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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: VIOLATED SEBI ACT, 1992

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
  		VIOLATED SECTION 24 (2) OF SEBI ACT, 1992   PROSECUTION LAUNCHED

31-MAR-2010 		CONVICTION  
2
History of entity/person FIRST GLOBAL STOCKBROKING PVT.LTD.

(PAN:AAACF0661K)

(Member : NSE)  
Click here to view complete history of this specific entity/person DEVINA MEHRA
Click here to view complete history of this specific entity/person SHANKAR SHARMA
  		VIOLATED SEBI (PFUTP) REGULATIONS, 1995

VIOLATED SECTION 11 (3) OF SEBI ACT, 1992

ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SEBI (PORTFOLIO MANAGERS) REGULATIONS, 1993   		PROSECUTION LAUNCHED

15-MAY-2006 		 
3
History of entity/person HARISH CHANDRA BIYANI,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person HARISH CHANDRA BIYANI
  		VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956

VIOLATED SEBI (PFUTP) REGULATIONS, 1995

VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995

VIOLATED RULE 4 OF SEBI (STOCK BROKERS & SUB BROKERS) RULES, 1992

VIOLATED REGULATION 7 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 24 OF SEBI ACT, 1992   		PROSECUTION LAUNCHED

15-MAY-2006 		 
4
History of entity/person HOFFLAND FINANCE LTD.

(Member : BGSE/JSE)  
Click here to view complete history of this specific entity/person A.SUBBA RAO
Click here to view complete history of this specific entity/person BRIJ BHUSHAN SHARMA
Click here to view complete history of this specific entity/person BRIJ KISHORE KAPUR
Click here to view complete history of this specific entity/person JAGDISH NARAYAN
Click here to view complete history of this specific entity/person M.N.PADAM
Click here to view complete history of this specific entity/person NAVEEN CHANDRA PANDEY
Click here to view complete history of this specific entity/person NAVIN PANDEY
Click here to view complete history of this specific entity/person PRAMODH KAPUR
Click here to view complete history of this specific entity/person SURAJ PAL SHARMA
  		VIOLATED SECTION 26 OF SEBI ACT, 1992

VIOLATED SEBI ACT, 1992

VIOLATED SEBI (PORTFOLIO MANAGERS) REGULATIONS, 1993

ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SEBI (PFUTP) REGULATIONS, 1995

VIOLATED SEBI (MERCHANT BANKER) REGULATIONS, 1992   		PROSECUTION LAUNCHED

15-MAY-2006 		A1 AND A2 CONVICTED. A3 ACQUITTED. A4 EXPIRED, THUS, PROCEEDINGS ABATED. PROCEEDINGS AGAINST A5 QUASHED. A6 DECLARED PO. A7 COMPOUNDED (VIDE ORDER DT.21.02.2008). FILE BE CONSIGNED TO RECORD ROOM

A1 AND A2 CONVICTED. A3 ACQUITTED. A4 EXPIRED, THUS, PROCEEDINGS ABATED. PROCEEDINGS AGAINST A5 QUASHED. A6 DECLARED PO. A7 COMPOUNDED (VIDE ORDER DT.21.02.2008). FILE BE CONSIGNED TO RECORD ROOM.  
5
History of entity/person JYOTISH BHOGILAL STOCK BROKERS PVT.LTD.

(PAN:AAACJ5486G)

(Member : ASE)  
Click here to view complete history of this specific entity/person JYOTISH BHOGILAL SHAH
Click here to view complete history of this specific entity/person MEENA JYOTISH SHAH
Click here to view complete history of this specific entity/person RAMNIK N.VYAS
Click here to view complete history of this specific entity/person SHAILESH S.JHAVERI
  		VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992   		PROSECUTION LAUNCHED

15-MAY-2006 		THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.85,000 BY THE ACCUSED TO SEBI  
6
History of entity/person KARVY STOCK BROKING LTD.

(PAN:AABCK5190K)

(Member : BSE/NSE/HSE)  
Click here to view complete history of this specific entity/person BHUPENDRA T.JOSHI
Click here to view complete history of this specific entity/person COMANDUR PARTHASARATHY

PAN:AAFPC7617L
Click here to view complete history of this specific entity/person GAUTAMBHAI KARSANBHAI PATEL
Click here to view complete history of this specific entity/person HEMLATABEN VINUBHAI PATEL
Click here to view complete history of this specific entity/person JAGDISHBHAI GOVINDLAL SHETH
Click here to view complete history of this specific entity/person KIRITBEN RAJESH PATEL
Click here to view complete history of this specific entity/person M.S.RAMAKRISHNA
Click here to view complete history of this specific entity/person M.YAGUANDHAR
Click here to view complete history of this specific entity/person MANHARLAL KANTALILAL KOTADIA
Click here to view complete history of this specific entity/person NILESH RAMANLAL SHAH
Click here to view complete history of this specific entity/person RAJESH KUMAR VITHABHAI PATEL
Click here to view complete history of this specific entity/person RAKESH SURESHCHANDRA SHAH
Click here to view complete history of this specific entity/person SOAYUBEN H.VORA
Click here to view complete history of this specific entity/person VIPINCHANDRA GORDHANBHAI PATEL
  		FILED APPLICATION FOR SUBSCRIPTION AND/OR ACQUISITION OF SHARES IN FICTITIOUS NAME

VIOLATED SECTION 12A OF SEBI ACT.,1992

VIOLATED SECTION 24 (1) OF SEBI ACT, 1992   		PROSECUTION LAUNCHED

15-MAY-2006 		 
7
History of entity/person POPULAR STOCK & SHARE SERVICES LTD.

(Member : NSE/OTC)  
Click here to view complete history of this specific entity/person ARVIND YASHWANT TAMHANE
Click here to view complete history of this specific entity/person S.S.KARKHANIS
Click here to view complete history of this specific entity/person SANDHYA KARKHANIS
Click here to view complete history of this specific entity/person VINAYAK MADHUKAR KULKARNI
  		VIOLATED SECTION 24 OF SEBI ACT, 1992

VIOLATED SEBI (PORTFOLIO MANAGERS) REGULATIONS, 1993   		PROSECUTION LAUNCHED

15-MAY-2006 		 
8
History of entity/person SANJAY BIYANI,M/S

(Member : MPSE)  
Click here to view complete history of this specific entity/person SANJAY BIYANI
  		VIOLATED SECTION 24 (2) OF SEBI ACT, 1992   PROSECUTION LAUNCHED

31-MAR-2010 		THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.67,000.00  
9
History of entity/person YOKE SECURITIES LTD.

(Member : NSE/BSE/OTC)  
  ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS

ALLEGED VIOLATION OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992

ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

ALLEGED VIOLATION OF SEBI ACT, 1992   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)

20-MAY-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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