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January 19, 2005
PR No.
14/2005
Registration of six stock brokers of UPSE, cancelled
Securities and Exchange Board of India (SEBI) has passed order dated January 14, 2005 cancelling the certificate of registration of the following six stock brokers with immediate effect:
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Sr.
No.
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Name
of the broker
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SEBI
Regn. No.
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1
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Shri
Rajendra Kumar Gupta
Trade
Name: M/s. Rajendra K.
Gupta & Co.
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INB101089010
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2
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M/s.
Sridhar Financial
Services Ltd.
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INB100851633
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3
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Smt.
Sarla Jauhari
Trade
Name: M/s. Sarla Jauhari
Investment Co.
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INB100968011
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4
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Shri
Arun Kumar Goel
Trade
Name: M/s. Arun Goel
& Co.
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INB100518716
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5
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Shri
Sanjay Kumar Dwivedi
Trade
Name: M/s. Vidya Raj
& Co.
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INB101054915
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6
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Shri
Sanjeev Kumar Tiwari
Trade
Name: M/s. Mamta
Investors
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INB100372712
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The aforesaid six stock brokers were declared defaulters by Uttar Pradesh Stock Exchange (UPSE) and ceased to be member of the Exchange, thereby failed to fulfill the pre-requisite condition of registration as stock broker with SEBI. The registration has been cancelled in terms of Sub-Regulation (5) of Regulation 16 of SEBI (Procedure for Holding Enquiry by Enquiry Officer and Imposing Penalty) Regulations, 2002.
Mumbai
January 19, 2005
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