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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: SUSPENDED REGISTRATION AS SUB-BROKER

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person ADITYA CHATURVEDI,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person ADITYA CHATURVEDI
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010

SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010

07-DEC-2009 		 
2
History of entity/person ADMIRAL SECURITIES

(Sub-Broker of VSE SECURITIES LTD., Member : BSE,Member : VSE)  
  DID NOT EXERCISE DUE CARE AND SKILL IN DEALING WITH CLIENTS

OFFLOADED UNLISTED SHARES OF DESIGN AUTO SYSTEMS LTD. IN MARKET WITH ACTIVE CONNIVANCE OF COMPANY MANAGEMENT   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 03-JAN-2009 TO 09-JAN-2009

SUSPENDED REGISTRATION AS SUB-BROKER FROM 03-JAN-2009 TO 09-JAN-2009

12-DEC-2008 		 
3
History of entity/person ALOK KUMAR CHOWDHARY,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person ALOK KUMAR CHOWDHARY
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010

SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010

07-DEC-2009 		 
4
History of entity/person ANAND PRAKASH BATRA,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person ANAND PRAKASH BATRA
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010

SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010

07-DEC-2009 		 
5
History of entity/person APOORVA SECURITIES PVT.LTD.

(PAN:AACCA2937P)

(Sub-Broker of UPSE SECURITIES LTD., Member : BSE,Member : UPSE)  
  DID NOT ADHERE TO "KNOW YOUR CLIENT" DIRECTIVES/INSTRUCTIONS/GUIDELINES

DEFICIENCIES IN CLIENT DATABASE

DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS

DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK

INDULGED IN OFF-MARKET TRANSACTIONS

ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 28-NOV-2008 TO 27-JAN-2009

SUSPENDED REGISTRATION AS SUB-BROKER FROM 28-NOV-2008 TO 27-JAN-2009

07-NOV-2008 		 
6
History of entity/person ARUN ANAND,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person ARUN ANAND
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010

SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010

07-DEC-2009 		 
7
History of entity/person ARUN KUMAR JAIN,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person ARUN KUMAR JAIN
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010

SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010

07-DEC-2009 		 
8
History of entity/person ARVIND KUMAR GUPTA,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person ARVIND KUMAR GUPTA
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010

SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010

07-DEC-2009 		 
9
History of entity/person ASHOK ADVANI,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person ASHOK ADVANI
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010

SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010

07-DEC-2009 		 
10
History of entity/person ASHOK AGARWAL,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person ASHOK AGARWAL
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010

SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010

07-DEC-2009 		 
11
History of entity/person ASHWANI KUMAR,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person ASHWANI KUMAR
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010

SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010

07-DEC-2009 		 
12
History of entity/person BABU LAL AGRAWAL,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person BABU LAL AGRAWAL
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010

SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010

07-DEC-2009 		 
13
History of entity/person CHANDRA KANTA LODHA,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person CHANDRA KANTA LODHA
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010

SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010

07-DEC-2009 		 
14
History of entity/person CHANDRASHEKHAR CHAUDHRY,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person CHANDRASHEKHAR CHAUDHRY
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010

SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010

07-DEC-2009 		 
15
History of entity/person DHARM CHAND PATOLIA,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person DHARM CHAND PATOLIA
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010

SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010

07-DEC-2009 		 
16
History of entity/person DINESH CHAND GUPTA,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person DINESH CHAND GUPTA
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010

SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010

07-DEC-2009 		 
17
History of entity/person ESS ESS INTERMEDIARIES PVT.LTD.

(PAN:AAACE7722Q)

(Member : ASE,Sub-Broker of ASE CAPITAL MARKETS LTD., Member : BSE)  
  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF ADANI EXPORTS LTD.

DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1), A(3) TO A(5) OF CODE OF CONDUCT FOR SUB-BROKERS UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF ADANI EXPORTS LTD. (NOW KNOWN AS ADANI ENTERPRISES LTD.)   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-MAY-2012 TO 23-JUL-2012

SUSPENDED REGISTRATION AS SUB-BROKER FROM 24-MAY-2012 TO 23-JUL-2012

03-MAY-2012 		 
18
History of entity/person GARG FINCAP LTD.

(Member : LSE)  
  DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010

SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010

07-DEC-2009 		 
19
History of entity/person GEETA SHARE ENTERPRISES

(Member : UPSE,Sub-Broker of UPSE SECURITIES LTD., Member : BSE)  
  COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES

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

INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS

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

DEFICIENCIES IN CLIENT DATABASE

DID NOT MAKE PAYMENTS TO CLIENTS IN TIME

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DID NOT REDRESS INVESTOR COMPLAINTS   		SUSPENDED REGISTRATION AS SUB-BROKER FROM 09-NOV-2004 TO 08-MAY-2005

SUSPENDED REGISTRATION AS STOCK BROKER FROM 09-NOV-2004 TO 08-MAY-2005

19-OCT-2004 		 
20
History of entity/person GEORGE ANTONY,M/S

(Member : COCSE)  
Click here to view complete history of this specific entity/person GEORGE ANTONY
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010

SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010

07-DEC-2009 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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