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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: DID NOT REPORT OFF-THE-FLOOR/SPOT TRANSACTIONS TO EXCHANGE

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
141
History of entity/person T.G.FINANCIAL CONSULTANTS PVT.LTD.

(Member : UPSE)  
Click here to view complete history of this specific entity/person MADHU DUBEY
  		DID NOT HAVE PRE-PRINTED SERIAL NUMBERS ON CONTRACT NOTES

DID NOT RECORD TIME OF PLACEMENT OF ORDERS ON CONTRACT NOTES

DID NOT RECORD TIME OF EXECUTION OF ORDER ON CONTRACT NOTES

DID NOT COLLECT MARGINS FROM CLIENTS

DID NOT ENTER INTO AGREEMENT WITH CLIENTS

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

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

TRANSFERRED SECURITIES WITHOUT OBTAINING WRITTEN CONSENT OF CLIENTS

DEFAULTED IN MAINTENANCE OF SAUDA BOOK

ALLEGED NON-COMPLIANCE OF REQUIREMENTS OF UNIQUE CLIENT CODE   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 21-SEP-2006 TO 20-OCT-2006

31-AUG-2006 		 
142
History of entity/person T.S.THAPAR & CO.

(Member : LSE)  
Click here to view complete history of this specific entity/person T.S.THAPAR
  		DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 10-JUN-2002 TO 09-AUG-2002 TILL PAYMENT OF SEBI FEE, WHICHEVER IS LATER

19-JUN-2002 		 
143
History of entity/person TRIPOLI CONSULTANCY SERVICES PVT.LTD.

(Member : CSE)  
Click here to view complete history of this specific entity/person BHAGWATI PRASAD SINGHANIA
Click here to view complete history of this specific entity/person PRAVEEN KUMAR AGARWAL
  		DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE   DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-OCT-2002 TILL THE COMPLETION OF INVESTIGATION

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-OCT-2002 TILL THE COMPLETION OF INVESTIGATION

18-OCT-2002 		 
144
History of entity/person USHA GARG & CO.

(Member : LSE)  
  DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DID NOT PAY FEES TO SEBI   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-MAY-2002 TO 26-JUL-2002 TILL PAYMENT OF SEBI FEE,WHICHEVER IS LATER

24-MAR-2002 		 
145
History of entity/person V.K.DUA & CO.

(Member : DSE)  
Click here to view complete history of this specific entity/person VINOD KUMAR DUA
  		DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DEALT WITH UN-REGISTERED SUB-BROKERS

DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER

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

06-MAR-2000 		 
146
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 		 
147
History of entity/person VALFIN FINANCIAL SERVICES PVT.LTD.

(Member : NSE)  
  ACTED IN CONCERT WITH OTHER BROKERS TO CORNER A VERY LARGE QUANTITY OF SHARES OF BPL, VIDEOCON AND STERLITE

INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF BPL LTD., VIDEOCON INTERNATIONAL LTD. AND STERLITE INDUSTRIES LTD.

DID NOT COLLECT MARGINS FROM CLIENTS

DEFAULTED IN PAY-IN OBLIGATIONS

DID NOT REPORT SPOT TRANSACTIONS TO THE EXCHANGE   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 17-JUN-1998 TO 16-DEC-1999

28-OCT-1999 		 
148
History of entity/person VEER JAIN & CO.

(Member : JSE)  
  DID NOT PAY FEES TO SEBI

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

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 28-MAY-1998 TO 27-JUN-1998

15-MAY-1998 		 
149
History of entity/person VENKATESHWARLU KONDURI,M/S

(Member : HSE)  
Click here to view complete history of this specific entity/person VENKATESHWARLU KONDURI
  		DID NOT ISSUE CONTRACT NOTES

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

DID NOT ENTER INTO AGREEMENT WITH CLIENTS

DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER

USED CLIENT'S SECURITIES FOR RAISING FUNDS

USED EXCHANGE MECHANISM IN ORDER TO MEET FINANCIAL OBLIGATIONS   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 15-FEB-1999 TO 14-AUG-1999

05-FEB-1999 		 
150
History of entity/person VIPIN AHUJA & CO.

(Member : UPSE)  
  INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS

MISUSED DEBIT NOTE FACILITY IN STOCK EXCHANGE

DID NOT REPORT PRINCIPAL-TO-PRINCIPAL TRANSACTIONS TO THE EXCHANGE

DID NOT REPORT SPOT TRANSACTIONS TO THE EXCHANGE

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 22-JUN-1999 TO 22-DEC-1999

18-JUN-1999 		 
151
History of entity/person YKS CAPITAL SERVICES PVT.LTD.

(Member : DSE)  
  DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER

COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES

DEFICIENCIES IN CLIENT DATABASE

DEALT WITH UN-REGISTERED SUB-BROKERS

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

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

03-JUL-2001 		 
152
History of entity/person YOGENDRA SHARMA,/MS

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

MISUSED DEBIT NOTE FACILITY IN STOCK EXCHANGE

DID NOT REPORT PRINCIPAL-TO-PRINCIPAL TRANSACTIONS TO THE EXCHANGE

DID NOT REPORT SPOT TRANSACTIONS TO THE EXCHANGE

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-JUN-1999 TO 30-NOV-1999

24-MAY-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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