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SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
PERIOD COVERED : 01-JAN-1997 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: SUSPENDED REGISTRATION AS STOCK BROKER FOR UNDERWRITING

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person JALAN & CO.  

(Member : DSE)
History of entity/person SAT NARAIN JALAN
  		DID NOT FULFILL UNDERWRITING OBLIGATION  SUSPENDED REGISTRATION AS STOCK BROKER FOR UNDERWRITING FROM 23-APR-2002 TO 22-JUL-2002

10-MAY-2002
2 
History of entity/person S.V.VAKHARIA  

(Member : BSE)
  DID NOT FULFILL UNDERWRITING OBLIGATION IN PUBLIC ISSUES OF RITESH POLYESTERS LTD.  SUSPENDED REGISTRATION AS STOCK BROKER FOR UNDERWRITING FROM 09-JUN-1997 TO 08-JUN-1999

09-JUN-1997
3 
History of entity/person SUMANGAL & CO.  

(Member : DSE)
History of entity/person SURENDRA GUPTA
  		DID NOT FULFILL UNDERWRITING OBLIGATION IN PUBLIC ISSUE OF AMAJIN EXPORTS LTD.  SUSPENDED REGISTRATION AS STOCK BROKER FOR UNDERWRITING FROM 25-JUL-2000 TO 24-JAN-2001

07-AUG-2000
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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