT, 1992   PROSECUTION LAUNCHED

15-MAY-2006 		THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.1,00,000 BY THE ACCUSED TO SEBI  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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