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Regulatory Actions Covered By This Website

REGULATORY ACTIONS IN CHRONOLOGICAL ORDER

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.

PERSON

S.
No.		 DATE OF ORDER PERSON ENTITY COMPETENT AUTHORITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
61 08-DEC-2009
History of entity/person   P.K.KUMARASWAMY 
History of entity/person SOWMYAM SECURITIES PVT.LTD.
  		ISE  DID NOT PAY ANNUAL SUBSCRIPTION CHARGES TO STOCK EXCHANGE  DECLARED DEFAULTER BY STOCK EXCHANGE

08-DEC-2009 		 
62 08-DEC-2009
History of entity/person   PRAKASH KUMAR BACHAWAT 
History of entity/person AASTHA CONSULTANTS
  		ISE  DID NOT PAY ANNUAL SUBSCRIPTION CHARGES TO STOCK EXCHANGE  DECLARED DEFAULTER BY STOCK EXCHANGE

08-DEC-2009 		 
63 08-DEC-2009
History of entity/person   PRATIMA NANJI DAMA 
History of entity/person PAYAL INVESTMENT
  		ISE  FAILED TO MAINTAIN THE REQUIRED BASE MINIMUM CAPITAL (BMC) WITH THE EXCHANGE  DECLARED DEFAULTER BY STOCK EXCHANGE

08-DEC-2009 		 
64 08-DEC-2009
History of entity/person   PRAVESH BERIA 
History of entity/person CHECKMATE SECURITIES PVT.LTD.
  		ISE  DID NOT PAY DUES PAYABLE TO STOCK EXCHANGE  DECLARED DEFAULTER BY STOCK EXCHANGE

08-DEC-2009 		 
65 08-DEC-2009
History of entity/person   PRERNA CHOUDHARY 
History of entity/person SKC SECURITIES
  		ISE  FAILED TO MAINTAIN THE REQUIRED BASE MINIMUM CAPITAL (BMC) WITH THE EXCHANGE  DECLARED DEFAULTER BY STOCK EXCHANGE

08-DEC-2009 		 
66 08-DEC-2009
History of entity/person   RAJEEV BERI 
History of entity/person R.S.PORTFOLIO PVT.LTD.
  		ISE  DID NOT PAY ANNUAL SUBSCRIPTION CHARGES TO STOCK EXCHANGE  DECLARED DEFAULTER BY STOCK EXCHANGE

08-DEC-2009 		 
67 08-DEC-2009
History of entity/person   RAMAWATAR RAJGARHIA 
History of entity/person NICE STOCK & SECURITIES PVT.LTD.
  		ISE  FAILED TO MAINTAIN THE REQUIRED BASE MINIMUM CAPITAL (BMC) WITH THE EXCHANGE  DECLARED DEFAULTER BY STOCK EXCHANGE

08-DEC-2009 		 
68 08-DEC-2009
History of entity/person   RAMESH KUMAR JETHMALJI MANTRI 
History of entity/person RADHEYA SECURITIES
  		ISE  DID NOT PAY ANNUAL SUBSCRIPTION CHARGES TO STOCK EXCHANGE  DECLARED DEFAULTER BY STOCK EXCHANGE

08-DEC-2009 		 
69 08-DEC-2009
History of entity/person   RAVI BHATIA 
History of entity/person RAJSONS STOCK & SECURITIES PVT.LTD.
  		ISE  FAILED TO MAINTAIN THE REQUIRED BASE MINIMUM CAPITAL (BMC) WITH THE EXCHANGE  DECLARED DEFAULTER BY STOCK EXCHANGE

08-DEC-2009 		 
70 08-DEC-2009
History of entity/person   RITESH JAIN 
History of entity/person HANSPLAZA TRACON PVT.LTD.
  		ISE  DID NOT PAY ANNUAL SUBSCRIPTION CHARGES TO STOCK EXCHANGE  DECLARED DEFAULTER BY STOCK EXCHANGE

08-DEC-2009 		 
71 08-DEC-2009
History of entity/person   ROHIT CHOUDHARY 
History of entity/person M.M.FINANCIAL SERVICES
  		ISE  FAILED TO MAINTAIN THE REQUIRED BASE MINIMUM CAPITAL (BMC) WITH THE EXCHANGE  DECLARED DEFAULTER BY STOCK EXCHANGE

08-DEC-2009 		 
72 08-DEC-2009
History of entity/person   SANDEEP KR.THARAD 
History of entity/person COMPUWIZ SECURITIES PVT.LTD.
  		ISE  FAILED TO MAINTAIN THE REQUIRED BASE MINIMUM CAPITAL (BMC) WITH THE EXCHANGE  DECLARED DEFAULTER BY STOCK EXCHANGE

08-DEC-2009 		 
73 08-DEC-2009
History of entity/person   SANGITA PRASAD 
History of entity/person KUMAR & CO.
  		ISE  DID NOT PAY ANNUAL SUBSCRIPTION CHARGES TO STOCK EXCHANGE  DECLARED DEFAULTER BY STOCK EXCHANGE

08-DEC-2009 		 
74 08-DEC-2009
History of entity/person   SANJEEV KUMAR JHA 
  ISE  DID NOT PAY ANNUAL SUBSCRIPTION CHARGES TO STOCK EXCHANGE  DECLARED DEFAULTER BY STOCK EXCHANGE

08-DEC-2009 		 
75 08-DEC-2009
History of entity/person   SANJEEV SACHDEVA 
History of entity/person GEE CAPITAL SERVICES
  		ISE  FAILED TO MAINTAIN THE REQUIRED BASE MINIMUM CAPITAL (BMC) WITH THE EXCHANGE  DECLARED DEFAULTER BY STOCK EXCHANGE

08-DEC-2009 		 
76 08-DEC-2009
History of entity/person   SANTOSH KUMAR GUPTA 
History of entity/person S.KUMAR & CO.
  		ISE  DID NOT PAY ANNUAL SUBSCRIPTION CHARGES TO STOCK EXCHANGE  DECLARED DEFAULTER BY STOCK EXCHANGE

08-DEC-2009 		 
77 08-DEC-2009
History of entity/person   SAROJ KUMAR JAIN 
History of entity/person S.K.JAIN & CO.
  		ISE  DID NOT PAY ANNUAL SUBSCRIPTION CHARGES TO STOCK EXCHANGE  DECLARED DEFAULTER BY STOCK EXCHANGE

08-DEC-2009 		 
78 08-DEC-2009
History of entity/person   SHAKIL YUSUF KOCHRA 
History of entity/person DOVE INVESTMENT & SECURITIES
  		ISE  FAILED TO MAINTAIN THE REQUIRED BASE MINIMUM CAPITAL (BMC) WITH THE EXCHANGE  DECLARED DEFAULTER BY STOCK EXCHANGE

08-DEC-2009 		 
79 08-DEC-2009
History of entity/person   SHASHI JAIN 
History of entity/person SHUBHAM INVESTMENT
  		ISE  DID NOT PAY ANNUAL SUBSCRIPTION CHARGES TO STOCK EXCHANGE  DECLARED DEFAULTER BY STOCK EXCHANGE

08-DEC-2009 		 
80 08-DEC-2009
History of entity/person   SHIBY THOMAS 
History of entity/person SHIBY SECURITIES
  		ISE  FAILED TO MAINTAIN THE REQUIRED BASE MINIMUM CAPITAL (BMC) WITH THE EXCHANGE  DECLARED DEFAULTER BY STOCK EXCHANGE

08-DEC-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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