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SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – CONSENT ORDERS/ PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS
PERIOD COVERED : 30-OCT-2007 TO 21-NOV-2024

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.

STOCK BROKERS: DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
41 
History of entity/person SVS SECURITIES PVT.LTD.  

(Member : NSE)
History of entity/person RESHAD CHESSON
  		DID NOT EXERCISE DUE CARE AND DILIGENCE WHILE DEALING WITH HIS CLIENTS IN SCRIP OF MAZDA FABRICS PROCESSORS LTD.  SUSPENDED REGISTRATION AS STOCK BROKER FROM 22-FEB-2007 TO 28-FEB-2007

02-FEB-2007

REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)

10-NOV-2008 		SAT: ORDER DISPOSED OFF AS APPLICANT DEPOSITED RS.10,00,000 TOWARDS SETTLEMENT CHARGES AS PER CONSENT ORDER DATED 10/11/2008 WITH NO ORDER AS TO COSTS
42 
History of entity/person SVS SECURITIES PVT.LTD.  

(Member : OTC)
History of entity/person RESHAD CHESSON
  		DID NOT EXERCISE DUE CARE AND DILIGENCE WHILE DEALING WITH HIS CLIENTS IN SCRIP OF MAZDA FABRICS PROCESSORS LTD.  SUSPENDED REGISTRATION AS STOCK BROKER FROM 22-FEB-2007 TO 28-FEB-2007

02-FEB-2007

REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)

10-NOV-2008 		SAT: ORDER DISPOSED OFF AS APPLICANT DEPOSITED RS.10,00,000 TOWARDS SETTLEMENT CHARGES AS PER CONSENT ORDER DATED 10/11/2008 WITH NO ORDER AS TO COSTS
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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