| 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.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
|
|
| 4 |
|
|
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
|
| 5 |
|
|
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
|
|
| 6 |
|
|
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
|
|
| 7 |
|
|
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
|
|
| 8 |
|
|
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
|
|
| 9 |
|
|
A.N.PRASAD,M/S
(Member : OTC)
|
|
|
|
A.N.PRASAD
|
|
DID NOT PAY FEES TO SEBI
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 23-JAN-2008
23-JAN-2008
|
|
| 10 |
|
|
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
|
|
| 11 |
|
|
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
|
|
| 12 |
|
|
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
|
|
| 13 |
|
|
A.S.MERCHANT,M/S
(Member : COCSE)
|
|
|
|
A.S.MERCHANT
|
|
DID NOT PAY FEES TO SEBI
|
SHOW CAUSE NOTICE ISSUED
09-NOV-2009
|
|
| 14 |
|
|
A.S.P.INVESTMENTS & CO.
(Member : MGSE)
|
|
|
|
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
|
| 15 |
|
|
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
|
|
| 16 |
|
|
A.S.P.INVESTMENTS LTD.
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 23-JAN-2008
23-JAN-2008
|
|
| 17 |
|
|
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
|
|
| 18 |
|
|
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
|
|
| 19 |
|
|
A.VENKAT N.REDDY,M/S
(Member : OTC)
|
|
|
|
A.VENKAT N.REDDY
|
|
DID NOT PAY FEES TO SEBI
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 23-JAN-2008
23-JAN-2008
|
|
| 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 104
|
