| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1021 |
|
SANJAY KUMAR GUPTA,M/S
(Authorised Person of KOTAK SECURITIES LTD., Member : BSE/NSE)
|
|
|
|
SANJAY KUMAR GUPTA
|
|
NO LONGER AFFILIATED AS AUTHORISED PERSON
|
CANCELLED REGISTRATION AS AUTHORISED PERSON
12-FEB-2020
|
|
| 1022 |
|
|
SANJAY KUMAR,M/S
(Authorised Person of SHAREKHAN COMMODITIES PVT.LTD., Member : MCX)
|
|
|
|
SANJAY KUMAR
|
|
NO LONGER AFFILIATED AS AUTHORISED PERSON
|
CANCELLED REGISTRATION AS AUTHORISED PERSON
18-OCT-2012
|
|
| 1023 |
|
|
SANJAY NAVINCHANDRA MEHTA
(Authorised Person of MANGAL KESHAV SECURITIES LTD., Member : NSE)
|
|
|
|
KRISHNA SECURITY
(Authorised Person of MANGAL KESHAV SECURITIES LTD., Member : NSE)
|
|
NO LONGER AFFILIATED AS AUTHORISED PERSON
|
CANCELLED REGISTRATION AS AUTHORISED PERSON
02-NOV-2012
|
|
| 1024 |
|
|
SANJAY RATHI
(PAN:AGNPR1823K)
(Authorised Person of ANGEL BROKING PVT.LTD., Member : BSE/BSE)
|
|
|
|
SHRI BALAJI INVESTMENTS
(Authorised Person of ANGEL BROKING PVT.LTD., Member : BSE/BSE)
|
|
INDULGED IN ILLEGAL TRADING IN EQUITY AND F&O SEGMENT OUTSIDE THE PLATFORM OF STOCK EXCHANGE OR TRADING TERMINALS VIOLATING SECTIONS 13, 16, 18A AND 19 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-JUL-2017 TO 19-JUL-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-JUL-2017 TO 19-JUL-2022
27-AUG-2014
|
SEBI VIDE ITS ORDER DATED 20/07/2017 DIRECTED RESTRAINED FROM BUYING,SELLING OR DEALING IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OR ACCESSING THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY FOR A PERIOD OF FIVE YEARS THE DATE OF THIS ORDER AND ALSO RESTRAINED FROM ASSOCIATING WITH ANY INTERMEDIARY REGISTERED WITH SEBI IN ANY OFFICIAL CAPACITY TILL THE EXPIRY OF FIVE YEARS FROM DATE OF THIS ORDER
|
| 1025 |
|
|
SANJEEV KUMAR
(PAN:ASUPK5768M)
(Authorised Person of F6 FINSERVE PVT. LTD., Member : BSE)
|
|
|
|
SANJEEV KUMAR,M/S
PAN:ASUPK5768M
(Authorised Person of F6 FINSERVE PVT. LTD., Member : BSE)
|
|
NO LONGER AFFILIATED AS AUTHORISED PERSON
|
CANCELLED REGISTRATION AS AUTHORISED PERSON FROM 04-MAY-2018
04-MAY-2018
|
|
| 1026 |
|
|
SANJEEV KUMAR CHOUDHARY
(Authorised Person of SHAREKHAN LTD., Member : NSE/BSE)
|
|
|
|
SANJEEV KUMAR CHOUDHARY,M/S
(Authorised Person of SHAREKHAN LTD., Member : NSE/BSE)
|
|
NO LONGER AFFILIATED AS AUTHORISED PERSON
|
CANCELLED REGISTRATION AS AUTHORISED PERSON
10-DEC-2011
|
|
| 1027 |
|
|
SANJEEV KUMAR CHOUDHARY,M/S
(Authorised Person of SHAREKHAN LTD., Member : NSE/BSE)
|
|
|
|
SANJEEV KUMAR CHOUDHARY
|
|
NO LONGER AFFILIATED AS AUTHORISED PERSON
|
CANCELLED REGISTRATION AS AUTHORISED PERSON
10-DEC-2011
|
|
| 1028 |
|
|
SANJEEV KUMAR,M/S
(PAN:ASUPK5768M)
(Authorised Person of F6 FINSERVE PVT. LTD., Member : BSE)
|
|
|
|
SANJEEV KUMAR
PAN:ASUPK5768M
|
|
NO LONGER AFFILIATED AS AUTHORISED PERSON
|
CANCELLED REGISTRATION AS AUTHORISED PERSON FROM 04-MAY-2018
04-MAY-2018
|
|
| 1029 |
|
|
SANTOSH KUMAR
(PAN:APOPK7242M)
(Authorised Person of F6 FINSERVE PVT. LTD., Member : BSE)
|
|
|
|
SANTOSH KUMAR,M/S
PAN:APOPK7242M
(Authorised Person of F6 FINSERVE PVT. LTD., Member : BSE)
|
|
NO LONGER AFFILIATED AS AUTHORISED PERSON
|
CANCELLED REGISTRATION AS AUTHORISED PERSON FROM 04-MAY-2018
04-MAY-2018
|
|
| 1030 |
|
|
SANTOSH KUMAR,M/S
(PAN:APOPK7242M)
(Authorised Person of F6 FINSERVE PVT. LTD., Member : BSE)
|
|
|
|
SANTOSH KUMAR
PAN:APOPK7242M
|
|
NO LONGER AFFILIATED AS AUTHORISED PERSON
|
CANCELLED REGISTRATION AS AUTHORISED PERSON FROM 04-MAY-2018
04-MAY-2018
|
|
| 1031 |
|
|
SANTOSH SHARMA
(Authorised Person of KOTAK SECURITIES LTD., Member : BSE/NSE)
|
|
|
|
SANTOSH SHARMA,M/S
(Authorised Person of KOTAK SECURITIES LTD., Member : BSE/NSE)
|
|
NO LONGER AFFILIATED AS AUTHORISED PERSON
|
CANCELLED REGISTRATION AS AUTHORISED PERSON
12-FEB-2020
|
|
| 1032 |
|
|
SANTOSH SHARMA,M/S
(Authorised Person of KOTAK SECURITIES LTD., Member : BSE/NSE)
|
|
|
|
SANTOSH SHARMA
|
|
NO LONGER AFFILIATED AS AUTHORISED PERSON
|
CANCELLED REGISTRATION AS AUTHORISED PERSON
12-FEB-2020
|
|
| 1033 |
|
|
SAR ENTERPRISES,M/S
(PAN:AJNPR2013E)
(Authorised Person of F6 FINSERVE PVT. LTD., Member : BSE)
|
|
|
|
PAWAN KUMAR RAGHAV
PAN:AJNPR2013E
|
|
NO LONGER AFFILIATED AS AUTHORISED PERSON
|
CANCELLED REGISTRATION AS AUTHORISED PERSON FROM 04-MAY-2018
04-MAY-2018
|
|
| 1034 |
|
|
SARAOJ BALA
(Authorised Person of KOTAK SECURITIES LTD., Member : NSE)
|
|
|
|
SARAOJ BALA,M/S
(Authorised Person of KOTAK SECURITIES LTD., Member : NSE)
|
|
NO LONGER AFFILIATED AS AUTHORISED PERSON
|
CANCELLED REGISTRATION AS AUTHORISED PERSON
20-FEB-2021
|
|
| 1035 |
|
|
SARAOJ BALA,M/S
(Authorised Person of KOTAK SECURITIES LTD., Member : NSE)
|
|
|
|
SARAOJ BALA
|
|
NO LONGER AFFILIATED AS AUTHORISED PERSON
|
CANCELLED REGISTRATION AS AUTHORISED PERSON
20-FEB-2021
|
|
| 1036 |
|
|
SARITA
(Authorised Person of KOTAK SECURITIES LTD., Member : NSE)
|
|
|
|
SARITA,M/S
(Authorised Person of KOTAK SECURITIES LTD., Member : NSE)
|
|
NO LONGER AFFILIATED AS AUTHORISED PERSON
|
CANCELLED REGISTRATION AS AUTHORISED PERSON
03-FEB-2020
|
|
| 1037 |
|
|
SARITA SINGH
(PAN:BCXPS7932P)
(Authorised Person of WEALTH MANTRA LTD., Member : BSE)
|
|
|
|
SARITA SINGH,M/S
PAN:BCXPS7932P
(Authorised Person of WEALTH MANTRA LTD., Member : BSE)
|
|
NO LONGER AFFILIATED AS AUTHORISED PERSON
|
CANCELLED REGISTRATION AS AUTHORISED PERSON FROM 04-MAY-2018
04-MAY-2018
|
|
| 1038 |
|
|
SARITA SINGH,M/S
(PAN:BCXPS7932P)
(Authorised Person of WEALTH MANTRA LTD., Member : BSE)
|
|
|
|
SARITA SINGH
PAN:BCXPS7932P
|
|
NO LONGER AFFILIATED AS AUTHORISED PERSON
|
CANCELLED REGISTRATION AS AUTHORISED PERSON FROM 04-MAY-2018
04-MAY-2018
|
|
| 1039 |
|
|
SARITA,M/S
(Authorised Person of KOTAK SECURITIES LTD., Member : NSE)
|
|
|
|
SARITA
|
|
NO LONGER AFFILIATED AS AUTHORISED PERSON
|
CANCELLED REGISTRATION AS AUTHORISED PERSON
03-FEB-2020
|
|
| 1040 |
|
|
SARLA SECURITIES
(Authorised Person of A.C.CHOKSI SHARE BROKERS PVT.LTD., Member : NSE)
|
|
|
NO LONGER AFFILIATED AS AUTHORISED PERSON
|
CANCELLED REGISTRATION AS AUTHORISED PERSON
09-APR-2018
|
|
| 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 52 of 66
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