| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 61 |
|
RAKESH DEEP INVESTMENTS
(Member : UPSE)
|
|
|
|
RAKESH KUMAR MISHRA
|
|
DID NOT PRODUCE BOOKS OF ACCOUNTS TO SEBI FOR INSPECTION
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
DID NOT MAINTAIN CLIENT AGREEMENTS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 04-MAR-2002 TO 03-JUL-2002
27-FEB-2002
|
|
| 62 |
|
|
RIGHT FINSTOCK PVT.LTD.
(PAN:AAACR9277R)
(Member : ASE)
|
|
|
DID NOT ISSUANCE OF CONTRACT NOTES IN TIME
DID NOT OBTAIN ACKNOWLEDGEMENT ON COUNTERFOILS OF CONTRACT NOTES
DID NOT MAINTAIN CLIENT AGREEMENTS
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
DEFICIENCIES IN CLIENT DATABASE
DID NOT MAINTAIN SEPARATE CLIENT ACCOUNT
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
DID NOT PAY TURNOVER FEE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-JUN-2006 TO 30-JUN-2006
11-MAY-2006
|
|
| 63 |
|
|
SAKSHI STOCKS & SHARES PVT.LTD.
(Member : UPSE)
|
|
|
DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
DID NOT COLLECT MARGINS FROM CLIENTS
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
ALLEGED NON-COMPLIANCE OF REQUIREMENTS OF UNIQUE CLIENT CODE
DID NOT ADHERE TO "KNOW YOUR CLIENT" DIRECTIVES/INSTRUCTIONS/GUIDELINES
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 06-OCT-2006 TO 20-OCT-2006
15-SEP-2006
|
|
| 64 |
|
|
SAMIR JAYANTILAL SHAH,M/S
(Member : ASE)
|
|
|
|
SAMIR J.SHAH
|
|
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
20-FEB-2002
|
|
| 65 |
|
|
SANDEEP MITTAL & CO.
(Member : UPSE)
|
|
|
|
SANDEEP MITTAL
|
|
DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 04-MAR-2002 TO 03-MAY-2002 TILL PAYMENT OF SEBI FEE, WHICHEVER IS LATER
27-FEB-2002
|
|
| 66 |
|
|
SANJAY C.BAXI,M/S
(Member : BSE)
|
|
|
|
SANJAY C.BAXI
|
|
DEFAULTED IN MAINTENANCE OF MARGIN REGISTER
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT ENTER INTO AGREEMENT WITH CLIENTS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
28-MAR-2002
|
|
| 67 |
|
|
SATISH GUPTA,M/S
(Member : DSE)
|
|
|
|
SATISH GUPTA
|
|
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
DID NOT MAINTAIN CLIENT AGREEMENTS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
ATTESTED FORGED SIGNATURE OF TRANSFEROR
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
03-MAR-2000
|
|
| 68 |
|
|
SHREE YADUGIRI INVESTMENTS
(Member : BGSE)
|
|
|
ACTED AS SUB-BROKER OF COMPOSITE INVESTMENTS PVT.LTD.WITHOUT SEBI REGISTRATION
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT COLLECT MARGINS FROM CLIENTS
DID NOT FURNISH AUDITOR'S CERTIFICATE ON QUARTERLY BASIS REGARDING COLLECTION OF MINIMUM MARGIN FROM CLIENTS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 18-OCT-2006 TO 01-NOV-2006
27-SEP-2006
|
|
| 69 |
|
|
SIDDHARTHA & CO.
(Member : CSE)
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
IMPOSED PENALTY RS.40,000
27-JUL-2010
|
|
| 70 |
|
|
SPICA FINSTOCK LTD.
(Member : ASE)
|
|
|
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 23-JUN-2003 TO 22-SEP-2003
30-MAY-2003
|
|
| 71 |
|
|
SRI SIDDHI VINAYAK SHARES LTD.
(Member : MDSE)
|
|
|
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
ISSUED CONTRACT NOTES OF MSE FOR TRANSACTIONS DONE ON BSE/NSE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
10-FEB-2000
|
|
| 72 |
|
|
SUNIL KUMAR KAYAN & CO.
(PAN:AGDPK5151F)
(Member : CSE)
|
|
|
|
SUNIL KUMAR KAYAN
|
|
UNAUTHORISED OPERATIONS ON NSE TERMINALS TAKEN FROM SANJAY BANSAL
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
INDULGED IN OFF-THE-FLOOR TRANSACTIONS
INDULGED IN TRADES OUTSIDE RECOGNIZED EXCHANGE IN F&O SEGMENT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-AUG-2003 TILL PENDING ENQUIRY
20-AUG-2003
|
REVOKED RESTRICTION IMPOSED ON BROKER FROM 12/07/2005
|
| 73 |
|
|
SUNRISE FINCAP LTD.
(Member : ASE)
|
|
|
DID NOT REFUND MONEY COLLECTED UNDER CIS
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
07-AUG-2009
|
|
| 74 |
|
|
SURESH KUMAR ALMAL,M/S
(Member : CSE)
|
|
|
|
SURESH KUMAR ALMAL
|
|
DID NOT ISSUE CONTRACT NOTES
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-JUL-2006 TO 19-AUG-2006
29-JUN-2006
|
|
| 75 |
|
|
THAKKAR STOCK BROKERS PVT.LTD.
(Member : VSE)
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ALLEGED INDULGENCE IN CREATION OF FALSE MARKET IN SCRIP OF AXEL POLYMERS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)
31-MAR-2009
|
|
| 76 |
|
|
V.K.DUA & CO.
(Member : DSE)
|
|
|
|
VINOD KUMAR DUA
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DEALT WITH UN-REGISTERED SUB-BROKERS
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
06-MAR-2000
|
|
| 77 |
|
|
VENUGOPAL MALANI,M/S
(Member : HSE)
|
|
|
|
VENUGOPAL MALANI
|
|
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
ALLEGED NON-COMPLIANCE OF REQUIREMENTS OF UNIQUE CLIENT CODE
DELAYED SUBMISSION OF AUDIT REPORT TO THE EXCHANGE
|
IMPOSED PENALTY RS.2,00,000
30-DEC-2004
|
|
| 78 |
|
|
VIDYUT BHARATKUMAR SHAH,M/S
(Member : ASE)
|
|
|
|
VIDYUT B.SHAH
|
|
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
20-FEB-2002
|
|
| 79 |
|
|
VIDYUT BHARATKUMAR SHAH,M/S
(Member : ASE)
|
|
|
|
VIDYUT B.SHAH
|
|
DID NOT ENTER INTO AGREEMENT WITH CLIENTS
DEALT WITH UN-REGISTERED SUB-BROKERS
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
|
IMPOSED PENALTY RS.1,00,000
29-DEC-2004
|
|
| 80 |
|
|
VINOD KUMAR & CO.
(Member : UPSE)
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
DID NOT ISSUE CONTRACT NOTES
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
DEFICIENCIES IN CLIENT DATABASE
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
DID NOT FRAME CODE OF INTERNAL PROCEDURES AND CONDUCT FOR PREVENTION OF INSIDER TRADING
ALLEGED NON-COMPLIANCE OF REQUIREMENTS OF UNIQUE CLIENT CODE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-SEP-2006 TO 11-OCT-2006
06-SEP-2006
|
|
| 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 4 of 5
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