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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: INITIATED ENQUIRY PROCEEDINGS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person A.S.P.INVESTMENTS & CO.

(Member : MGSE)  
Click here to view complete history of this specific entity/person SUNITA SRIWASTAW
  		DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

23-APR-2009 		PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION  
2
History of entity/person ABC & CO.

(Member : MGSE)  
Click here to view complete history of this specific entity/person RENU KHANNA
  		DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

23-APR-2009 		PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION  
3
History of entity/person ADITYA MONEYCARE PVT.LTD.

(Member : VSE)  
  DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

22-MAR-2010 		PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 22/03/2010  
4
History of entity/person AGRAWAL & TIBREWAL

(Member : MGSE)  
Click here to view complete history of this specific entity/person SHIV KUMAR AGRAWAL
  		DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

23-APR-2009 		PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION  
5
History of entity/person AJAY JAIN,M/S

(Member : GSE)  
Click here to view complete history of this specific entity/person AJAY JAIN
  		DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

07-MAY-2009 		PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 07/05/2009  
6
History of entity/person AJAY KUMAR ARORA,M/S

(Member : ICSE)  
Click here to view complete history of this specific entity/person AJAY KUMAR ARORA
  		DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

09-JUN-2009 		PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 09/06/2009  
7
History of entity/person AJAY KUMAR GUPTA,M/S

(Member : UPSE)  
Click here to view complete history of this specific entity/person AJAY KUMAR GUPTA
  		DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

22-MAR-2010 		PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 22/03/2010  
8
History of entity/person AJOY BIJAPURKAR,M/S

(Member : BHSE)  
Click here to view complete history of this specific entity/person AJOY BIJAPURKAR
  		DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

22-MAR-2010 		PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 22/03/2010  
9
History of entity/person ALL TIME PORTFOLIO PVT.LTD.

(Member : LSE)  
  DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

28-OCT-2009 		 
10
History of entity/person AMIT KUMAR BAKLIWAL,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person AMIT KUMAR BAKLIWAL
  		DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

13-NOV-2009 		PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 13/11/2009  
11
History of entity/person AMIT SAHITA FINANCE PVT.LTD.

(Member : ICSE)  
  DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

09-JUN-2009 		PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 09/06/2009  
12
History of entity/person ANAND JALAN,M/S

(Member : ICSE)  
Click here to view complete history of this specific entity/person ANAND JALAN
  		DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

20-AUG-2009 		PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 20/08/2009  
13
History of entity/person ANANDI INVESTMENTS

(Member : ICSE)  
Click here to view complete history of this specific entity/person CHANDRA PRAKASH CHATURVEDI
  		DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

09-JUN-2009 		PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 09/06/2009  
14
History of entity/person ANANT PURENDER REDDY,M/S

(Member : HSE)  
Click here to view complete history of this specific entity/person ANANT PURENDER REDDY
  		DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

23-APR-2009 		PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION  
15
History of entity/person ANANTRAI DHANJIBHAI PATEL,M/S

(Member : SKSE)  
Click here to view complete history of this specific entity/person ANANTRAI DHANJIBHAI PATEL
  		DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

23-APR-2009 		PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION  
16
History of entity/person ANIL CHOUDHARY & CO.

(Member : MGSE)  
Click here to view complete history of this specific entity/person ANIL KUMAR CHOUDHARY
  		DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

23-APR-2009 		PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION  
17
History of entity/person ANIL K.GAKKHAR,M/S

(Member : LSE)  
Click here to view complete history of this specific entity/person ANIL K.GAKKHAR
  		DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

28-OCT-2009 		 
18
History of entity/person ANIL KISHORE NAVANDER,M/S

(Member : HSE)  
Click here to view complete history of this specific entity/person ANIL KISHORE NAVANDER
  		DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

23-APR-2009 		PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION  
19
History of entity/person ANIL KUMAR,M/S

(Member : MGSE)  
Click here to view complete history of this specific entity/person ANIL KUMAR
  		DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

23-APR-2009 		PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION  
20
History of entity/person ANIL M.SHAH,M/S

(Member : SKSE)  
Click here to view complete history of this specific entity/person ANIL M.SHAH
  		DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

23-APR-2009 		PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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