| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
A.NITIN CAPITAL SERVICES LTD.
(Member : DSE)
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
|
IMPOSED PENALTY RS.50,000
11-MAR-2005
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 21/11/2017 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS ORDER DATED 30/11/2017 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS,DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 21/11/2017
|
| 42 |
|
|
A.R.AGGARWAL & CO.
(Member : LSE)
|
|
|
|
ASHOK KUMAR AGGARWAL
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
20-OCT-1999
|
|
| 43 |
|
|
A.RAJAGOPALAN
|
|
|
|
A.RAJAGOPALAN,M/S
(Member : ICSE)
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 44 |
|
|
A.RAJAGOPALAN,M/S
(Member : ICSE)
|
|
|
|
A.RAJAGOPALAN
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 45 |
|
|
A.S.KUMAR
|
|
|
|
A.S.KUMAR,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
|
|
| 46 |
|
|
A.S.KUMAR
|
|
|
|
PREMA SWAROOPA SECURITIES
(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
|
|
| 47 |
|
|
A.S.KUMAR,M/S
(Member : OTC)
|
|
|
|
A.S.KUMAR
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 48 |
|
|
A.S.MERCHANT
|
|
|
|
A.S.MERCHANT,M/S
(Member : COCSE)
|
|
DID NOT PAY FEES TO SEBI
|
SHOW CAUSE NOTICE ISSUED
09-NOV-2009
|
|
| 49 |
|
|
A.S.MERCHANT
|
|
|
|
A.S.MERCHANT,M/S
(Member : COCSE)
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-MAR-2010
08-MAR-2010
|
|
| 50 |
|
|
A.S.MERCHANT,M/S
(Member : COCSE)
|
|
|
|
A.S.MERCHANT
|
|
DID NOT PAY FEES TO SEBI
|
SHOW CAUSE NOTICE ISSUED
09-NOV-2009
|
|
| 51 |
|
|
A.S.MERCHANT,M/S
(Member : COCSE)
|
|
|
|
A.S.MERCHANT
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-MAR-2010
08-MAR-2010
|
|
| 52 |
|
|
A.S.P.INVESTMENTS & CO.
(Member : MGSE)
|
|
|
|
SUNITA SRIWASTAW
|
|
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
|
| 53 |
|
|
A.S.P.INVESTMENTS LTD.
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 54 |
|
|
A.S.P.INVESTMENTS LTD.
(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
|
|
| 55 |
|
|
A.S.SHRIRAM
|
|
|
|
ALASRI INVESTMENTS
(Member : CMBSE)
|
|
DECLARED DEFAULTER BY THE EXCHANGE
DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 24-JUN-2004
24-JUN-2004
|
|
| 56 |
|
|
A.SUBBA RAO
|
|
|
|
HOFFLAND FINANCE LTD.
(Member : BGSE/JSE)
|
|
VIOLATED SEBI ACT, 1992
VIOLATED SECTION 26 OF SEBI ACT, 1992
VIOLATED SEBI (PORTFOLIO MANAGERS) REGULATIONS, 1993
ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SEBI (MERCHANT BANKER) REGULATIONS, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
A1 AND A2 CONVICTED. A3 ACQUITTED. A4 EXPIRED, THUS, PROCEEDINGS ABATED. PROCEEDINGS AGAINST A5 QUASHED. A6 DECLARED PO. A7 COMPOUNDED (VIDE ORDER DT.21.02.2008). FILE BE CONSIGNED TO RECORD ROOM
A1 AND A2 CONVICTED. A3 ACQUITTED. A4 EXPIRED, THUS, PROCEEDINGS ABATED. PROCEEDINGS AGAINST A5 QUASHED. A6 DECLARED PO. A7 COMPOUNDED (VIDE ORDER DT.21.02.2008). FILE BE CONSIGNED TO RECORD ROOM.
DURING THE TRIAL A21 (SHRI ASHOK KUMAR KOHLI) HAD EXPIRED, THEREFORE, PROCEEDINGS QUA HIM WAS ABATED. ACCUSED NO.20 (M/S EVERGROW FINANCIAL SERVICES PVT.LTD.) AND A22 ( SHRI PRADEEP SHARMA) FACED THE TRIAL AND THEY REMAINING ACCUSED WERE DECLARED POS. THE CAPTIONED MATTER WAS POSTED BEFORE THE LD. COURT ON JULY 30, 2012 FOR PRONOUNCEME NT OF JUDGMENT. AFTER RECORDING ITS REASONS THE COURT HELD THAT SEBI COULD NOT PROVE ITS CASE AGAINST A20 AND A22 BEYOND THE SHADOW OF ALL REASONABLE DOUBTS, AND THEREBY ACQUITTED A20 AND A22
|
| 57 |
|
|
A.ULAGAMMAI
|
|
|
|
A.ULAGAMMAI,M/S
(Member : CMBSE)
|
|
ALLEGED FAILURE TO PAY REGISTRATION FEE TO SEBI
|
DIRECTED TO REPLY WITHIN 15 DAYS FROM DATE OF PUBLICATION OF NOTICE
29-JUN-2009
|
|
| 58 |
|
|
A.ULAGAMMAI
|
|
|
|
A.ULAGAMMAI,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
|
|
| 59 |
|
|
A.ULAGAMMAI,M/S
(Member : CMBSE)
|
|
|
|
A.ULAGAMMAI
|
|
ALLEGED FAILURE TO PAY REGISTRATION FEE TO SEBI
|
DIRECTED TO REPLY WITHIN 15 DAYS FROM DATE OF PUBLICATION OF NOTICE
29-JUN-2009
|
|
| 60 |
|
|
A.ULAGAMMAI,M/S
(Member : CMBSE)
|
|
|
|
A.ULAGAMMAI
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 3 of 435
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