| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
A.K.AGARWAL & CO.
(Member : JSE)
|
|
|
|
ASHOK KUMAR AGARWAL
|
|
DEFAULTED IN MAINTENANCE OF SAUDA BOOK
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT RECTIFY BAD DELIVERIES IN TIME
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
06-JAN-2000
|
|
| 2 |
|
|
ABS SHARE & STOCK BROKERS LTD.
(Member : DSE)
|
|
|
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT MAINTAIN SEPARATE CLIENT ACCOUNT
DID NOT RECTIFY BAD DELIVERIES IN TIME
MISUTILIZED EXCHANGE MECHANISM FOR SECURING PAYMENT
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 06-JUL-1998 TO 05-AUG-1998
26-JUN-1998
|
|
| 3 |
|
|
DRB SECURITIES PVT.LTD.
(Member : UPSE)
|
|
|
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
INDULGED IN OFF-THE-FLOOR TRANSACTIONS
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
INDULGED IN BUSINESS OTHER THAN THAT OF SECURITIES
DID NOT COLLECT MARGINS FROM CLIENTS
DID NOT RECTIFY BAD DELIVERIES IN TIME
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-JUL-2004 TO 11-NOV-2004
21-JUN-2004
|
|
| 4 |
|
|
H.B.RELAN & CO.
(Member : DSE)
|
|
|
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
INDULGED IN GALA TRANSACTIONS
DID NOT RECTIFY BAD DELIVERIES IN TIME
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-JUN-1998 TO 28-JUL-1998
26-JUN-1998
|
|
| 5 |
|
|
JAYANT PRANJIWANDAS,M/S
(Member : CMBSE)
|
|
|
|
J.PRANJIWANDAS
|
|
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
DID NOT ISSUE CONTRACT NOTES
DID NOT RECTIFY BAD DELIVERIES IN TIME
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT PAY FEES TO SEBI
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
08-OCT-1998
|
|
| 6 |
|
|
PRAVEEN & CO.
(Member : JSE)
|
|
|
|
PRAVEEN RAMAWAT
|
|
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DID NOT ISSUE CONTRACT NOTES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT RECTIFY BAD DELIVERIES IN TIME
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 31-DEC-1998 TO 30-JUN-1999
30-DEC-1998
|
|
| 7 |
|
|
R.SINGHANIA & CO.
(Member : DSE)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT HAVE PRE-PRINTED SERIAL NUMBERS ON CONTRACT NOTES
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT ADHERE TO SECURITIES CONTRACTS (REGULATION) ACT, WITH REGARD TO SPOT TRANSACTIONS
DID NOT RECTIFY BAD DELIVERIES IN TIME
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
18-JUN-1998
|
|
| 8 |
|
|
RAJA RAJESHWARI & CO.
(Member : CMBSE)
|
|
|
DID NOT ISSUE CONTRACT NOTES
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
INDULGED IN GALA TRANSACTIONS
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
DID NOT MAKE PAYMENT TO CLIENTS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
FAILED TO SUBMIT AUDIT REPORT TO THE EXCHANGE ON DUE DATE
DID NOT RECTIFY BAD DELIVERIES IN TIME
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 15-OCT-1998 TO 14-JAN-1999
05-OCT-1998
|
|
| 9 |
|
|
S.L.GUPTA & CO.
(Member : DSE)
|
|
|
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
ENTERED INTO PRINCIPAL TO PRINCIPAL TRANSACTIONS FOR WHICH BROKERAGE WAS CHARGED AND CONTRACT NOTES IN FORM 'A ' WERE ISSUED
SETTLED PAYMENT FOR TRANSACTIONS WITH OTHER MEMBERS OF EXCHANGE THROUGH SETTLEMENT SYSTEM OF EXCHANGE
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT RECTIFY BAD DELIVERIES IN TIME
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
09-APR-2001
|
|
| 10 |
|
|
SHALOO GUPTA,M/S
(Member : JSE)
|
|
|
|
SHALOO GUPTA
|
|
DID NOT PAY FEES TO SEBI
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT RECTIFY BAD DELIVERIES IN TIME
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-DEC-1997 TO 30-DEC-1997
27-NOV-1997
|
|
| 11 |
|
|
SHREE CHAMUNDI STOCKS
(Member : BGSE)
|
|
|
|
M.S.CHANDRASHEKHAR
|
|
ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION
DID NOT ISSUE CONTRACT NOTES
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT RECTIFY BAD DELIVERIES IN TIME
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-1998 TO 19-FEB-1999
16-NOV-1998
|
|
| 12 |
|
|
SURINDER SINGH MEHTA,M/S
(Member : JSE)
|
|
|
|
SURINDER SINGH MEHTA
|
|
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DEFAULTED IN MAINTENANCE OF BAD DELIVERY REGISTER
DID NOT RECTIFY BAD DELIVERIES IN TIME
MISUTILIZED EXCHANGE MECHANISM FOR SECURING PAYMENT
DID NOT ROUTE CLIENT'S MONEY THROUGH SEPARATE BANK ACCOUNT
DID NOT AFFIX BROKER NOTE STAMPS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-JUN-1998 TO 23-JUL-1998
11-JUN-1998
|
|
| 13 |
|
|
T.N.BANSAL,M/S
(Member : UPSE)
|
|
|
|
T.N.BANSAL
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DID NOT ROUTE CLIENT'S TRANSACTIONS THROUGH CLIENT ACCOUNT
DID NOT RECTIFY BAD DELIVERIES IN TIME
MISUSED EXCHANGE MECHANISM TO SETTLE LOAN TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-MAR-1999 TO 29-JUN-1999
24-MAR-1999
|
|
| 14 |
|
|
VIJAY GUPTA & CO.
(Member : LSE)
|
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT RECTIFY BAD DELIVERIES IN TIME
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
19-NOV-1999
|
|
| 15 |
|
|
VINOD KUMAR & CO.
(Member : UPSE)
|
|
|
|
VINOD KUMAR
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DID NOT ROUTE CLIENT'S TRANSACTIONS THROUGH CLIENT ACCOUNT
DID NOT RECTIFY BAD DELIVERIES IN TIME
MISUSED EXCHANGE MECHANISM TO SETTLE LOAN TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-MAR-1999 TO 29-MAY-1999
24-MAR-1999
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
