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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: DIRECTED TO PAY FEES TO SEBI

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person APOLLO SINDHOORI CAPITAL INVESTMENTS LTD.  

(Member : NSE)
  DID NOT PAY FEES TO SEBI  DIRECTED TO PAY FEES TO SEBI

10-JUL-2007 		SAT: APPEAL FAILED AND IMPUGNED FEE LIABILITY STATEMENT UPHELD LEAVING PARTIES TO BEAR THEIR OWN COSTS
2 
History of entity/person CIL SECURITIES LTD.  

(Member : NSE)
History of entity/person K.K.MAHESHWARI
  		DID NOT PAY FEES TO SEBI  DIRECTED TO PAY FEES TO SEBI

17-AUG-2001 		SAT: APPEAL ALLOWED BY WAY OF REMAND
3 
History of entity/person RAMANLAL D.SHAH,M/S  

(Member : BSE)
History of entity/person KAMLESH R.SHAH
  		DID NOT PAY FEES TO SEBI  DIRECTED TO PAY FEES TO SEBI

12-OCT-2004 		SAT: SAT VIDE ITS ORDER DATED 16/11/2016 ALLOWED THE APPEAL BY QUASHING THE IMPUGNED COMMUNICATIONS OF SEBI DATED 14/03/2016. NO COSTS
4 
History of entity/person SANGHAVI BROTHERS BROKERAGE LTD.  

(Member : BSE)
History of entity/person DHIREN R.SANGHAVI
History of entity/person KAMLESH R.SANGHAVI
  		DID NOT PAY TURNOVER FEE  DIRECTED TO PAY FEES TO SEBI

11-JUL-2007 		SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
5 
History of entity/person SODHANI SECURITIES LTD.  

(Member : NSE)
  DID NOT PAY FEES TO SEBI  DIRECTED TO PAY FEES TO SEBI

12-JUN-2007 		SAT: APPEAL ALLOWED AND IMPUGNED ORDER SET ASIDE, 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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