| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
MOHAN LAL BANSAL,M/S
(Member : UPSE)
|
|
|
|
MOHAN LAL BANSAL
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 02-FEB-1999 TO 01-APR-1999
29-JAN-1999
|
|
| 82 |
|
|
MUKESH JAIN & CO.
(Member : LSE)
|
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
22-OCT-1999
|
|
| 83 |
|
|
MUKESH K.MEHTA,M/S
(Member : ASE)
|
|
|
|
MUKESH K.MEHTA
|
|
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
10-FEB-2000
|
|
| 84 |
|
|
MULTI SECURITIES
(Along with : RAJENDRA S.DAGA,M/S)
|
|
|
|
RAJENDRA DAGA
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
13-AUG-1997
|
|
| 85 |
|
|
N.P.C.SHARE BROKERS PVT.LTD.
(Member : UPSE)
|
|
|
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
DID NOT MAINTAIN CLIENT AGREEMENTS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 16-MAY-2003 TO 15-SEP-2003
25-APR-2003
|
|
| 86 |
|
|
NAVIN SECURITIES PVT.LTD.
(Member : UPSE)
|
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 11-MAR-2005 TO 10-MAR-2006
18-FEB-2005
|
|
| 87 |
|
|
NIKHIL KUMAR DHIRAJLAL SHAH
(Member : ASE)
|
|
|
DID NOT OBTAIN PRIOR PERMISSION FROM SEBI PERTAINING TO CHANGE IN STATUS AND CONSTITUTION OF FIRM/COMPANY
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-JUL-2001 TO 29-SEP-2001
24-JUL-2001
|
|
| 88 |
|
|
NIKHIL SECURITIES LTD.
(PAN:AAACN6532F)
(Member : UPSE)
|
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
MISUSED DEBIT NOTE FACILITY IN STOCK EXCHANGE
DEALT WITH UN-REGISTERED SUB-BROKERS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-JAN-1999 TO 11-APR-1999
05-JAN-1999
|
|
| 89 |
|
|
P.K.KHANNA & CO.
(Member : LSE)
|
|
|
|
PRADEEP KUMAR KHANNA
|
|
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
22-OCT-1999
|
|
| 90 |
|
|
P.N.BODA,M/S
(Member : SKSE)
|
|
|
|
P.N.BODA
|
|
DEFAULTED IN MAINTENANCE OF BOOKS/DOCUMENTS
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
INDULGED IN UNAUTHORISED FUND-BASED ACTIVITIES
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 13-AUG-1999 TO 12-NOV-1999
06-AUG-1999
|
|
| 91 |
|
|
PARESH MANILAL BANKER,M/S
(Member : ASE)
|
|
|
|
PARESH M.BANKER
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-NOV-1998 TO 26-FEB-1999
26-NOV-1998
|
|
| 92 |
|
|
PARESH MEHATA,M/S
(Member : PSE)
|
|
|
|
PARESH MEHATA
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-1997 TO 30-NOV-1997
13-AUG-1997
|
|
| 93 |
|
|
PRABODH ARTHWARDHINI PVT.LTD.
(Member : PSE)
|
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-1997 TO 30-NOV-1997
13-AUG-1997
|
|
| 94 |
|
|
PRADEEP KAYAN & CO.
(Member : CSE)
|
|
|
DID NOT OBTAIN WRITTEN CONSENT FROM CLIENTS FOR PRINCIPAL TO PRINCIPAL TRANSACTIONS
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 11-MAR-2003 TO 10-SEP-2003
24-MAR-2003
|
|
| 95 |
|
|
PRADEEP KUMAR BANSAL,M/S
(Member : UPSE)
|
|
|
|
PRADEEP KUMAR BANSAL
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 11-MAR-2005 TO 10-MAR-2006
18-FEB-2005
|
|
| 96 |
|
|
PRAMOD KUMAR KOTHARI,M/S
(Member : CSE)
|
|
|
|
PRAMOD KUMAR KOTHARI
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 26-FEB-1999 TO 25-AUG-1999
18-FEB-1999
|
|
| 97 |
|
|
PRASHANT JAIN,M/S
(Member : UPSE)
|
|
|
|
PRASHANT JAIN
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-MAY-2002 TO 26-AUG-2002 TILL PAYMENT OF SEBI FEES, WHICHEVER IS LATER
19-JUN-2002
|
|
| 98 |
|
|
PRASHANT JAIN,M/S
(Member : UPSE)
|
|
|
|
PRASHANT JAIN
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 11-MAR-2005 TO 10-MAR-2008
18-FEB-2005
|
|
| 99 |
|
|
PRATIK INVESTMENTS
(Member : PSE)
|
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-1997 TO 31-AUG-1998
13-AUG-1997
|
|
| 100 |
|
|
PRATIK STOCK VISION PVT.LTD.
(Member : NSE,Depository Participants : CDSL/NSDL)
|
|
|
ALLEGED INDULGENCE IN CARRY FORWARD TRANSACTIONS IN SCRIP OF GLOBAL TELESYSTEMS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,25,000 VIDE CONSENT ORDER)
22-JUN-2009
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 5 of 8
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