| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
A.K.FINANCIAL CO.
(Member : BHSE/ICSE)
|
|
|
|
ANJANI KUMAR SINGH
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-DEC-2004
30-DEC-2004
|
|
| 22 |
|
|
A.K.FINANCIAL CO.
(Along with : ANJANI KUMAR SINGH,M/S)
|
|
|
|
ANJANI KUMAR SINGH
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 25-AUG-1998 TILL PAYMENT OF PRESCRIBED FEES TO SEBI
17-AUG-1998
|
|
| 23 |
|
|
A.K.JAIN & CO.
(Member : JSE)
|
|
|
DID NOT ISSUE CONTRACT NOTES
INDULGED IN OFF-MARKET TRANSACTIONS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT REDRESS INVESTOR COMPLAINTS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-FEB-1998 TO 13-MAR-1998
28-JAN-1998
|
|
| 24 |
|
|
A.K.SHARMA
|
|
|
|
SUNIDHI INVESTMENT
(Member : MGSE)
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
23-APR-2009
|
PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION
|
| 25 |
|
|
A.K.STOCK BROKING SERVICES PVT.LTD.
(Member : CSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SHOW CAUSE NOTICE ISSUED
SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-FEB-2010 TILL REGISTRATION FEE DEPOSITED
09-NOV-2009
|
SEBI VIDE ORDER DATED 03/02/2010, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEE IS FULLY PAID
|
| 26 |
|
|
A.K.STOCKMART PVT.LTD.
(PAN:AAFCA5531N)
(Member : BSE/NSE)
|
|
|
ALLEGED TO DEVISED A SCHEME WHEREIN AK GROUP BY USING THE POWERS OF ATTORNEY (POA) SUBMITTED BID APPLICATIONS FOR 1,408,015 NCDS ON BEHALF OF 911 APPLICANTS IN PUBLIC ISSUE OF NCD VIOLATING CLAUSES 2, 3, 9, 19, 27 AND 32 SPECIFIED IN SCHEDULE III OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992 READ WITH SEBI CIRCULAR NO.CIR. /IMD/DF/22/2011 DATED 26/12/2011 IN MATTER OF ISSUANCE OF NCDS BY DEWAN HOUSING CORP.LTD.
ALLEGED PURSUANT TO ALLOTMENT OF NCDS, AK CAPITAL GROUP, BY USING THE POWER OF ATTORNEY SOLD OF THE NCDS ALLOTTED TO 911 APPLICANTS TO EASPL AND RSDPL THROUGH OFF-MARKET TRANSACTIONS IN MATTER OF ISSUANCE OF NCDS BY DEWAN HOUSING CORP.LTD.
ALLEGED INDULGENCE IN UNFAIR TRADE PRACTICE, ACTED TO PROVIDE GUARANTEED EXITS AT A PROFIT TO 911 APPLICANTS ON THE DAY OF LISTING OR ON NEXT DAY BY SHARING PART OF COMMISSION/ BROKERAGE/ INCENTIVES RECEIVED BY THEM VIOLATING REGULATIONS 4(1) AND/OR 4(2) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ISSUANCE OF NCDS BY DEWAN HOUSING CORP.LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,08,73,606, DISGORGEMENT AMOUNT RS.40,27,261, INTEREST RS.31,31,333 VIDE CONSENT ORDER)
16-OCT-2025
|
|
| 27 |
|
|
A.KATHIR KAMANATHAN
|
|
|
|
A.KATHIR KAMANATHAN,M/S
(Member : CMBSE)
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 28 |
|
|
A.KATHIR KAMANATHAN,M/S
(Member : CMBSE)
|
|
|
|
A.KATHIR KAMANATHAN
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 29 |
|
|
A.KHEEMRAJ
|
|
|
|
A.KHEEMRAJ,M/S
(Member : BGSE)
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 30 |
|
|
A.KHEEMRAJ,M/S
(Member : BGSE)
|
|
|
|
A.KHEEMRAJ
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 31 |
|
|
A.M.& CO.
(Member : UPSE)
|
|
|
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
DID NOT OBTAIN WRITTEN CONSENT FROM CLIENTS FOR PRINCIPAL TO PRINCIPAL TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 15-JAN-1998 TO 14-MAR-1998
31-DEC-1997
|
|
| 32 |
|
|
A.MALIK & CO.
(Member : CSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 27-AUG-2004
27-AUG-2004
|
|
| 33 |
|
|
A.MANOHARAN
|
|
|
|
A.MANOHARAN,M/S
(Member : MDSE)
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 34 |
|
|
A.MANOHARAN,M/S
(Member : MDSE)
|
|
|
|
A.MANOHARAN
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 35 |
|
|
A.N.PRASAD
|
|
|
|
A.N.PRASAD,M/S
(Member : OTC)
|
|
DID NOT PAY FEES TO SEBI
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 23-JAN-2008
23-JAN-2008
|
|
| 36 |
|
|
A.N.PRASAD
|
|
|
|
A.N.PRASAD,M/S
(Member : OTC)
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 37 |
|
|
A.N.PRASAD,M/S
(Member : OTC)
|
|
|
|
A.N.PRASAD
|
|
DID NOT PAY FEES TO SEBI
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 23-JAN-2008
23-JAN-2008
|
|
| 38 |
|
|
A.N.PRASAD,M/S
(Member : OTC)
|
|
|
|
A.N.PRASAD
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 39 |
|
|
A.NITIN CAPITAL SERVICES LTD.
(Member : DSE)
|
|
|
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DID NOT AFFIX STAMPS ON CONTRACT NOTES
ALLOTTED SERIAL NUMBERS ON CONTRACT NOTES ON DAILY BASIS INSTEAD OF YEARLY BASIS
DISCREPANCIES IN REGISTER OF TRANSACTIONS OF CONTRACT NOTES
COMMITTED IRREGULARITIES IN MAINTENANCE OF COUNTERFOILS OR DUPLICATES OF CONTRACT NOTES
DID NOT OBTAIN ACKNOWLEDGEMENT FROM CLIENTS
DID NOT REDRESS INVESTOR COMPLAINTS
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
FAILED TO SUBMIT AUDIT REPORT TO THE EXCHANGE ON DUE DATE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 10-JUL-2007 TO 09-AUG-2007
19-JUN-2007
|
|
| 40 |
|
|
A.NITIN CAPITAL SERVICES LTD.
(Member : DSE)
|
|
|
INDULGED IN PRICE MANIPULATION AND CREATION OF ARTIFICIAL MARKET IN SCRIP OF SHONKH TECHNOLOGIES INTERNATIONAL LTD.
VIOLATED SEBI CODE OF CONDUCT
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 14-JUN-2007 TO 13-AUG-2007
24-MAY-2007
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
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| Page 2 of 435
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