May 31, 2007
PR No. 178/2007
Registrations of two stock brokers, suspended
Shri V.K.Chopra, Whole Time Member, SEBI has passed an order dated May 09, 2007 suspending the certificates of registration of the following two stock brokers for a period of six months or till the time the brokers pay the fees, whichever is later:
|
Sr.
No.
|
Name
of Broker
|
SEBI
Registration No.
|
Name
of Stock Exchange
|
|
1
|
Anice
Kurian M
|
INB090281715
|
Cochin
Stock
Exchange
|
|
2
|
Aleyamma
Thomas
|
INB090294115
|
Cochin
Stock
Exchange
|
The aforesaid stock brokers have failed to pay the required fees and have thereby contravened the provisions of Regulation 10 read with Schedule III of the SEBI (Stock Broker and Sub-broker) Regulations, 1992. These registrations have been suspended in terms of Sub-Regulations (5) and (6) of Regulation 16 of SEBI (Procedure for Holding Enquiry by Enquiry Officer and Imposing Penalty) Regulations, 2002 for a period of six months or till the time the brokers pay the fees, whichever is later.
The order shall come into force on the expiry of 21 days from the date of the order.
Mumbai
May 31, 2007
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