| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 121 |
|
ANICE KURIAN M.,M/S
(Member : COCSE)
|
|
|
|
ANICE KURIAN M.
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-MAY-2007 TO 29-NOV-2007
09-MAY-2007
|
|
| 122 |
|
|
ANIK SECURITIES & FINANCE LTD.
(Member : VSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-MAR-2010
08-MAR-2010
|
|
| 123 |
|
|
ANIL AGRAWAL,M/S
(Member : MPSE)
|
|
|
|
ANIL AGRAWAL
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 124 |
|
|
ANIL DHAWAN & CO.
(Member : DSE)
|
|
|
|
ANIL DHAWAN
|
|
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS AND/OR DOCUMENTS
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
ILLEGAL AND UNAUTHORIZED GRANT OF TRADING TERMINAL TO CLIENT
DID NOT ISSUE CONTRACT NOTES
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 04-JUN-2008 TO 10-JUN-2008
14-MAY-2008
|
|
| 125 |
|
|
ANIL G.BHANDARI,M/S
(Member : MPSE)
|
|
|
|
ANIL G.BHANDARI
|
|
DID NOT EXERCISE DUE SKILL AND CARE IN MATTER OF EONOUR TECHNOLOGIES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF EONOUR TECHNOLOGIES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 18-NOV-2003 TO 17-DEC-2003
29-OCT-2003
|
|
| 126 |
|
|
ANIL KUMAR AGARWAL,M/S
(Member : UPSE)
|
|
|
|
ANIL KUMAR AGARWAL
|
|
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT AFFIX BROKER NOTE STAMPS
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
INDULGED IN OFF-THE-FLOOR TRANSACTIONS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-APR-2004 TO 11-AUG-2004
22-MAR-2004
|
|
| 127 |
|
|
ANIL KUMAR KANODIA,M/S
(Member : BHSE)
|
|
|
|
ANIL KUMAR KANODIA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 128 |
|
|
ANIL KUMAR KEDIA,M/S
(Member : JSE)
|
|
|
|
ANIL KUMAR KEDIA
|
|
DID NOT PAY FEES TO SEBI
|
SHOW CAUSE NOTICE ISSUED
SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-APR-2010 TILL REGISTRATION FEE DEPOSITED
09-NOV-2009
|
SEBI VIDE ORDER DATED 22/03/2010, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEE IS FULLY PAID
|
| 129 |
|
|
ANIL KUMAR SEHGAL,M/S
(Member : NSE)
|
|
|
|
ANIL KUMAR SEHGAL
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 130 |
|
|
ANIL KUMAR SEHGAL,M/S
(Member : OTC)
|
|
|
|
ANIL KUMAR SEHGAL
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 131 |
|
|
ANIL MONGA,M/S
(Member : VSE)
|
|
|
|
ANIL MONGA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-MAR-2010
08-MAR-2010
|
|
| 132 |
|
|
ANIL SHAH SECURITIES & FINANCE LTD.
(Member : ASE)
|
|
|
DID NOT ISSUE CONTRACT NOTES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-AUG-1999 TO 26-OCT-1999
25-AUG-1999
|
|
| 133 |
|
|
ANIL SHARMA,M/S
(Member : JSE)
|
|
|
|
ANIL SHARMA
|
|
DID NOT PAY FEES TO SEBI
|
SHOW CAUSE NOTICE ISSUED
SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-APR-2010 TILL REGISTRATION FEE DEPOSITED
09-NOV-2009
|
SEBI VIDE ORDER DATED 22/03/2010, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEE IS FULLY PAID
|
| 134 |
|
|
ANIRUDH MERCANTILE PVT.LTD.
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 135 |
|
|
ANJAN KUMAR TEKRIWAL,M/S
(Member : MGSE)
|
|
|
|
ANJAN KUMAR TEKRIWAL
|
|
DID NOT ISSUE CONTRACT NOTES
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS AND/OR DOCUMENTS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN SEPARATE CLIENT ACCOUNT
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT PAY FEES TO SEBI
DID NOT MEET CAPITAL ADEQUACY REQUIREMENT
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-1998 TO 30-NOV-1998
25-AUG-1998
|
|
| 136 |
|
|
ANJANI KUMAR SINGH,M/S
(Member : BHSE)
(Along with : A.K.FINANCIAL CO.)
|
|
|
|
ANJANI KUMAR SINGH
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 25-AUG-1998 TILL PAYMENT OF PRESCRIBED FEES TO SEBI
17-AUG-1998
|
|
| 137 |
|
|
ANJU BATRA,M/S
(Member : BHSE)
|
|
|
|
ANJU BATRA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 138 |
|
|
ANJU JHUNJHUNWALA,M/S
(Member : ICSE)
|
|
|
|
ANJU JHUNJHUNWALA
|
|
DID NOT PAY FEES TO SEBI
|
SHOW CAUSE NOTICE ISSUED
SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-FEB-2010 TILL REGISTRATION FEE DEPOSITED
09-NOV-2009
|
SEBI VIDE ORDER DATED 03/02/2010, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEE IS FULLY PAID
|
| 139 |
|
|
ANJU KOHLI,M/S
(Member : DSE)
|
|
|
|
ANJU KOHLI
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 140 |
|
|
ANKUR SERVICES & GROWTH FUND LTD.
(CIN:U65993DL1989PLC034479)
(Member : ICSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SHOW CAUSE NOTICE ISSUED
SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-FEB-2010 TILL REGISTRATION FEE DEPOSITED
09-NOV-2009
|
SEBI VIDE ORDER DATED 03/02/2010, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEE IS FULLY PAID
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
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| Page 7 of 107
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