S.
DATE OF ORDER
PERSON
ENTITY
COMPETENT AUTHORITY
REGULATORY CHARGES
REGULATORY ACTION(S) / DATE OF ORDER
FURTHER DEVELOPMENTS
1
18-AUG-2015
VIDYUTBHAI RAMESHCHANDRA SHAH
VIDYUTBHAI RAMESHCHANDRA SHAH,M/S
ACE
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO THE EXCHANGE
CANCELLED STOCK BROKER MEMBERSHIP
2
18-MAY-2015
GOVINDBHAI KARAMSIBHAI THAKKAR
GOVINDBHAI KARAMSIBHAI THAKKAR,M/S
ACE
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO THE EXCHANGE
CANCELLED STOCK BROKER MEMBERSHIP
3
18-MAY-2015
PRAKASH BADARMAL SHAH
PRAKASH BADARMAL SHAH,M/S
ACE
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO THE EXCHANGE
CANCELLED STOCK BROKER MEMBERSHIP
4
11-MAY-2015
VITTHALDAS MANJIBHAI SONI
VITTHALDAS MANJIBHAI SONI,M/S
ACE
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO THE EXCHANGE
CANCELLED STOCK BROKER MEMBERSHIP
5
28-JAN-2015
BHANU PRATAP CHAURASIA
BHANU PRATAP CHAURASIA,M/S
ACE
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO THE EXCHANGE
CANCELLED STOCK BROKER MEMBERSHIP
6
28-JAN-2015
MANISH MAHADEVBHAI THAKKAR
MANISH MAHADEVBHAI THAKKAR,M/S
ACE
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO THE EXCHANGE
CANCELLED STOCK BROKER MEMBERSHIP
7
28-JAN-2015
NIGAM HARIA
NIGAM HARIA,M/S
ACE
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO THE EXCHANGE
CANCELLED STOCK BROKER MEMBERSHIP
8
28-JAN-2015
RAMESHBHAI ATMARAMDAS PATEL
RAMESHBHAI ATMARAMDAS PATEL,M/S
ACE
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO THE EXCHANGE
CANCELLED STOCK BROKER MEMBERSHIP
9
26-JUN-2014
PRAVINBHAI DAYALJIBHAI THAKKAR
PRAVINBHAI DAYALJIBHAI THAKKAR,M/S
ACE
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO THE EXCHANGE
CANCELLED STOCK BROKER MEMBERSHIP
10
17-JUN-2014
AMIT ANEJA
AMIT ANEJA,M/S
ACE
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO THE EXCHANGE
CANCELLED STOCK BROKER MEMBERSHIP
11
12-MAR-2014
PARAS MANUBHAI SHAH
PARAS MANUBHAI SHAH,M/S
ACE
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO THE EXCHANGE
CANCELLED STOCK BROKER MEMBERSHIP
12
21-FEB-2014
ALOK GOSWAMI
ALOK GOSWAMI,M/S
ACE
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO THE EXCHANGE
CANCELLED STOCK BROKER MEMBERSHIP
13
21-FEB-2014
AMRIT HASTIMAL KHIVESAR
AMRIT HASTIMAL KHIVESARA,M/S
ACE
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO THE EXCHANGE
CANCELLED STOCK BROKER MEMBERSHIP
14
18-DEC-2013
ASHOKBHAI CHATRABHUJ THAKKAR
ASHOKBHAI CHATRABHUJ THAKKAR,M/S
ACE
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO THE EXCHANGE
CANCELLED STOCK BROKER MEMBERSHIP
15
18-DEC-2013
RAJESH DEVCHANDBHAI MEHTA
RAJESH DEVCHANDBHAI MEHTA,M/S
ACE
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO THE EXCHANGE
CANCELLED STOCK BROKER MEMBERSHIP
16
18-DEC-2013
VASANTKUMAR RASHIKLAL VORA
VASANTKUMAR RASHIKLAL VORA,M/S
ACE
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO THE EXCHANGE
CANCELLED STOCK BROKER MEMBERSHIP
17
28-OCT-2013
BHARATKUMAR ISWARLAL PATEL
BHARATKUMAR ISWARLAL PATEL,M/S
ACE
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO THE EXCHANGE
CANCELLED STOCK BROKER MEMBERSHIP
18
24-OCT-2013
KALPESH KANTILAL SHAH
KALPESH KANTILAL SHAH,M/S
ACE
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO THE EXCHANGE
CANCELLED STOCK BROKER MEMBERSHIP
19
24-OCT-2013
RASHMIKANT THAKERSHI PARIKH
RASHMIKANT THAKERSHI PARIKH,M/S
ACE
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO THE EXCHANGE
CANCELLED STOCK BROKER MEMBERSHIP
20
16-AUG-2013
RAJESHKUMAR JIBHAIDAS PATEL
RAJESHKUMAR JIBHAIDAS PATEL,M/S
ACE
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO THE EXCHANGE
CANCELLED STOCK BROKER MEMBERSHIP
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
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