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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: FAILED TO PAY PENALTY

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

(Member : CSE)  
Click here to view complete history of this specific entity/person BALLABH DASS DAGA
  		FAILED TO PAY PENALTY   PROSECUTION LAUNCHED

31-MAR-2014 		CONVICTION  
2
History of entity/person JUGGONPRASAD BAIJNATH,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person JUGGONPRASAD BAIJNATH
Click here to view complete history of this specific entity/person MOHANLAL L.NATHANY
  		FAILED TO PAY PENALTY   PROSECUTION LAUNCHED

15-MAY-2006 		 
3
History of entity/person M.BHIWANIWALA & CO.

(Member : CSE)  
Click here to view complete history of this specific entity/person MADHU BHIWANIWALA
  		FAILED TO PAY PENALTY   PROSECUTION LAUNCHED

31-MAR-2014 		WITHDRAWN  
4
History of entity/person MUKESH DOKANIA & CO.

(Member : CSE)  
Click here to view complete history of this specific entity/person MUKESH DOKANIA
  		FAILED TO PAY PENALTY   PROSECUTION LAUNCHED

31-MAR-2014 		RS.5,19,384.00 TOWARDS INTEREST AND LEGAL COSTS  
5
History of entity/person P.K.AGARWAL & CO.

(Member : CSE)  
  FAILED TO PAY PENALTY   PROSECUTION LAUNCHED

31-MAR-2014 		COMPOUNDED ON PYMENT OF LEGAL COSTS OF RS.67,000.00  
6
History of entity/person RAJENDRA PRASAD SHAH,M/S

(PAN:AKUPS5078C)

(Member : CSE)  
Click here to view complete history of this specific entity/person RAJENDRA PRASAD SHAH

PAN:AKUPS5078C
  		FAILED TO PAY PENALTY   PROSECUTION LAUNCHED

31-MAR-2014 		LEGAL COSTS OF RS.67,000.00

COMPOUNDED ON PAYMENT OF LEGAL COST RS.67,000.00  
7
History of entity/person S.K.KHEMKA,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person S.K.KHEMKA
  		FAILED TO PAY PENALTY   PROSECUTION LAUNCHED

31-MAR-2014 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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