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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
121
History of entity/person SHARAD KUMAR BALCHAND SHAH,M/S

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

DID NOT OBTAIN WRITTEN CONSENT FROM CLIENTS FOR PRINCIPAL TO PRINCIPAL TRANSACTIONS

COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-OCT-2001 TO 31-OCT-2001

28-SEP-2001 		 
122
History of entity/person SHREE TULSHI STOCKS

(Member : COCSE)  
Click here to view complete history of this specific entity/person CHHANGANLAL JAIN
  		INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS

DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 10-MAY-1999 TO 09-NOV-1999

10-MAY-1999 		 
123
History of entity/person SI INVESTMENTS & BROKING PVT.LTD.

(Member : BSE)  
  DID NOT ENTER INTO AGREEMENT WITH CLIENTS

DID NOT FILE FIRST INFORMATION REPORT IN RESPECT OF STOLEN/FAKE/FORGED SHARES

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

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

NETTED TRANSACTIONS SCRIP WISE AND THEN REPORTED AS CARRY FORWARD TRANSACTIONS TO EXCHANGE   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

21-FEB-2000 		 
124
History of entity/person SINGHANIA BROTHERS PVT.LTD.

(Member : CSE)  
  DID NOT ISSUE CONTRACT NOTES

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

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

INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 23-JUL-1999 TO 22-AUG-1999

20-JUL-1999 		 
125
History of entity/person SINGHI FINLEASE PVT.LTD.

(Member : BGSE)  
Click here to view complete history of this specific entity/person DINESH SINGH
  		DID NOT RECORD TIME OF PLACEMENT OF ORDERS ON CONTRACT NOTES

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

INDULGED IN FUNDS LENDING/BORROWING NOT RELATED TO/CONSEQUENTIAL TO/CONNECTED TO SECURITIES MARKET

DID NOT COLLECT MARGINS FROM CLIENTS

INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 02-NOV-2006 TO 01-DEC-2006

12-OCT-2006 		 
126
History of entity/person SONTHALIA & CO.

(Member : CSE)  
  INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   SUSPENDED REGISTRATION AS STOCK BROKER FROM 23-OCT-1998 TO 22-JAN-1999

25-SEP-1998 		 
127
History of entity/person SUNIL BROS.

(Member : UPSE)  
Click here to view complete history of this specific entity/person SUNIL KUMAR GUPTA
  		INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   SUSPENDED REGISTRATION AS STOCK BROKER FROM 11-MAR-2005 TO 10-MAR-2006

18-FEB-2005 		 
128
History of entity/person SURENDRA KUMAR RUNGTA,M/S

(Member : MGSE)  
Click here to view complete history of this specific entity/person SURENDRA KUMAR RUNGTA
  		DID NOT ISSUE CONTRACT NOTES

DID NOT REPORT DEALS DONE ON BSE AND NSE TO THE EXCHANGE

DID NOT MAINTAIN SEPARATE CLIENT ACCOUNT

INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 10-JUN-1999 TO 09-DEC-1999

10-JUN-1999 		 
129
History of entity/person SURINDER SECURITIES PVT.LTD.

(Member : UPSE)  
  DID NOT ISSUE CONTRACT NOTES

INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS

DID NOT MAINTAIN CLIENT REGISTRATION FORMS

DID NOT MAINTAIN CLIENT AGREEMENTS

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 03-JUN-2003 TO 02-OCT-2003

13-MAY-2003 		 
130
History of entity/person SUSHILA N.RUNGTA,M/S

(Member : BSE)  
Click here to view complete history of this specific entity/person SUSHILA NIRMAL KUMAR RUNGTA
  		DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DID NOT MAINTAIN CLIENT AGREEMENTS

INDULGED IN OFF-THE-FLOOR TRANSACTIONS

INDULGED IN GALA TRANSACTIONS

ISSUED FICTITIOUS CONTRACT NOTES

DID NOT APPLY FOR REGISTRATION OF CIS   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 15-SEP-2003 TO 15-SEP-2004

25-AUG-2003 		SAT: IMPUGNED ORDER MODIFIED BY REDUCING PERIOD OF SUSPENSION TO ONE MONTH W.E.F.15/11/2005  
131
History of entity/person SUVIDHA FINCAP PVT.LTD.

(Member : LSE)  
  INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS

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

19-NOV-1999 		 
132
History of entity/person SYAL & CO.

(Member : LSE)  
Click here to view complete history of this specific entity/person ANUPAM SYAL
  		DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

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

04-OCT-1999 		 
133
History of entity/person T.N.BANSAL,M/S

(Member : UPSE)  
Click here to view complete history of this specific entity/person T.N.BANSAL
  		INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS

DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS

DID NOT ROUTE CLIENT'S TRANSACTIONS THROUGH CLIENT ACCOUNT

DID NOT RECTIFY BAD DELIVERIES IN TIME

MISUSED EXCHANGE MECHANISM TO SETTLE LOAN TRANSACTIONS   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-MAR-1999 TO 29-JUN-1999

24-MAR-1999 		 
134
History of entity/person TRIMITI INVESTMENTS & FINANCIAL SERVICES PVT.LTD.

(Member : PSE)  
  DEFAULTED IN MAINTENANCE OF BOOKS/DOCUMENTS

DEALT WITH UN-REGISTERED SUB-BROKERS

INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS

INDULGED IN UNAUTHORISED FUND-BASED ACTIVITIES   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 13-AUG-1999 TO 12-OCT-1999

06-AUG-1999 		 
135
History of entity/person V.VISHNOI & CO.

(Member : UPSE)  
Click here to view complete history of this specific entity/person VIRENDRA CHANDRA GUPTA
  		INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS

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

DID NOT ROUTE CLIENT'S MONEY THROUGH SEPARATE BANK ACCOUNT   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 23-FEB-1999 TO 22-MAY-1999

15-FEB-1999 		 
136
History of entity/person VARDI RATHOD,M/S

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

13-AUG-1997 		 
137
History of entity/person VIJAY GUPTA & CO.

(Member : LSE)  
  INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DID NOT RECTIFY BAD DELIVERIES IN TIME   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

19-NOV-1999 		 
138
History of entity/person VIKALP SECURITIES LTD.

(Member : UPSE)  
  INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   SUSPENDED REGISTRATION AS STOCK BROKER FROM 19-JAN-1999 TO 18-MAR-1999

14-JAN-1999 		COMPANY VIDE ITS LETTER DATED 30/09/2014 INFORMED U.P.STOCK EXCHANGES ASSOCIATION LTD. THAT IT HAS DECIDED TO DELIST THE SHARES FROM THE EXCHANGE  
139
History of entity/person VINOD & CO.

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

18-FEB-2005 		 
140
History of entity/person VINOD KUMAR & CO.

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

DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS

DID NOT ROUTE CLIENT'S TRANSACTIONS THROUGH CLIENT ACCOUNT

DID NOT RECTIFY BAD DELIVERIES IN TIME

MISUSED EXCHANGE MECHANISM TO SETTLE LOAN TRANSACTIONS   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-MAR-1999 TO 29-MAY-1999

24-MAR-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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