| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 8681 |
|
YOGESH CHHOTALAL SHAH
|
|
|
|
YOGESH CHHOTALAL SHAH,M/S
(Member : SKSE)
|
|
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STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION
|
| 8682 |
|
|
YOGESH CHHOTALAL SHAH,M/S
(Member : SKSE)
|
|
|
|
YOGESH CHHOTALAL SHAH
|
|
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STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION
|
| 8683 |
|
|
YOGESH KEDIA
|
|
|
|
DG GOENKA EQUITIES PVT.LTD.
PAN:AABCD1447Q
(Member : BSE)
|
|
INDULGED IN INTRODUCTION OF UNLISTED SHARES INTO MARKET AND IN SYNCHRONIZED TRANSACTIONS IN SCRIP OF DESIGN AUTO SYSTEMS LTD.
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF DESIGN AUTO SYSTEMS LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 19-NOV-2009 TO 18-JAN-2010
29-OCT-2009
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 29/10/2009 SET ASIDE AND CASE SENT BACK TO WHOLE TIME MEMBER. APPELLANT MAY FILE ITS RESPONSE ON OR BEFORE 02/08/2010 WITH NO ORDER AS TO COSTS
SEBI VIDE ITS ORDER DATED 04/01/2011 SUSPENDED CERTIFICATE OF REGISTRATION AS STOCK BROKER FOR A PERIOD OF TWO MONTHS WHICH SHALL COME INTO FORCE ON EXPIRY OF TWENTY ONE DAYS FROM DATE OF THIS ORDER
|
| 8684 |
|
|
YOGESH M.KAMDAR,M/S
(Member : SKSE)
|
|
|
|
YOGESH MANSUKHLAL KAMDAR
|
|
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STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION
|
| 8685 |
|
|
YOGESH MANSUKHLAL KAMDAR
|
|
|
|
YOGESH M.KAMDAR,M/S
(Member : SKSE)
|
|
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
|
| 8686 |
|
|
YOGESH MEHTA
|
|
|
|
YOGESH MEHTA,M/S
(Member : BSE)
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 10-APR-2002
10-APR-2002
|
SAT: APPEAL ALLOWED TO BE WITHDRAWN. NO COSTS
|
| 8687 |
|
|
YOGESH MEHTA,M/S
(Member : BSE)
|
|
|
|
YOGESH MEHTA
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 10-APR-2002
10-APR-2002
|
SAT: APPEAL ALLOWED TO BE WITHDRAWN. NO COSTS
|
| 8688 |
|
|
YOHA SECURITIES LTD.
(PAN:AAACY0254D)
(Member : NSE)
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF MARUTI ORGANICS LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-SEP-2002 TO 07-OCT-2002
16-SEP-2002
|
SAT: APPEAL DISMISSED
|
| 8689 |
|
|
YOKE SECURITIES LTD.
(Member : BSE/NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF PYRAMID SAIMIRA THEATRE LTD.
|
DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 12-NOV-2021 TO 11-MAR-2022
12-NOV-2021
|
|
| 8690 |
|
|
YOKE SECURITIES LTD.
(Member : NSE/BSE/OTC)
|
|
|
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
ALLEGED VIOLATION OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
ALLEGED VIOLATION OF SEBI ACT, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
20-MAY-2009
|
|
| 8691 |
|
|
YUBEE CEE FINANCE & INVESTMENTS PVT.LTD.
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 8692 |
|
|
YUG SECURITIES PVT.LTD.
(Member : NSE)
|
|
|
CONNECTED TO SECONDARY SERVER WITHOUT ANY SUFFICIENT REASON DURING INVESTIGATION PERIOD VIOLATING NSE CO-LOCATION DIRECTIVES/INSTRUCTIONS/GUIDELINES READ WITH POINT 2(A) OF CHAPTER V OF NSE BYE-LAWS READ WITH CLAUSE A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKER) REGULATIONS, 1992 IN MATTER OF NSE CO-LOCATION FACILITY
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE ACCESSING SECONDARY SERVER OF NSE COLOCATION IN LINE WITH INSTRUCTION OF NSE CO-LOCATION DIRECTIVES/INSTRUCTIONS/GUIDELINES VIOLATING CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKER) REGULATIONS, 1992 IN MATTER OF NSE CO-LOCATION FACILITY
|
IMPOSED PENALTY RS.3,00,000
12-APR-2022
|
|
| 8693 |
|
|
YUVRAJ SECURITIES
(PAN:AUSPG4180B)
(Member : NSE)
|
|
|
NO LONGER A MEMBER OF ANY STOCK EXCHANGE
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-AUG-2024
30-AUG-2024
|
|
| 8694 |
|
|
ZACHARIAS PANKAVAN,M/S
(Member : COCSE)
|
|
|
|
BABY ZACHARIA PANKAVIL
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 13-NOV-2007 TO 12-APR-2008
23-OCT-2007
|
|
| 8695 |
|
|
ZAFAR YUNUS SARESHWALA
(DIN:00123536
PAN:ANYPS8494D)
(Depository Participants : CDSL)
|
|
|
|
PARSOLI CORP.LTD.
PAN:AABCP9030F
(Depository Participants : CDSL,Member : BSE/NSE)
|
|
INDULGED IN CONSPIRACY WITH REGISTRAR IN GETTING SHARES TRANSFERRED FRAUDULENTLY IN THEIR ACCOUNT IN MATTER OF PARSOLI CORP.LTD.
INDULGED IN CONSPIRACY WITH REGISTRAR IN DELAYING TRANSFER OF SHARES IN MATTER OF PARSOLI CORP.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-FEB-2009 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-FEB-2009 TILL FURTHER ORDERS
DIRECTED TO REMOVE PINNACLE SHARES REGISTRY PVT.LTD. AS REGISTRAR AND TRANSFER AGENT AND APPOINT ANOTHER REGISTRAR AND TRANSFER AGENT WITHIN SIX MONTHS
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 20-FEB-2009 TILL FURTHER ORDERS
DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FROM 20-FEB-2009 TILL FURTHER ORDERS
DIRECTED TO CONDUCT SECRETARIAL AUDIT TO IDENTIFY ACTUAL SHAREHOLDERS AND RECONCILE THEIR RECORDS
20-FEB-2009
|
|
| 8696 |
|
|
ZAVERI & CO.PVT.LTD.
(PAN:AAACZ2014N)
(Member : NSEL)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 31-JUL-2023 TO 30-OCT-2023
31-JUL-2023
|
SAT: SAT VIDE ITS ORDER DATED 12/03/2025 DISPOSED OF THE APPEAL AND STAYED THE IMPUGNED ORDER DATED 31/07/2023
|
| 8697 |
|
|
ZEBU SHARE & WEALTH MANAGEMENTS PVT.LTD.
(PAN:AALCA8580D)
(Member : MCX)
|
|
|
DID NOT DEPLOY ADEQUATE MECHANISM TO GET TIMELY ALERTS ON CAPACITY UTILIZATION OF SYSTEMS WHEN IT GOES BEYOND 70% OF INSTALLED CAPACITY
DID NOT CONDUCT TESTING OF SOFTWARE, UPDATES AND CHANGES PRIOR TO DEPLOYMENT IN THE PRODUCTION
DID NOT HAVE INCIDENT AND RESPONSE TEAM/ CRISIS MANAGEMENT TEAM
DID NOT IDENTIFY AND CLASSIFY CRITICAL ASSETS BASED ON THEIR SENSITIVITY AND CRITICALITY FOR BUSINESS OPERATIONS, SERVICES AND DATA MANAGEMENT
DID NOT CONDUCT VULNERABILITY ASSESSMENT AND PENETRATION TEST (VAPT) OF ALL THE CRITICAL ASSETS AND INFRASTRUCTURE
DID NOT ESTABLISH APPROPRIATE MONITORING SYSTEMS AND PROCESSES TO FACILITATE CONTINUOUS MONITORING OF SECURITY EVENTS AND ALERTS/TIMELY DETECTION OF UNAUTHORIZED OR MALICIOUS ACTIVITIES
DID NOT PROVIDE LIST OF USERS WHO WERE GRANTED ACCESS TO CRITICAL SERVERS, PURPOSES AND PERIOD FOR WHICH ACCESS WAS GRANTED
DID NOT MAINTAIN LOGS OF SERVERS AND FIREWALLS
DID NOT INSTRUCT VENDORS TO ADHERE TO APPLICABLE GUIDELINES IN CYBER SECURITY AND CYBER RESILIENCE POLICY AND DID NOT OBTAIN NECESSARY SELF-CERTIFICATIONS FROM THEM TO ENSURE COMPLIANCE WITH POLICY GUIDELINES
|
IMPOSED PENALTY RS.5,00,000
08-AUG-2025
|
|
| 8698 |
|
|
ZERODHA BROKING LTD.
(PAN:AABCZ2616B)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 435 of 435
|
