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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.

UN-AUTHORISED SUB-BROKERS: VIOLATED SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
81
History of entity/person SAILESH M.DOSHI,M/S  
Click here to view complete history of this specific entity/person SAILESH M.DOSHI
  		VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		ACCUSED CONVICTED AND SENTENCED TO IMPRISONMENT FOR A TERM OF ONE YEAR AND FINE OF RS.5000  
82
History of entity/person SANKALP ASSOCIATES  
  VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		DISMISSED  
83
History of entity/person SATISHA & CO.  
  VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		DISMISSED  
84
History of entity/person SHREE SHITALNATH INVESTMENTS  
  VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		 
85
History of entity/person SHUBH SHANTI INVESTMENT  
Click here to view complete history of this specific entity/person INDER MAL SOLANKI
  		VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992   		PROSECUTION LAUNCHED

15-MAY-2006 		ACQUITTED  
86
History of entity/person SIBY & CO.  
  VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		 
87
History of entity/person SMART SECURITIES  
  VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		 
88
History of entity/person SRIKANTKUMAR RAMESHCHANDRA,M/S  
Click here to view complete history of this specific entity/person JAGDIP SUTARIA
Click here to view complete history of this specific entity/person SRIKANTKUMAR RAMESHCHANDRA
  		VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		 
89
History of entity/person SUN SECURITIES  
  VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		 
90
History of entity/person SUNDARAM SERVICES  
Click here to view complete history of this specific entity/person V.M.SUNDRAM
  		VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		PROPRIETOR OF THE ACCUSED SOLE PROPRIETORSHIP FIRM EXPIRED. THEREFORE, PROCEEDINGS ABATED  
91
History of entity/person T.SRIDHAR,M/S  
Click here to view complete history of this specific entity/person T.SRIDHAR
  		VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		 
92
History of entity/person TIMINAB INVESTMENT  
  VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		 
93
History of entity/person TRIBUWAN INVESTMENT  
  VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992

VIOLATED SECTION 17 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		 
94
History of entity/person UMA SHARES  
Click here to view complete history of this specific entity/person C.SEENU
Click here to view complete history of this specific entity/person P.CHIDAMBARAM
  		VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		 
95
History of entity/person VINOD TRIPATHI,M/S  
Click here to view complete history of this specific entity/person VINOD TRIPATHI
  		VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		 
96
History of entity/person VIRAF N SODAWATERWALA,M/S  
Click here to view complete history of this specific entity/person VIRAF N SODAWATERWALA
  		VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		 
97
History of entity/person WAISHRAM FINANCE & INVESTMENT LTD.  
  VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.1,20,000 BY THE ACCUSED TO SEBI  
98
History of entity/person YESHCO  
Click here to view complete history of this specific entity/person VARSHA MAHAPUTRE
  		VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		DISMISSED  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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