| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
A & P CAPITAL SERVICES PVT.LTD.
(Member : COCSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 2 |
|
|
A.G.SHARES & SECURITIES LTD.
(PAN:AAACA7646M)
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
SAT: APPEAL FOR CONDONATION OF DELAY REJECTED. APPEAL DISMISSED WITH NO ORDER AS TO COSTS
SAT: APPEAL FOR CONDONATION OF DELAY DISMISSED WITH NO ORDER AS TO COSTS
|
| 3 |
|
|
A.JAIN & CO.PVT.LTD.
(Member : DSE)
|
|
|
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DEFAULTED IN MAINTENANCE OF STOCK REGISTER
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 13-MAR-2003 TO 12-SEP-2003
07-MAR-2003
|
|
| 4 |
|
|
A.K.FINANCIAL CO.
(Along with : ANJANI KUMAR SINGH,M/S)
|
|
|
|
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
|
|
| 5 |
|
|
A.K.JAIN & CO.
(Member : JSE)
|
|
|
DID NOT ISSUE CONTRACT NOTES
INDULGED IN OFF-MARKET TRANSACTIONS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT REDRESS INVESTOR COMPLAINTS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-FEB-1998 TO 13-MAR-1998
28-JAN-1998
|
|
| 6 |
|
|
A.K.STOCK BROKING SERVICES PVT.LTD.
(Member : CSE)
|
|
|
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
|
| 7 |
|
|
A.KATHIR KAMANATHAN,M/S
(Member : CMBSE)
|
|
|
|
A.KATHIR KAMANATHAN
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 8 |
|
|
A.KHEEMRAJ,M/S
(Member : BGSE)
|
|
|
|
A.KHEEMRAJ
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 9 |
|
|
A.M.& CO.
(Member : UPSE)
|
|
|
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
DID NOT OBTAIN WRITTEN CONSENT FROM CLIENTS FOR PRINCIPAL TO PRINCIPAL TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 15-JAN-1998 TO 14-MAR-1998
31-DEC-1997
|
|
| 10 |
|
|
A.MANOHARAN,M/S
(Member : MDSE)
|
|
|
|
A.MANOHARAN
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 11 |
|
|
A.N.PRASAD,M/S
(Member : OTC)
|
|
|
|
A.N.PRASAD
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 12 |
|
|
A.NITIN CAPITAL SERVICES LTD.
(Member : DSE)
|
|
|
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DID NOT AFFIX STAMPS ON CONTRACT NOTES
ALLOTTED SERIAL NUMBERS ON CONTRACT NOTES ON DAILY BASIS INSTEAD OF YEARLY BASIS
DISCREPANCIES IN REGISTER OF TRANSACTIONS OF CONTRACT NOTES
COMMITTED IRREGULARITIES IN MAINTENANCE OF COUNTERFOILS OR DUPLICATES OF CONTRACT NOTES
DID NOT OBTAIN ACKNOWLEDGEMENT FROM CLIENTS
DID NOT REDRESS INVESTOR COMPLAINTS
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
FAILED TO SUBMIT AUDIT REPORT TO THE EXCHANGE ON DUE DATE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 10-JUL-2007 TO 09-AUG-2007
19-JUN-2007
|
|
| 13 |
|
|
A.NITIN CAPITAL SERVICES LTD.
(Member : DSE)
|
|
|
INDULGED IN PRICE MANIPULATION AND CREATION OF ARTIFICIAL MARKET IN SCRIP OF SHONKH TECHNOLOGIES INTERNATIONAL LTD.
VIOLATED SEBI CODE OF CONDUCT
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 14-JUN-2007 TO 13-AUG-2007
24-MAY-2007
|
|
| 14 |
|
|
A.RAJAGOPALAN,M/S
(Member : ICSE)
|
|
|
|
A.RAJAGOPALAN
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 15 |
|
|
A.S.KUMAR,M/S
(Member : OTC)
|
|
|
|
A.S.KUMAR
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 16 |
|
|
A.S.MERCHANT,M/S
(Member : COCSE)
|
|
|
|
A.S.MERCHANT
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-MAR-2010
08-MAR-2010
|
|
| 17 |
|
|
A.S.P.INVESTMENTS 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
|
|
| 18 |
|
|
A.ULAGAMMAI,M/S
(Member : CMBSE)
|
|
|
|
A.ULAGAMMAI
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 19 |
|
|
A.V.S.LEASING 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
|
|
| 20 |
|
|
A.VENKAT N.REDDY,M/S
(Member : OTC)
|
|
|
|
A.VENKAT N.REDDY
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 1 of 107
|
