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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: WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
81
History of entity/person NOUVEAU SHARES & SECURITIES LTD.

(Member : NSE)  
  DEBITED CLIENT LEDGER FOR TRANSACTIONS OTHER THAN SECURITIES   WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

23-MAR-2022 		 
82
History of entity/person P SURYAKANT SHARE & STOCK BROKERS PVT.LTD.

(PAN:AACCP3112F)

(Member : BSE)  
  DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING WITH CLIENTS IN SCRIP OF OASIS MEDIA MATRIX LTD.   WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

21-AUG-2009 		 
83
History of entity/person P.ARORA & CO.

(Member : LSE)  
  INDULGED IN UNAUTHORISED CARRY FORWARD TRADING AND FINANCING TRANSACTIONS VIOLATING CLAUSE A(1),A(3) AND A(5) OF CODE OF CONDUCT AND RULE 4(B) OF SEBI (STOCK BROKERS & SUB-BROKERS) REGULATIONS, 1992 AND IN SCRIP OF SRU SHARE BROKERS LTD.   WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

29-DEC-2009 		 
84
History of entity/person PADMAVATI SHARES & STOCKBROKERS PVT.LTD.

(Member : ICSE)  
  DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF MILLENIUM CYBERTECH LTD.   WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

26-NOV-2013 		 
85
History of entity/person PARK LIGHT INVESTMENT PVT.LTD.

(Member : BSE)  
  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR TRADING, SQUARING OFF TRANSACTIONS IN SCRIP OF MANGALYA EXPORTS LTD.   WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

31-JAN-2006 		 
86
History of entity/person PRABHUDAS LILLADHER PVT.LTD.

(PAN:AAACP2733Q)

(Member : BSE)  
  DEALT WITH UN-REGISTERED SUB-BROKERS   WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

12-JAN-2006 		 
87
History of entity/person PRASHANT JAYANTILAL PATEL,M/S

(PAN:AABPP2156M)

(Member : NSE)  
Click here to view complete history of this specific entity/person PRASHANT JAYANTILAL PATEL

PAN:AABPP2156M
  		DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE WHILE DEALING IN SCRIP OF SUNEARTH CERAMICS LTD.   WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

01-FEB-2010 		 
88
History of entity/person PRASHANT JAYANTILAL PATEL,M/S

(PAN:AABPP2156M)

(Member : NSE/MSEI)  
Click here to view complete history of this specific entity/person PRASHANT JAYANTILAL PATEL

PAN:AABPP2156M
  		INDULGED IN BACKDATED AND FICTITIOUS TRANSACTIONS ON BEHALF OF CLIENTS

ISSUED FICTITIOUS CONTRACT NOTES   		WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

05-SEP-2022 		 
89
History of entity/person PREMIER SHARES LTD.

(Member : NSE)  
Click here to view complete history of this specific entity/person ARVIND KHEMKA
Click here to view complete history of this specific entity/person SUNIL KUMAR TIBREWAL
  		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 ATN INTERNATIONAL LTD.   WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

27-OCT-2010 		 
90
History of entity/person PURSHOTTAM LAL KEJRIWAL,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person PURSHOTTAM LAL KEJRIWAL
  		DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING WITH CLIENTS IN SCRIP OF BANKAM INVESTMENT LTD.   WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

17-AUG-2009 		 
91
History of entity/person R.M.SHARES TRADING PVT.LTD.

(PAN:AABCR6331B)

(Member : BSE)  
  DEFICIENCIES IN MEMBER-CLIENT AGREEMENTS

GAVE SHORT TERM LOANS TO CLIENTS

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE

DEALT WITH UN-REGISTERED SUB-BROKERS

DID NOT DELIVER SECURITIES TO CLIENTS IN TIME

DID NOT MAKE PAYMENTS TO CLIENTS IN TIME

DEALT IN UNQUOTED SHARES   		WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

05-JAN-2006 		 
92
History of entity/person RAJRATAN R.MOHTA,M/S

(Member : BSE)  
Click here to view complete history of this specific entity/person RAJRATAN R.MOHTA
  		INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KREB BIOCHEMICALS LTD.   WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

30-DEC-2005 		 
93
History of entity/person RAKESH KAPOOR & CO.

(Member : DSE)  
  DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS AND NOT EXERCISED DUE SKILL, CARE & DILIGENCE AS PER CLAUSE A OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF KARISHMA FLORICULTURE LTD.   WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

22-JUN-2010 		 
94
History of entity/person RAMRAKH R.BOHRA,M/S

(Member : BSE)  
Click here to view complete history of this specific entity/person RAMRAKH R.BOHRA
  		DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 7 READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF AKL SOFT & INFOSYS LTD.   WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

31-DEC-2012 		 
95
History of entity/person RAMRAKH R.BOHRA,M/S

(Member : BSE)  
Click here to view complete history of this specific entity/person RAMRAKH R.BOHRA
  		DID NOT MAINTAIN HIGH STANDARD OF INTEGRITY, PROMPTITUDE & FAIRNESS WHILE DEALING IN SCRIP OF GRANULES INDIA LTD.   WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

28-JAN-2010 		 
96
History of entity/person RAVI GUPTA & CO.

(Member : LSE)  
Click here to view complete history of this specific entity/person RAVI NANDAN GUPTA
  		INDULGED IN UNAUTHORISED CARRY FORWARD TRADING VIOLATING CLAUSE A(5) OF CODE OF CONDUCT AND RULE 4(B) OF SEBI (STOCK BROKERS & SUB-BROKERS) REGULATIONS, 1992 AND IN SCRIP OF SRU SHARE BROKERS LTD.   WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

29-DEC-2009 		 
97
History of entity/person RELIGARE SECURITIES LTD.

(PAN:AAACF1952D)

(Member : BSE/NSE)  
  INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIPS OF AMTEK AUTO LTD., AMTEK INDIA LTD., AHMEDNAGAR FORGINGS LTD. AND MONNET ISPAT LTD.   WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

20-SEP-2016 		 
98
History of entity/person ROMESH BANSAL & CO.

(Member : LSE)  
Click here to view complete history of this specific entity/person ROMESH BANSAL
  		INDULGED IN UNAUTHORISED CARRY FORWARD TRADING AND FINANCING TRANSACTIONS VIOLATING CLAUSE A(1),A(3) AND A(5) OF CODE OF CONDUCT AND RULE 4(B) OF SEBI (STOCK BROKERS & SUB-BROKERS) REGULATIONS, 1992 AND IN SCRIP OF SRU SHARE BROKERS LTD.   WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

29-DEC-2009 		 
99
History of entity/person RUCHIRAJ SHARES & STOCK BROKERS PVT.LTD.

(PAN:AABCR4896H)

(Member : BSE)  
  DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF DATASOFT APPLICATION SOFTWARE (INDIA) LTD.   WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

03-NOV-2011 		 
100
History of entity/person S.K.JHUNJHUNWALA,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person R.K.CHOUDHARY
  		INDULGED IN MATCHED AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF AKSHAY FISCAL SERVICES LTD.   WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

28-MAY-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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