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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
1 22-MAR-2022
History of entity/person   VIBHA HIMANSHU MEHTA 
History of entity/person VIBHA HIMANSHU MEHTA,M/S
  		MSEI  RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE  CANCELLED REGISTRATION AS TRADING MEMBERSHIP

22-MAR-2022 		MSEI VIDE ITS CIRCULAR DATED 11/11/2022 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI  
2 04-JUN-2021
History of entity/person   AMRITLAL.F.JAIN 
History of entity/person AMRITLAL.F.JAIN,M/S
  		MSEI  RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE  CANCELLED REGISTRATION AS TRADING MEMBERSHIP

04-JUN-2021 		 
3 24-JUL-2019
History of entity/person   ANUJ KATTA 
History of entity/person ANUJ KATTA,M/S
  		MSEI  RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE  CANCELLED REGISTRATION AS TRADING MEMBERSHIP

24-JUL-2019 		 
4 03-MAY-2019
History of entity/person   PRATIK KALYANJI ASHAR 
History of entity/person PRATIK KALYANJI ASHAR,M/S
  		MSEI  RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE  CANCELLED REGISTRATION AS TRADING MEMBERSHIP

03-MAY-2019 		 
5 22-FEB-2016
History of entity/person   RAYMOND J.PATEL 
  MSEI  DID NOT PAY LEDGER BALANCE  CLAIM ADMITTED
AWARD AMOUNT: RS.1,22,771

22-FEB-2016 		 
6 03-MAY-2015
History of entity/person   AMBARISH GHOSE 
  MSEI  INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.2,22,926

03-MAY-2015 		MSEI VIDE ITS ARBITRATION AWARD DATED 16/07/2015 ALLOWDED THE APPEAL AND QUASHED AND SET ASIDED IMPUGNED AWARD DATED 03/02/2015. NO COSTS. FURTHER DIRECTED MR AMBARISH GHOSH (RESPONDENT) TO REFUND THE SUM OF RS.75,000.00 RECEIVED DURING THE PENDENCY OF INSTANT APPEAL WITHIN THREE DAYS FROM THE DATED OF RECEIPT OF THE AWARD  
7 27-DEC-2014
History of entity/person   VIJAY ROCHLANI 
  MSEI  DID NOT PAY LEDGER BALANCE  CLAIM ADMITTED
AWARD AMOUNT: RS.15,911

27-DEC-2014 		APPEAL DISMISSED. NO COSTS  
8 04-SEP-2014
History of entity/person   ROHIT CHIMANLAL PATEL 
  MSEI  DID NOT PAY LEDGER BALANCE  CLAIM ADMITTED
AWARD AMOUNT: RS.2,86,506

04-SEP-2014 		APPEAL DISMISSED  
9 03-APR-2014
History of entity/person   RASHPAL KAUR 
  MSEI  DID NOT PAY LEDGER BALANCE  CLAIM ADMITTED
AWARD AMOUNT: RS.5,48,428

03-APR-2014 		 
10 19-AUG-2013
History of entity/person   GAURI SHANKAR SHARMA 
  MSEI  DID NOT PAY LEDGER BALANCE  CLAIM ADMITTED
AWARD AMOUNT: RS.2,55,727

19-AUG-2013 		 
11 30-APR-2013
History of entity/person   SUNITA GUPTE 
  MSEI  DID NOT PAY LEDGER BALANCE  CLAIM ADMITTED
AWARD AMOUNT: RS.1,00,394

30-APR-2013 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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