| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
ALKA SECURITIES LTD.
(PAN:AAACA4835E)
(Member : NSE)
|
|
|
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND NOT COMPLIED WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1),A(2),A(5) AND C(6) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF ALKA SECURITIES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-OCT-2012 TO 28-DEC-2012
08-OCT-2012
|
|
| 82 |
|
|
ALKA SECURITIES LTD.
(PAN:AAACA4835E)
(Member : NSE)
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE IN CONDUCT OF ITS BUSINESS AS A BROKER
DEALT WITH UNREGISTERED ENTITIES
PERMITTED TRADING TERMINALS AT UNAUTHORISED LOCATIONS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DEFAULTED IN MAINTENANCE OF SAUDA BOOK
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-JAN-2010
30-OCT-2009
|
SAT: APPEAL DISMISSED WITH NO ORDER AS TO COSTS
|
| 83 |
|
|
ALKA SECURITIES LTD.
(PAN:AAACA4835E)
(Member : NSE)
|
|
|
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) AND C(6) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF ALKA SECURITIES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-OCT-2012 TO 28-OCT-2014
08-OCT-2012
|
|
| 84 |
|
|
ALLIED SECURITIES
(Member : DSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 85 |
|
|
ALMONDZ COMMODITIES PVT.LTD.
(PAN:AAFCA3971Q)
(Member : NSEL)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 04-DEC-2023 TO 03-JUN-2024
04-DEC-2023
|
SAT: SAT VIDE ITS ORDER DATED 14/03/2024 STAYED EFFECT AND OPERATION OF IMPUGNED ORDER TILL FURTHER ORDERS
SAT: SAT VIDE ITS ORDER DATED 20/06/2024 STAYED THE IMPUGNED ORDER 04/12/2023
|
| 86 |
|
|
ALOK KUMAR CHOWDHARY,M/S
(Member : CSE)
|
|
|
|
ALOK KUMAR CHOWDHARY
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010
SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010
07-DEC-2009
|
|
| 87 |
|
|
ALOK KUMAR SARAF,M/S
(Member : BHSE)
|
|
|
|
ALOK KUMAR SARAF
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 88 |
|
|
ALOK PRAKASH PODDAR,M/S
(Member : CSE)
|
|
|
|
ALOK PRAKASH PODDAR
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 89 |
|
|
ALOKE BIYANI & CO.
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 90 |
|
|
ALPIC FINANCE LTD.
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 91 |
|
|
ALPIC SECURITIES LTD.
(Member : BSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SHOW CAUSE NOTICE ISSUED
SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-FEB-2010 TILL REGISTRATION FEE DEPOSITED
09-NOV-2009
|
SEBI VIDE ORDER DATED 03/02/2010, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEE IS FULLY PAID
|
| 92 |
|
|
ALTINA FINANCE PVT.LTD.
(PAN:AAACM5825C)
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 93 |
|
|
AMAL CHAND LAHA,M/S
(Member : CSE)
|
|
|
|
AMAL CHAND LAHA
|
|
DID NOT PAY FEES TO SEBI
|
SHOW CAUSE NOTICE ISSUED
SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-FEB-2010 TILL REGISTRATION FEE DEPOSITED
09-NOV-2009
|
SEBI VIDE ORDER DATED 03/02/2010, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEE IS FULLY PAID
|
| 94 |
|
|
AMAR NATH KHETAN
(Member : UPSE)
|
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 09-MAR-1999 TO 08-MAY-1999
05-MAR-1999
|
|
| 95 |
|
|
AMARJIT SINGH,M/S
(Member : BHSE)
|
|
|
|
AMARJIT SINGH
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 96 |
|
|
AMEYA & ASSOCIATES
(Member : COCSE)
|
|
|
|
MANJRI M.ANJARIA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-MAR-2007 TO 06-SEP-2007
07-MAR-2007
|
|
| 97 |
|
|
AMGIS HOLDINGS PVT.LTD.
(Member : NSE)
|
|
|
AIDED AND ABETTED AND ACTED IN CONCERT WITH RELATED CLIENTS IN CREATING ARTIFICIAL MARKET IN SCRIP OF ROOFIT INDUSTRIES LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 21-AUG-2007 TO 20-OCT-2007
31-JUL-2007
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
|
| 98 |
|
|
AMGIS HOLDINGS PVT.LTD.
(Member : NSE)
|
|
|
ALLEGED IRREGULARITIES IN BUYING, SELLING AND DEALING IN SCRIP OF VAKRANGEE SOFTWARES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 22-APR-2004 TO 21-APR-2006
01-APR-2004
|
SAT: IMPUGNED ORDER SET ASIDE AND DIRECTED SEBI TO GIVE OPPORTUNITY OF HEARING TO APPLICANT
|
| 99 |
|
|
AMGIS HOLDINGS PVT.LTD.
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND STRUCTURED TRANSACTIONS IN SCRIP OF SUNEARTH CERAMICS LTD.
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 7 READ WITH CLAUSES A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SUNEARTH CERAMICS LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 17-MAR-2011 TO 16-MAY-2011
24-FEB-2011
|
|
| 100 |
|
|
AMGIS HOLDINGS PVT.LTD.
(Member : NSE)
|
|
|
|
DEVAN MEHTA
|
|
INDULGED IN OFF-THE-FLOOR TRANSACTIONS IN SCRIP OF VAKRANGEE SOFTWARES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-OCT-2004 TO 11-FEB-2005
21-SEP-2004
|
SAT: APPEAL FAILED AND DISMISSED
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 5 of 107
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