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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: SUSPENDED REGISTRATION AS SUB-BROKER

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
81
History of entity/person SMITHA GOPINATHAN,M/S

(Member : COCSE)  
Click here to view complete history of this specific entity/person SMITHA GOPINATHAN
  		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 		 
82
History of entity/person SOHAN LAL VERMA,M/S

(Member : LSE)  
Click here to view complete history of this specific entity/person SOHAN LAL VERMA
  		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 		 
83
History of entity/person SONY P.PANAKKAL,M/S

(Member : COCSE)  
Click here to view complete history of this specific entity/person SONY P.PANAKKAL
  		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 		 
84
History of entity/person SREEYEM SHARES & SECURITIES PVT.LTD.

(Member : COCSE)  
  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 		 
85
History of entity/person SUBHASH KARKHANIS SHARE & STOCK BROKERS PVT.LTD.

(Member : BSE)  
  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 		 
86
History of entity/person SUDHA SOMAN,M/S

(Member : COCSE)  
Click here to view complete history of this specific entity/person SUDHA SOMAN
  		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
History of entity/person SUNIL O.G.,M/S

(Member : COCSE)  
Click here to view complete history of this specific entity/person SUNIL O.G.
  		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 		 
88
History of entity/person SUNITA RANI UPPAL,M/S

(Member : LSE)  
Click here to view complete history of this specific entity/person SUNITA RANI UPPAL
  		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 		 
89
History of entity/person SUNITA RELAN,M/S

(Member : LSE)  
Click here to view complete history of this specific entity/person SUNITA RELAN
  		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 		 
90
History of entity/person SURESH KUMAR AGARWAL,M/S

(Member : UPSE)  
Click here to view complete history of this specific entity/person SURESH KUMAR AGARWAL
  		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 		 
91
History of entity/person SUSAN JOHN,M/S

(Member : COCSE)  
Click here to view complete history of this specific entity/person SUSAN JOHN
  		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 		 
92
History of entity/person SUSAN JOHN,M/S

(Member : COCSE)  
Click here to view complete history of this specific entity/person SUSAN JOHN
  		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 		 
93
History of entity/person SUSHIL KUMAR GOENKA,M/S

(Member : UPSE)  
Click here to view complete history of this specific entity/person SUSHIL KUMAR GOENKA
  		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 		 
94
History of entity/person T.CHINTHA DEVI,M/S

(Member : COCSE)  
Click here to view complete history of this specific entity/person T.CHINTHA DEVI
  		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 		 
95
History of entity/person T.K.NARAYANAN THAMPI,M/S

(Member : COCSE)  
Click here to view complete history of this specific entity/person T.K.NARAYANAN THAMPI
  		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 		 
96
History of entity/person TAJINDER PAL SINGH,M/S

(Member : UPSE)  
Click here to view complete history of this specific entity/person TAJINDER PAL SINGH
  		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 		 
97
History of entity/person TARAK V.PARIKH,M/S

(Member : COCSE)  
Click here to view complete history of this specific entity/person TARAK V.PARIKH
  		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 		 
98
History of entity/person TARUN KUMAR BANGAR,M/S

(Member : UPSE)  
Click here to view complete history of this specific entity/person TARUN KUMAR BANGAR
  		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 		 
99
History of entity/person TRIUMPH RETAIL BROKING SERVICES LTD.

(Member : BSE)  
  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 		 
100
History of entity/person TROPICAL SECURITIES & INVESTMENTS PVT.LTD.

(PAN:AAACT1670N)

(Member : BSE)  
  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 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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