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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 : 27-MAY-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: CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
121
History of entity/person JYOTI JAIN INVESTMENT & FINANCE CO.PVT.LTD.

(Member : NSE)  
  COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

23-JAN-2008 		 
122
History of entity/person K & A SECURITIES PVT.LTD.

(PAN:AAACK1251G)

(Member : NSE)  
  COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES

DEFAULTED IN MAINTENANCE OF SECURITIES REGISTER

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DID NOT ENTER INTO AGREEMENT WITH CLIENTS

DID NOT MAKE PAYMENTS TO CLIENTS IN TIME

DID NOT DELIVER SECURITIES TO CLIENTS IN TIME

DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE

DID NOT FILE FIRST INFORMATION REPORT IN RESPECT OF STOLEN/FAKE/FORGED SHARES   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

28-JAN-2002 		 
123
History of entity/person K & A SECURITIES PVT.LTD.

(PAN:AAACK1251G)

(Member : NSE)  
  DID NOT EXERCISE DUE CARE AND DILIGENCE IN CONDUCT OF BUSINESS AS A CAPITAL MARKET INTERMEDIARY IN MATTER OF MOREPEN LABORATORIES LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

29-JUN-2006 		 
124
History of entity/person K.G.VORA SECURITIES LTD.

(Member : BSE)  
  IN THE CASE OF SOUNDCRAFT INDUSTRIES LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

15-JUL-2002 		 
125
History of entity/person KAKANI SECURITIES LTD.

(Member : HSE)  
  DEALT WITH UN-REGISTERED SUB-BROKERS   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

09-JAN-2009 		 
126
History of entity/person KALYANBHAI MAYABHAI STOCK BROKERS PVT.LTD.

(Member : ASE)  
  FAILED TO CHANGE MINIMUM SUBSCRIPTION

DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE

DID NOT MAINTAIN SEPARATE CLIENT ACCOUNT   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

05-JAN-1999 		 
127
History of entity/person KANCHAN INVESTMENTS

(Member : PSE)  
  DID NOT ADHERE TO "KNOW YOUR CLIENT" DIRECTIVES/INSTRUCTIONS/GUIDELINES

DEFAULTED IN VERIFYING FINANCIAL CAPABILITIES AND NET WORTH OF CLIENTS   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

19-SEP-2006 		 
128
History of entity/person KANODIA STOCK BROKING PVT.LTD.

(PAN:AABCK3292N)

(Member : CSE)  
Click here to view complete history of this specific entity/person RAMESH KANODIA
  		INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF SPANCO TELESYSTEMS & SOLUTIONS LTD.

MANIPULATED SCRIP OF RANBAXY LABORATORIES LTD.

INDULGED IN SYNCHRONIZED TRADING IN SCRIP OF RANBAXY LABORATORIES LTD.   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

10-JAN-2007 		 
129
History of entity/person KANTILAL CHHAGANLAL SECURITIES PVT.LTD.

(PAN:AABCK3372R)

(Member : BSE)  
Click here to view complete history of this specific entity/person JAYESH SHETH
  		DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING WITH CLIENTS IN SCRIP OF GREENFIELD TRADING & FINANCE LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

15-MAR-2007 		 
130
History of entity/person KANTILAL CHHAGANLAL SECURITIES PVT.LTD.

(PAN:AABCK3372R)

(Member : BSE)  
  DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

02-FEB-2000 		 
131
History of entity/person KANUDIA CAPITAL & MNGT.SERVICES PVT.LTD.

(Member : UPSE)  
  DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK

DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK

DID NOT COLLECT MARGINS FROM CLIENTS

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

FAILED TO SUBMIT AUDIT REPORT TO THE EXCHANGE ON DUE DATE   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

30-AUG-2006 		 
132
History of entity/person KETAN SHAH & CO.

(Member : VSE)  
Click here to view complete history of this specific entity/person KETAN SHAH
  		DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE

INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

22-OCT-1999 		 
133
History of entity/person KEYNOTE CAPITALS LTD.

(CIN:U67120MH1995PLC088172
PAN:AAACK2618R)

(Member : NSE)  
  IN THE CASE OF SOUNDCRAFT INDUSTRIES LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

15-JUL-2002 		 
134
History of entity/person KHANDWALA FINSTOCK PVT.LTD.

(Member : ASE)  
  DID NOT EXERCISE DUE SKILL IN FINDING OUT REALITY BEHIND APPARENT FACADE OF TRANSACTIONS IN MATTER OF JYOTI RESINS & ADHESIVES LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

20-JUN-2002 		 
135
History of entity/person KHANDWALA FINSTOCK PVT.LTD.

(Member : ASE)  
  INDULGED IN UNAUTHORISED FUND-BASED ACTIVITIES

DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

28-OCT-1999 		 
136
History of entity/person KORP SECURITIES LTD.

(PAN:AACCK1771D)

(Member : BSE/NSE)  
  DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 9 READ WITH CLAUSES A(1),A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF BEEJAY INVESTMENT & FINANCIAL CONSULTANTS PVT.LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

30-APR-2021 		SAT: SAT VIDE ITS ORDER DATED 04/08/2021 PARTLY ALLOWED THE APPEAL BY SETTING ASIDE PENALTY AMOUNT OF RS.25 LAC. REMAINING AMOUNT STIPULATED IN PARAGRAPH NO.57(B) AND (C) MAY BE PAID WITHIN TWO WEEKS FROM DATE OF THIS ORDER  
137
History of entity/person KRISHNA SHARE BROKING SERVICES LTD.

(Member : ASE)  
  DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

20-FEB-2002 		 
138
History of entity/person KUNVARJI FINSTOCK LTD.

(Member : ASE)  
Click here to view complete history of this specific entity/person ATUL MANHARLAL CHOKSHI
  		DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

20-FEB-2002 		 
139
History of entity/person KUSUM KOCHAR,M/S

(Member : GSE)  
Click here to view complete history of this specific entity/person KUSUM KOCHAR
  		DID NOT PAY FEES TO SEBI

DID NOT ISSUE CONTRACT NOTES

DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS

TRANSACTED AT A RATE HIGHER THAN MARKET RATE

DID NOT MAINTAIN SEPARATE CLIENT ACCOUNT

DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 03-AUG-1998 TILL PAYMENT OF PRESCRIBED FEES TO SEBI

CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

27-JUL-1998 		 
140
History of entity/person LALIT CO.

(Member : CSE)  
Click here to view complete history of this specific entity/person KISHAN LAL PUGALIA
  		INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF SPANCO TELESYSTEMS & SOLUTIONS LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

13-FEB-2007 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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