| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
A.A.DOSHI SHARE & STOCK BROKERS LTD.
(Member : BSE)
|
|
|
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
DEALT WITH UN-REGISTERED SUB-BROKERS
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
28-DEC-2005
|
|
| 2 |
|
|
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
|
|
| 3 |
|
|
A.K.AGARWAL & CO.
(Member : JSE)
|
|
|
|
ASHOK KUMAR AGARWAL
|
|
DEFAULTED IN MAINTENANCE OF SAUDA BOOK
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT RECTIFY BAD DELIVERIES IN TIME
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
06-JAN-2000
|
|
| 4 |
|
|
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
|
|
| 5 |
|
|
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
|
|
| 6 |
|
|
ACTIVE FINSTOCK PVT.LTD.
(Member : BSE)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENTS' SECURITIES AND OWN SECURITIES
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
|
IMPOSED PENALTY RS.1,00,000
29-JAN-2007
|
SAT: DIRECTED SEBI TO WITHDRAW IMPUGNED ORDER OR APPOINT NEW ADJUDICATION OFFICER TO ISSUE NOTICE TO THE APPLICANT
SAT: APPEAL ALLOWED AND IMPUGNED ORDER SET ASIDE, WITH NO ORDER AS TO COSTS
|
| 7 |
|
|
ADOLF PATRICK PINTO,M/S
(Member : BSE)
|
|
|
|
ADOLF PATRICK PINTO
|
|
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT REDRESS INVESTOR COMPLAINTS
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
17-MAY-2000
|
|
| 8 |
|
|
AGBROS SECURITIES PVT.LTD.
(Member : CSE)
|
|
|
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER
DID NOT TRANSFER SECURITIES FROM POOL ACCOUNT TO CLIENTS' ACCOUNT IN TIME
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
SUBMITTED WRONG INFORMATION TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 14-MAY-2003 TO 13-FEB-2004
23-APR-2003
|
|
| 9 |
|
|
AJAY S.SHAH,M/S
(Member : PSE)
|
|
|
|
AJAY S.SHAH
|
|
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
02-FEB-2000
|
|
| 10 |
|
|
ALKA SECURITIES LTD.
(PAN:AAACA4835E)
(Member : NSE)
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE IN CONDUCT OF ITS BUSINESS AS A BROKER
DEALT WITH UNREGISTERED ENTITIES
PERMITTED TRADING TERMINALS AT UNAUTHORISED LOCATIONS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DEFAULTED IN MAINTENANCE OF SAUDA BOOK
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-JAN-2010
30-OCT-2009
|
SAT: APPEAL DISMISSED WITH NO ORDER AS TO COSTS
|
| 11 |
|
|
ANIL DHAWAN & CO.
(Member : DSE)
|
|
|
|
ANIL DHAWAN
|
|
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
ILLEGAL AND UNAUTHORIZED GRANT OF TRADING TERMINAL TO CLIENT
DID NOT ISSUE CONTRACT NOTES
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 04-JUN-2008 TO 10-JUN-2008
14-MAY-2008
|
|
| 12 |
|
|
ANJAN KUMAR TEKRIWAL,M/S
(Member : MGSE)
|
|
|
|
ANJAN KUMAR TEKRIWAL
|
|
DID NOT ISSUE CONTRACT NOTES
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN SEPARATE CLIENT ACCOUNT
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT PAY FEES TO SEBI
DID NOT MEET CAPITAL ADEQUACY REQUIREMENT
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-1998 TO 30-NOV-1998
25-AUG-1998
|
|
| 13 |
|
|
ANNALS SHARE & STOCK PVT.LTD.
(Member : ASE)
|
|
|
DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
EXECUTED FICTITIOUS TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 18-FEB-2002 TO 17-APR-2002
11-FEB-2002
|
|
| 14 |
|
|
ANSH PORTFOLIO KENDRA PVT.LTD.
(Member : DSE)
|
|
|
|
SHANKAR SOMANI
|
|
|
SUNIL KUMAR GUPTA
|
|
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
INDULGED IN OFF-THE-FLOOR TRANSACTIONS
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 03-DEC-2003 TO 03-JAN-2004
12-NOV-2003
|
SAT: ORDER MODIFIED AND APPEAL DISPOSED OFF
|
| 15 |
|
|
ANUGRAH STOCK & BROKING PVT.LTD.
(PAN:AAACW2920N)
(Depository Participants : CDSL,Member : NSE/BSE/MSEI)
|
|
|
|
PARESH MULJI KARIYA
PAN:AAEPK0469M
|
|
|
SADHANA PARESH KARIYA
PAN:AJHPK6018N
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT MAINTAIN BOOKS OF ACCOUNT AND OTHER DOCUMENTS
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
PROMISED ASSURED RETURNS TO CLIENTS
DEFAULTED IN MAINTENANCE OF CLIENT LEDGER
INDULGED IN MANIPULATIVE, FRAUDULENT OR DECEPTIVE SCHEMES WHILE DEALING IN SECURITIES MARKET
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2023 TO 27-FEB-2030
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-FEB-2023 TO 27-FEB-2030
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
IMPOSED PENALTY RS.4,00,00,000
28-FEB-2023
|
SAT: SAT VIDE ITS ORDER DATED 24/10/2024 GRANTED APPELLANTS FOUR WEEKS TO FILE REJOINDER
|
| 16 |
|
|
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
|
|
| 17 |
|
|
APS CAPITAL SERVICES PVT.LTD.
(Member : PSE)
|
|
|
DID NOT ADHERE TO "KNOW YOUR CLIENT" DIRECTIVES/INSTRUCTIONS/GUIDELINES
DID NOT COLLECT MARGINS FROM CLIENTS
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
INDULGED IN UNAUTHORISED FUND-BASED ACTIVITIES
INDULGED IN OFF-THE-FLOOR TRANSACTIONS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
16-JAN-2008
|
|
| 18 |
|
|
ARCHANA KHANDELWAL,M/S
(Member : CSE)
|
|
|
|
ARCHANA KHANDELWAL
|
|
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
DID NOT COLLECT MARGINS FROM CLIENTS
EXECUTED NEGOTIATED DEALS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-JUN-2006 TO 31-AUG-2006
11-MAY-2006
|
|
| 19 |
|
|
ARULRAJ & CO.
(Member : BGSE)
|
|
|
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DID NOT ISSUE CONTRACT NOTES
INDULGED IN OFF-THE-FLOOR TRANSACTIONS
INDULGED IN GALA TRANSACTIONS
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT REDRESS INVESTOR COMPLAINTS
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 26-FEB-1998
04-MAR-1998
|
|
| 20 |
|
|
ASHOK KUMAR KISHORILAL DAMANI,M/S
(Member : NSE)
|
|
|
|
ASHOK KUMAR KISHORILAL DAMANI
|
|
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
DEFAULTED IN MAINTENANCE OF ORDER CONFIRMATION SLIP
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT ADHERE TO "KNOW YOUR CLIENT" DIRECTIVES/INSTRUCTIONS/GUIDELINES
USED CLIENTS' ACCOUNT FOR PAYMENT OF OWN OBLIGATIONS
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
13-JAN-2006
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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