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

101

U.S.CHATURVEDI,M/S

(Member : UPSE)

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U.S.CHATURVEDI

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

102

URMILA DHYAWALA,M/S

(Member : UPSE,Sub-Broker of UPSE SECURITIES LTD., Member : BSE)

URMILA DHYAWALA

DID NOT FURNISH REQUISITE INFORMATION DURING INVESTIGATION

DID NOT ISSUE CONTRACT NOTES

DID NOT ISSUANCE OF CONTRACT NOTES IN TIME

DID NOT MAINTAIN CLIENT DATABASE

DEALT WITH UN-REGISTERED SUB-BROKERS

SUSPENDED REGISTRATION AS SUB-BROKER FROM 16-DEC-2010 TO 15-DEC-2011

SUSPENDED REGISTRATION AS STOCK BROKER FROM 16-DEC-2010 TO 15-DEC-2011

25-NOV-2010

103

USHA GARG,M/S

(Member : LSE)

USHA GARG

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

104

VEENA PANDEY,M/S

(Member : UPSE)

VEENA PANDEY

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

105