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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: INDULGED IN UNAUTHORISED CARRY FORWARD TRANSACTIONS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
101
History of entity/person PRAVEEN BAJAJ & CO.

(Member : UPSE)  
  DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE

INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-JAN-1999 TO 26-MAR-1999

21-JAN-1999 		 
102
History of entity/person PRAVINCHANDRA NAKARCHAND STOCK BROKERS PVT.LTD.

(CIN:U67120GJ1996PTC029094)

(Member : ASE)  
  DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK

DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER

DEFAULTED IN MAINTENANCE OF GENERAL LEDGER

COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES

INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS

DID NOT PRODUCE BOOKS OF ACCOUNTS TO SEBI FOR INSPECTION   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 06-AUG-2001 TO 05-OCT-2001

03-AUG-2001 		 
103
History of entity/person R.B.M.INVESTMENTS

(Member : PSE)  
  INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-1997 TO 30-NOV-1997

13-AUG-1997 		 
104
History of entity/person RACHANA CONSULTANTS

(Member : PSE)  
  INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-1997 TO 30-NOV-1997

13-AUG-1997 		 
105
History of entity/person RADHA KRISHNA GARG,M/S

(Member : UPSE)  
Click here to view complete history of this specific entity/person RADHA KRISHNA GARG
  		DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE

INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 22-DEC-1998 TO 21-FEB-1999

21-DEC-1998 		 
106
History of entity/person RAJA RAJESHWARI & CO.

(Member : CMBSE)  
  DID NOT ISSUE CONTRACT NOTES

DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK

INDULGED IN GALA TRANSACTIONS

DID NOT DELIVER SECURITIES TO CLIENTS IN TIME

DID NOT MAKE PAYMENT TO CLIENTS

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

FAILED TO SUBMIT AUDIT REPORT TO THE EXCHANGE ON DUE DATE

DID NOT RECTIFY BAD DELIVERIES IN TIME

INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 15-OCT-1998 TO 14-JAN-1999

05-OCT-1998 		 
107
History of entity/person RAJENDRA S.DAGA,M/S

(Member : PSE)

(Along with : MULTI SECURITIES)  
Click here to view complete history of this specific entity/person RAJENDRA DAGA
  		INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

13-AUG-1997 		 
108
History of entity/person RAJESH A.PARIKH,M/S

(Member : PSE)  
Click here to view complete history of this specific entity/person RAJESH A.PARIKH
  		INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-1997 TO 30-NOV-1997

13-AUG-1997 		 
109
History of entity/person 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 		 
110
History of entity/person RAJESH KASAT & CO.

(Member : PSE)  
Click here to view complete history of this specific entity/person RAJESH KASAT
  		INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-1997 TO 30-NOV-1997

13-AUG-1997 		 
111
History of entity/person RAJRATHAN FINANCIAL SERVICES 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 		 
112
History of entity/person RAKESH DEEP INVESTMENTS

(Member : UPSE)  
Click here to view complete history of this specific entity/person 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 		 
113
History of entity/person RBS SRIVASTAVA SHARE & STOCK BROKER

(Member : UPSE)  
Click here to view complete history of this specific entity/person RASIK BIHARI SHARAN SRIVASTAVA
  		INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS

DID NOT ADHERE TO SUMMONS ISSUED BY SEBI   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 10-OCT-2006 TO 09-NOV-2006

19-SEP-2006 		 
114
History of entity/person S.K.JINDAL SHARE BROKERS 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 		 
115
History of entity/person S.T.SHAH,M/S

(Member : PSE)  
Click here to view complete history of this specific entity/person S.T.SHAH
  		INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-1997 TO 30-NOV-1997

13-AUG-1997 		 
116
History of entity/person SANDEEP MITTAL & CO.

(Member : UPSE)  
Click here to view complete history of this specific entity/person SANDEEP MITTAL
  		INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   SUSPENDED REGISTRATION AS STOCK BROKER FROM 11-MAR-2005 TO 10-MAR-2008

18-FEB-2005 		 
117
History of entity/person SANDEEP MITTAL & CO.

(Member : UPSE)  
Click here to view complete history of this specific entity/person SANDEEP MITTAL
  		DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER

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 SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DID NOT PAY FEES TO SEBI   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 04-MAR-2002 TO 03-MAY-2002 TILL PAYMENT OF SEBI FEE, WHICHEVER IS LATER

27-FEB-2002 		 
118
History of entity/person SARVAN KUMAR AGARWAL,M/S

(Member : UPSE)  
Click here to view complete history of this specific entity/person SARVAN KUMAR AGARWAL
  		INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS

MISUSED DEBIT NOTE FACILITY IN STOCK EXCHANGE   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 02-MAR-1999 TO 01-JUN-1999

26-FEB-1999 		 
119
History of entity/person SHAH RAMANLAL GULABCHAND & SONS

(Member : ASE)  
Click here to view complete history of this specific entity/person APURVA RAMANLAL SHAH
  		INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   SUSPENDED REGISTRATION AS STOCK BROKER FROM 03-SEP-1999 TO 02-NOV-1999

01-SEP-1999 		 
120
History of entity/person SHAILENDRA KUMAR TANDON,M/S

(Member : UPSE)  
Click here to view complete history of this specific entity/person SHAILENDRA KUMAR TANDON
  		INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-APR-1999 TO 26-JUN-1999

21-APR-1999 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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