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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
141
History of entity/person LALKAR SECURITIES PVT.LTD.

(CIN:U65990MH1997PTC105421
PAN:AAACL1966B)

(Member : BSE)  
  DID NOT EXERCISE DUE SKILL, DILIGENCE AND CARE IN MATTER OF JYOTI RESINS & ADHESIVES LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

20-JUN-2002 		 
142
History of entity/person LALKAR SECURITIES PVT.LTD.

(CIN:U65990MH1997PTC105421
PAN:AAACL1966B)

(Member : BSE)  
  DID NOT EXERCISE DUE CARE AND DILIGENCE

DID NOT ADHERE TO "KNOW YOUR CLIENT" DIRECTIVES/INSTRUCTIONS/GUIDELINES   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

22-FEB-2007 		 
143
History of entity/person LALLUBHAI RANCHHODDAS SHARE BROKERS PVT.LTD.

(Member : BSE)  
Click here to view complete history of this specific entity/person SANJIV R.CHOKSY
  		DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE AS STOCK BROKER WHILE DEALING WITH CLIENTS IN SCRIP OF RAVALGAON SUGAR FARMS LTD. & SHRENUJ & CO.LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

29-FEB-2008 		 
144
History of entity/person LATIN MANHARLAL SECURITIES PVT.LTD.

(PAN:AAACL2767L)

(Member : BSE)  
  ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

09-JAN-2009 		 
145
History of entity/person LOHIA SECURITIES PVT.LTD.

(Member : NSE)  
  DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DID NOT MAINTAIN CLIENT REGISTRATION FORMS

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

06-JAN-2000 		 
146
History of entity/person LOTUS INVESTMENTS & SECURITIES

(Member : NSE)  
  DID NOT COLLECT MARGINS FROM CLIENTS

ALLOTTED MULTIPLE CLIENT CODES TO ONE CLIENT   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

24-JAN-2006 		 
147
History of entity/person M P VORA SHARES & SECURITIES PVT.LTD.

(PAN:AABCM3784B)

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

15-JUL-2002 		 
148
History of entity/person M P VORA SHARES & SECURITIES PVT.LTD.

(PAN:AABCM3784B)

(Member : BSE)  
Click here to view complete history of this specific entity/person M.P.VORA
  		DEALT WITH UN-REGISTERED SUB-BROKERS   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

01-FEB-2008 		 
149
History of entity/person MACO SECURITIES PVT.LTD.

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

LENT SHARES BELONGING TO CLIENTS

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

12-SEP-2001 		 
150
History of entity/person MAHESH J.DOSHI,M/S

(Member : BSE)  
Click here to view complete history of this specific entity/person MAHESH J.DOSHI
  		INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SPECULATIVE TRANSACTIONS DONE BY CLIENTS WITHOUT ANY INTENTION OF TAKING OR GIVING DELIVERY OF SHARES OF EONOUR SOFTWARE LTD.

DID NOT COLLECT MARGINS FROM CLIENTS

DID NOT EXERCISE DUE CARE AND DILIGENCE IN MATTER OF EONOUR SOFTWARE LTD.   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

27-DEC-2005 		 
151
History of entity/person MAHESH J.DOSHI,M/S

(Member : BSE)  
Click here to view complete history of this specific entity/person MAHESH J.DOSHI
  		DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE IN MATTER OF MOREPEN HOTELS LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

28-OCT-2004 		 
152
History of entity/person MAHESH KOTHARI SHARES & STOCK BROKERS PVT.LTD.

(Member : BSE)  
  DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS

DEALT WITH UN-REGISTERED SUB-BROKERS

COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS

DID NOT DELIVER SECURITIES TO CLIENTS IN TIME

DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

19-FEB-2002 		 
153
History of entity/person MAHESHWARI EQUITY BROKERS PVT.LTD.

(Member : BSE/DSE)  
  DID NOT TRANSFER SECURITIES FROM POOL ACCOUNT TO CLIENTS' ACCOUNT IN TIME   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

02-JAN-2007 		 
154
History of entity/person MAHESHWARI TECHNICAL & FINANCIAL SERVICES LTD.

(Member : NSE)  
  DID NOT EXERCISE DUE CARE AND DILIGENCE   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

05-JUL-2002 		 
155
History of entity/person MAKBAN FINANCE PVT.LTD.

(Member : LSE)  
  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

22-OCT-1999 		 
156
History of entity/person MALINI SANGHVI SECURITIES PVT.LTD.

(Member : BSE)  
  DID NOT EXERCISE DUE SKILL AND DILIGENCE IN MATTER OF PRIVATE PLACEMENT OF BARODA AGRO INDUSTRIES LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

05-NOV-2002 		 
157
History of entity/person MANGAL KESHAV SECURITIES LTD.

(PAN:AAECM6524C)

(Member : BSE)  
  DID NOT EXERCISE DUE CARE AND DILIGENCE   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

31-AUG-2004 		 
158
History of entity/person MANGAL KESHAV SECURITIES LTD.

(PAN:AAECM6524C)

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

15-JUL-2002 		 
159
History of entity/person MANGAL KESHAV SECURITIES LTD.

(PAN:AAECM6524C)

(Member : BSE/NSE)  
  DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DEALT WITH UN-REGISTERED SUB-BROKERS

PERMITTED TRADING TERMINALS AT UNAUTHORISED LOCATIONS   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

13-JAN-2006 		 
160
History of entity/person MANGLA CAPITAL SERVICES PVT.LTD.

(Member : NSE)  
Click here to view complete history of this specific entity/person VINOD GUPTA
  		ISSUED TWO CONTRACT NOTES FOR THE SAME TRADE TO FACILITATE CLIENTS TO RECEIVE IMMEDIATE CASH FOR THE SALES MADE AND TO USE THAT MONEY TO BUY SAME SHARES THROUGH OTHER BROKERS

DEALT WITH UN-REGISTERED SUB-BROKERS

DID NOT EXERCISE DUE CARE AND DILIGENCE AT THE TIME OF ADMITTING CLIENTS   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

31-JAN-2006 		SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS, AS SAT UPHELD ONLY TWO FINDINGS. FIRST EXECUTION OF TWO CONTRACT NOTES AND DEALT WITH UN-REGISTERED SUB-BROKER

SAT: CONFIRMED PREVIOUS SAT ORDER DATED 10/08/2007 VIDE WHICH ONLY TWO FINDINGS OF SEBI WERE UPHELD  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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