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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: CEASED TRADING RIGHTS AS STOCK BROKER

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

(Member : UPSE)
History of entity/person DHRUVNITI PRASAD SINGH
  		DID NOT ADHERE TO BASE MINIMUM CAPITAL REQUIREMENT  CEASED TRADING RIGHTS AS STOCK BROKER

ADVISED TO SURRENDER SEBI REGISTRATION CERTIFICATE

17-OCT-2011
2 
History of entity/person DEWAN FINANCIAL SERVICES  

(Member : UPSE)
History of entity/person RAJ DEWAN
  		DID NOT ADHERE TO BASE MINIMUM CAPITAL REQUIREMENT  CEASED TRADING RIGHTS AS STOCK BROKER

ADVISED TO SURRENDER SEBI REGISTRATION CERTIFICATE

17-OCT-2011
3 
History of entity/person KHANJAN GUPTA & CO.  

(Member : UPSE)
History of entity/person KHANJAN GUPTA
  		DID NOT ADHERE TO BASE MINIMUM CAPITAL REQUIREMENT  CEASED TRADING RIGHTS AS STOCK BROKER

ADVISED TO SURRENDER SEBI REGISTRATION CERTIFICATE

17-OCT-2011
4 
History of entity/person MAHARANI & CO.  

(Member : UPSE)
History of entity/person SANJAY KUMAR KESARWANI
  		DID NOT ADHERE TO BASE MINIMUM CAPITAL REQUIREMENT  CEASED TRADING RIGHTS AS STOCK BROKER

ADVISED TO SURRENDER SEBI REGISTRATION CERTIFICATE

17-OCT-2011
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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