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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.

SUB-BROKERS: DID NOT OBTAIN WRITTEN CONSENT OF CLIENTS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person MANSUKHLAL JAGABHAI TANTI,M/S

(Sub-Broker of SKSE SECURITIES LTD., Member : BSE)  
Click here to view complete history of this specific entity/person MANSUKHLAL JAGABHAI TANTI
  		COMMITTED IRREGULARITIES/DEFAULTED IN ISSUANCE OF CONFIRMATION MEMOS

DEFICIENCIES IN MEMBER-CLIENT AGREEMENTS

DID NOT MAINTAIN CLIENT REGISTRATION FORMS

DID NOT OPEN SEPARATE CLIENT'S BANK ACCOUNTS

DID NOT DELIVER SECURITIES TO CLIENTS IN TIME

DID NOT MAKE PAYMENTS TO CLIENTS IN TIME

DID NOT OBTAIN WRITTEN CONSENT FROM CLIENTS FOR MAINTAINING RUNNING ACCOUNT

DEALT IN CASH WITH CLIENTS   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

30-DEC-2005 		 
2
History of entity/person RAJENDRA R.MEHTA,M/S

(Sub-Broker of SKSE SECURITIES LTD., Member : BSE)  
Click here to view complete history of this specific entity/person RAJENDRA R.MEHTA
  		COMMITTED IRREGULARITIES/DEFAULTED IN ISSUANCE OF CONFIRMATION MEMOS

DEFICIENCIES IN MEMBER-CLIENT AGREEMENTS

DID NOT MAINTAIN CLIENT REGISTRATION FORMS

DID NOT OPEN SEPARATE CLIENT'S BANK ACCOUNTS

DID NOT DELIVER SECURITIES TO CLIENTS IN TIME

DID NOT MAKE PAYMENTS TO CLIENTS IN TIME

DID NOT OBTAIN WRITTEN CONSENT FROM CLIENTS FOR MAINTAINING RUNNING ACCOUNT

PAID BROKERAGE TO CLIENTS AND VIOLATED CODE OF CONDUCT OF STOCK BROKER REGULATIONS

GAVE SHORT TERM LOANS TO SUB-BROKERS   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

30-DEC-2005 		 
3
History of entity/person S.R.AGARWAL & CO.

(Sub-Broker of VSE SECURITIES LTD., Member : BSE)  
  DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DID NOT OBTAIN WRITTEN CONSENT FROM CLIENTS FOR MAINTAINING RUNNING ACCOUNT

DEALT IN CASH WITH CLIENTS

DID NOT DELIVER SECURITIES TO CLIENTS IN TIME

DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE

DID NOT MAINTAIN CLIENT AGREEMENTS

DID NOT MAINTAIN CLIENT REGISTRATION FORMS

PERMITTED TRADING TERMINALS AT UNAUTHORISED LOCATIONS

DEALT WITH UNREGISTERED ENTITIES   		SUSPENDED REGISTRATION AS SUB-BROKER FROM 07-FEB-2006 TO 06-AUG-2006

17-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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