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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 FULFIL UNDERWRITING OBLIGATIONS

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

(Member : DSE)  
  DID NOT FULFILL UNDERWRITING OBLIGATION IN PUBLIC ISSUE OF KANAN STEELS LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

21-NOV-2000 		 
2
History of entity/person JALAN & CO.

(Member : DSE)  
Click here to view complete history of this specific entity/person SAT NARAIN JALAN
  		DID NOT FULFILL UNDERWRITING OBLIGATION   SUSPENDED REGISTRATION AS STOCK BROKER FOR UNDERWRITING FROM 23-APR-2002 TO 22-JUL-2002

10-MAY-2002 		 
3
History of entity/person R.S.GUPTA & CO.

(Member : DSE)  
  DID NOT FULFILL UNDERWRITING OBLIGATION IN PUBLIC ISSUES OF PITTIE CEMENTS & INDUSTRIES LTD., AMAJIN AGRO EXPORTS LTD. AND PASUPATI FABRICS LTD.   CANCELLED REGISTRATION AS STOCK BROKER FOR UNDERWRITING

24-NOV-2000 		 
4
History of entity/person S.V.VAKHARIA

(Member : BSE)  
  DID NOT FULFILL UNDERWRITING OBLIGATION IN PUBLIC ISSUES OF RITESH POLYESTERS LTD.   SUSPENDED REGISTRATION AS STOCK BROKER FOR UNDERWRITING FROM 09-JUN-1997 TO 08-JUN-1999

09-JUN-1997 		 
5
History of entity/person SAHIL SECURITIES LTD.

(PAN:AAACS3727P)

(Member : DSE)  
  DID NOT FULFILL UNDERWRITING OBLIGATION IN PUBLIC ISSUES OF PITTIE CEMENTS & INDUSTRIES LTD., KANAN STEELS LTD. AND AMAJIN EXPORTS LTD.   CANCELLED REGISTRATION AS STOCK BROKER FOR UNDERWRITING

03-NOV-2000 		 
6
History of entity/person SHRIYAM BROKING INTERMEDIARY LTD.

(Member : BSE)  
  DID NOT FULFILL UNDERWRITING OBLIGATION   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

28-MAR-2002 		 
7
History of entity/person SUMANGAL & CO.

(Member : DSE)  
Click here to view complete history of this specific entity/person SURENDRA GUPTA
  		DID NOT FULFILL UNDERWRITING OBLIGATION IN PUBLIC ISSUE OF AMAJIN EXPORTS LTD.   SUSPENDED REGISTRATION AS STOCK BROKER FOR UNDERWRITING FROM 25-JUL-2000 TO 24-JAN-2001

07-AUG-2000 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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