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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 STOCK BROKER

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
101
History of entity/person AMI SECURITIES 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 		 
102
History of entity/person AMIN MULANI,M/S

(Member : PSE)  
Click here to view complete history of this specific entity/person AMIN MULANI
  		ACTED IN CONCERT WITH OTHER BROKERS TO CREATE ARTIFICIAL MARKET AND PRICE RISE THROUGH CIRCULAR TRADING AND BY PLACING ORDERS AT HIGHER PRICES OTHER THAN PREVAILING MARKET PRICE IN SCRIP OF HOME TRADE LTD.

DID NOT MAINTAIN CLIENT REGISTRATION FORMS

DID NOT MAINTAIN CLIENT INTRODUCTION FORMS   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 15-NOV-2005 TO 14-MAY-2007

24-OCT-2005 		 
103
History of entity/person AMIN MULANI,M/S

(Member : PSE)  
Click here to view complete history of this specific entity/person AMIN MULANI
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-MAY-2010

09-APR-2010 		 
104
History of entity/person AMIT ARVIND SHAH,M/S

(Member : ASE)  
Click here to view complete history of this specific entity/person AMIT ARVIND SHAH
  		INDULGED IN PRICE RIGGING IN SCRIP OF RELIABLE FINSTOCK LTD.   SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-DEC-1997 TO 19-MAR-1998

18-DEC-1997 		 
105
History of entity/person AMIT SARAOGI & CO.

(Member : CSE)  
Click here to view complete history of this specific entity/person AMIT SARAOGI
  		DID NOT CO-OPERATE WITH SEBI IN INVESTIGATIONS VIOLATING REGULATIONS 21(1), 21(2) AND 21(4) OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992   SUSPENDED REGISTRATION AS STOCK BROKER FROM 19-FEB-2021 TO 18-MAY-2021

29-JAN-2021 		 
106
History of entity/person AMIT SECURITIES LTD.

(Member : BGSE)  
  DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010

10-AUG-2009 		 
107
History of entity/person AMITABH SONTHALIA,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person AMITABH SONTHALIA
  		INDULGED IN OFF-MARKET TRANSACTIONS   SUSPENDED REGISTRATION AS STOCK BROKER FROM 11-AUG-2004 TO 10-DEC-2004

21-JUL-2004 		 
108
History of entity/person AMIYA KUMAR ROUT,M/S

(Member : BHSE)  
Click here to view complete history of this specific entity/person AMIYA KUMAR ROUT
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010

10-AUG-2009 		 
109
History of entity/person AMOGH FINMAN 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 		 
110
History of entity/person AMRATLAL GOPALJI THACKER,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person AMRATLAL GOPALJI THACKER
  		INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRADES/MATCHING ORDERS IN SCRIP OF DSQ INDUSTRIES LTD.   SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-SEP-2006 TO 28-DEC-2006

08-SEP-2006 		 
111
History of entity/person AMRESHWAR KUMAR TYAGI,M/S

(Member : UPSE)  
Click here to view complete history of this specific entity/person AMRESHWAR KUMAR TYAGI
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010

29-OCT-2009 		 
112
History of entity/person AMROK,M/S

(Member : COCSE)  
Click here to view complete history of this specific entity/person LATHA JOSEPH
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-MAR-2007 TO 06-SEP-2007

07-MAR-2007 		 
113
History of entity/person ANAND JHAWAR,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person ANAND JHAWAR
  		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  
114
History of entity/person ANAND JITENDRA DIVAN,M/S

(Member : PSE)  
Click here to view complete history of this specific entity/person ANAND JITENDRA DIVAN
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-MAY-2010

09-APR-2010 		 
115
History of entity/person ANAND PADI,M/S

(Member : OTC)  
Click here to view complete history of this specific entity/person ANAND PADI
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010

10-AUG-2009 		 
116
History of entity/person ANAND PRAKASH BATRA,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person ANAND PRAKASH BATRA
  		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 		 
117
History of entity/person ANAND RATHI SECURITIES PVT.LTD.

(Member : BSE)  
Click here to view complete history of this specific entity/person ANAND RATHI
  		UNDER SECTION 11B READ WITH 11 OF SEBI ACT.1992   SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-MAR-2001 TO 11-DEC-2001

09-NOV-2001 		SAT: PART OF ORDER I.E.SUSPENDING REGISTRATION TO TWO APPLICANT COMPANIES SET ASIDE  
118
History of entity/person ANAND SHARE BROKING PVT.LTD.

(Member : CSE)  
  DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010

10-AUG-2009 		 
119
History of entity/person ANANDI LAL SHAH,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person ANANDI LAL SHAH
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010

29-OCT-2009 		 
120
History of entity/person ANANTH SECURITIES PVT.LTD.

(Member : MDSE)  
  DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010

10-AUG-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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