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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 : 11-APR-2026

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: DELAYED/FAILED TO MAKE PAYMENT TO CLIENTS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
101
History of entity/person UNICON SECURITIES PVT.LTD.

(CIN:U74899DL1995PTC064554
PAN:AAPFS5325P)

(Depository Participants : CDSL,Member : BSE/NSE/MCX/USE)  
Click here to view complete history of this specific entity/person GAJENDRA NAGPAL

PAN:AADPN5511A
Click here to view complete history of this specific entity/person RAM MOHAN GUPTA

PAN:AGDPG7175M
  		DID NOT CO-OPERATE WITH SEBI IN INVESTIGATION AND MADE MISLEADING/CONTRADICTORY STATEMENTS

INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A (3) AND A (5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992

COMMITTED IRREGULARITIES IN EFFECTING TRANSFERS

DID NOT MAKE PAYMENTS TO CLIENTS IN TIME

DID NOT REDRESS INVESTOR COMPLAINTS   		DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 26-MAY-2014 TILL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 26-MAY-2014 TILL FURTHER ORDERS

26-MAY-2014 		SEBI VIDE ITS ORDER DATED 02/03/2015 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS EX-PARTE AD INTERIM ORDER DATED 26/05/2014 AND ALLOWED UTILIZATION OF SECURITIES LYING IN DEMAT ACCOUNTS WITH DEPOSITORIES FOR SETTLEMENT OF PENDING CLAIMS OF CLIENTS  
102
History of entity/person VINOD KUMAR & CO.

(Member : UPSE)  
  ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS

DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK

DID NOT ISSUE CONTRACT NOTES

DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK

DEFICIENCIES IN CLIENT DATABASE

DID NOT MAKE PAYMENTS TO CLIENTS IN TIME

DID NOT DELIVER SECURITIES TO CLIENTS IN TIME

DID NOT FRAME CODE OF INTERNAL PROCEDURES AND CONDUCT FOR PREVENTION OF INSIDER TRADING

ALLEGED NON-COMPLIANCE OF REQUIREMENTS OF UNIQUE CLIENT CODE   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-SEP-2006 TO 11-OCT-2006

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