| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 101 |
|
RAGHAVENDRA JOSHI,M/S
(Member : JSE)
|
|
|
|
RAGHAVENDRA JOSHI
|
|
DEFAULTED IN MAINTENANCE OF SAUDA BOOK
DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER
DEFAULTED IN MAINTENANCE OF JOURNAL
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT ENTER INTO AGREEMENT WITH CLIENTS
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
06-JAN-2000
|
|
| 102 |
|
|
RAJ KUMAR PODDAR,M/S
(Member : CSE)
|
|
|
|
RAJ KUMAR PODDAR
|
|
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-OCT-2002 TILL THE COMPLETION OF INVESTIGATION
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-OCT-2002 TILL THE COMPLETION OF INVESTIGATION
18-OCT-2002
|
|
| 103 |
|
|
RAJAN MAHESHWARI,M/S
(Member : JSE)
(Along with : M.M.BROKERS PVT.LTD.)
|
|
|
|
RAJAN MAHESHWARI
|
|
DID NOT PRODUCE BOOKS OF ACCOUNTS TO SEBI FOR INSPECTION
DEFAULTED IN MAINTENANCE OF SAUDA BOOK
DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER
DID NOT ISSUE CONTRACT NOTES
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
USED EXCHANGE MECHANISM IN ORDER TO MEET FINANCIAL OBLIGATIONS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 02-JUL-1999 TO 01-AUG-1999
06-JUL-1999
|
|
| 104 |
|
|
RAJESH JHAVERI STOCK BROKERS PVT.LTD.
(CIN:U67120GJ1995PTC024321)
(Member : ASE)
|
|
|
DEFAULTED IN MAINTENANCE OF MARGIN REGISTER
DID NOT OBTAIN WRITTEN CONSENT FROM CLIENTS FOR PRINCIPAL TO PRINCIPAL TRANSACTIONS
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 11-NOV-2001 TO 10-JAN-2002
22-NOV-2001
|
|
| 105 |
|
|
RAJRATAN R.MOHTA,M/S
(Member : BSE)
|
|
|
|
RAJRATAN R.MOHTA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF BPL LTD., VIDEOCON INTERNATIONAL LTD. AND STERLITE INDUSTRIES LTD.
ACTED IN CONCERT WITH OTHER BROKERS TO CORNER A VERY LARGE QUANTITY OF SHARES OF BPL, VIDEOCON AND STERLITE
DID NOT COLLECT MARGINS FROM CLIENTS
DEFAULTED IN PAY-IN OBLIGATIONS
PROVIDED WRONG/INCOMPLETE INFORMATION TO EXCHANGES
DID NOT REPORT SPOT TRANSACTIONS TO THE EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-JUN-1998 TO 11-JUN-2001
17-NOV-1999
|
|
| 106 |
|
|
RAJRATHAN FINANCIAL SERVICES PVT.LTD.
(Member : UPSE)
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE IN CONDUCT OF ITS BUSINESS AS A BROKER
DEFICIENCIES IN CLIENT DATABASE
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
UNDERTOOK PRINCIPAL TO PRINCIPAL TRADE
DID NOT MAINTAIN CLIENT DATABASE
DID NOT REPORT SPOT TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
IMPOSED PENALTY RS.4,00,000
10-JUN-2009
|
|
| 107 |
|
|
RAKESH DEEP INVESTMENTS
(Member : UPSE)
|
|
|
|
RAKESH KUMAR MISHRA
|
|
DID NOT PRODUCE BOOKS OF ACCOUNTS TO SEBI FOR INSPECTION
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
DID NOT MAINTAIN CLIENT AGREEMENTS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 04-MAR-2002 TO 03-JUL-2002
27-FEB-2002
|
|
| 108 |
|
|
RATAN LAL PODDAR,M/S
(Member : CSE)
|
|
|
|
RATAN LAL PODDAR
|
|
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-OCT-2002 TILL THE COMPLETION OF INVESTIGATION
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-OCT-2002 TILL THE COMPLETION OF INVESTIGATION
18-OCT-2002
|
|
| 109 |
|
|
RATNABALI CAPITAL MARKETS LTD.
(Member : NSE)
|
|
|
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT COLLECT MARGINS FROM CLIENTS
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
COMMITTED IRREGULARITIES IN SHARE LENDING/BORROWING
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
19-FEB-2002
|
|
| 110 |
|
|
RCM BROKING SERVICES LTD.
(Member : DSE)
|
|
|
INDULGED IN PRICE MANIPULATION AND CREATED FALSE MARKET IN SCRIP OF M.S.SHOES (EAST) LTD.
DID NOT ISSUE CONTRACT NOTES
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
DID NOT OBTAIN WRITTEN CONSENT FROM CLIENTS FOR PRINCIPAL TO PRINCIPAL TRANSACTIONS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 15-JUN-1998 TO 14-NOV-1998
11-JUN-1998
|
|
| 111 |
|
|
S.L.GUPTA & CO.
(Member : DSE)
|
|
|
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
ENTERED INTO PRINCIPAL TO PRINCIPAL TRANSACTIONS FOR WHICH BROKERAGE WAS CHARGED AND CONTRACT NOTES IN FORM 'A ' WERE ISSUED
SETTLED PAYMENT FOR TRANSACTIONS WITH OTHER MEMBERS OF EXCHANGE THROUGH SETTLEMENT SYSTEM OF EXCHANGE
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT RECTIFY BAD DELIVERIES IN TIME
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
09-APR-2001
|
|
| 112 |
|
|
S.N.SUREKA & CO.
(Member : CSE)
|
|
|
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
ISSUED CONTRACT NOTES IN "FORM A" FOR TRANSACTIONS IN UNLISTED SHARES
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 11-JAN-2006 TO 10-FEB-2006
21-DEC-2005
|
|
| 113 |
|
|
SAKSHI STOCKS & SHARES PVT.LTD.
(Member : UPSE)
|
|
|
DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
DID NOT COLLECT MARGINS FROM CLIENTS
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
ALLEGED NON-COMPLIANCE OF REQUIREMENTS OF UNIQUE CLIENT CODE
DID NOT ADHERE TO "KNOW YOUR CLIENT" DIRECTIVES/INSTRUCTIONS/GUIDELINES
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 06-OCT-2006 TO 20-OCT-2006
15-SEP-2006
|
|
| 114 |
|
|
SANDILYA & CO.
(Member : MDSE)
|
|
|
|
SUMITHRA MUTHU KUMAR
|
|
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT REDRESS INVESTOR COMPLAINTS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 06-JAN-2000 TO 05-MAY-2000 4 MONTHS / SUSPENSION REVOKED WHICHEVER IS LATER
04-JAN-2000
|
|
| 115 |
|
|
SANJAY CAPITAL SERVICES PVT.LTD.
(Member : DSE)
|
|
|
DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DEFICIENCIES IN CLIENT DATABASE
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DELAYED SUBMISSION OF AUDIT REPORT TO THE EXCHANGE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
09-AUG-2001
|
|
| 116 |
|
|
SANJAY KHEMANI,M/S
(Member : CSE)
|
|
|
|
SANJAY KHEMANI
|
|
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
PROVIDED WRONG/INCOMPLETE INFORMATION TO EXCHANGES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 21-JAN-2003 TILL THE COMPLETION OF INVESTIGATION
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-JAN-2003 TILL THE COMPLETION OF INVESTIGATION
21-JAN-2003
|
|
| 117 |
|
|
SANJAY KUMAR THARD & CO.
(Member : CSE)
|
|
|
DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT TRANSFER SECURITIES FROM POOL ACCOUNT TO CLIENTS' ACCOUNT IN TIME
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 14-OCT-2002 TO 13-APR-2003
17-OCT-2002
|
|
| 118 |
|
|
SATISH GUPTA,M/S
(Member : DSE)
|
|
|
|
SATISH GUPTA
|
|
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
DID NOT MAINTAIN CLIENT AGREEMENTS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
ATTESTED FORGED SIGNATURE OF TRANSFEROR
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
03-MAR-2000
|
|
| 119 |
|
|
SATYANARAYAN NANGALIA,M/S
(Member : BSE)
|
|
|
|
SATYANARAYAN NANGALIA
|
|
ACTED IN CONCERT WITH OTHER BROKERS TO CORNER A VERY LARGE QUANTITY OF SHARES OF BPL, VIDEOCON AND STERLITE
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF BPL LTD., VIDEOCON INTERNATIONAL LTD. AND STERLITE INDUSTRIES LTD.
DID NOT COLLECT MARGINS FROM CLIENTS
DEFAULTED IN PAY-IN OBLIGATIONS
PROVIDED WRONG/INCOMPLETE INFORMATION TO EXCHANGES
DID NOT REPORT SPOT TRANSACTIONS TO THE EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 15-JUN-1998 TO 14-JUN-2001
28-OCT-1999
|
|
| 120 |
|
|
SHAILESH SHAH SECURITIES PVT.LTD.
(PAN:AAECS3607E)
(Member : BSE)
|
|
|
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT REPORT SPOT TRANSACTIONS TO THE EXCHANGE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
20-FEB-2002
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 6 of 8
|
