| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 181 |
|
ASHIKA COMMODITIES & DERIVATIVES PVT.LTD.
(PAN:AAFCA5778D)
(Member : NSEL)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 06-JUL-2023 TO 05-OCT-2023
06-JUL-2023
|
SAT: SAT VIDE ITS ORDER DATED 30/10/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 06/12/2023 CONDONED THE DELAY IN FILING OF REPLY AND REPLY AND REJOINDER TAKEN ON RECORD. EXEMPTION APPLICATIONS, IF ANY ALLOWED
SAT: SAT VIDE ITS ORDER DATED 12/12/2023 DISPOSED OF THE GROUP OF APPEALS BY DIRECTING SEBI TO CONSIDER AND COME OUT WITH A SCHEME UNDER SETTLEMENT REGULATIONS PREFERABLY WITHIN THREE MONTHS FROM DATE OF THIS ORDER. IN THE EVENT, SCHEME NOT FRAMED UNDER SETTLEMENT REGULATIONS BY SEBI THEN SAID DECISION TO BE COMMUNICATED TO ALL APPELLANTS
SAT: SAT VIDE ITS ORDER DATED 14/03/2024 ALLOWED EXTENSION OF FOUR MONTHS W.E.F.11/03/2024 FOR COMING OUT WITH A SCHEME UNDER SEBI (SETTLEMENT PROCEEDINGS) REGULATIONS, 2018 AS DIRECTED BY THIS TRIBUNAL VIDE ORDER DATED 12/12/2023
SAT: SAT VIDE ITS ORDER DATED 12/07/2024 GRANTED EXTENSION OF SIX MONTHS TO COMPLETE THE ENTIRE PROCEEDINGS AND COME OUT WITH A SCHEME UNDER THE SETTLEMENT REGULATIONS
SAT: SAT VIDE ITS ORDER DATED 12/03/2025 GRANTED EXTENSION FOR FOUR MONTHS TO COMPLY WITH ORDER DATED 12/12/2023
|
| 182 |
|
|
ASHIKA STOCK BROKING LTD.
(PAN:AACCA7156Q)
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 15-SEP-2009 TO 14-MAR-2010
15-SEP-2009
|
PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 15/09/2009
|
| 183 |
|
|
ASHIKA STOCKS & SECURITIES PVT.LTD.
(Member : BHSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 184 |
|
|
ASHISH FISCAL SERVICES 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
|
|
| 185 |
|
|
ASHISH KUMAR KUNDRA,M/S
(Member : OTC)
|
|
|
|
ASHISH KUMAR KUNDRA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 186 |
|
|
ASHLAR COMMODITIES PVT.LTD.
(PAN:AAHCA9620N)
(Member : NSEL)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-NOV-2023 TO 23-FEB-2024
24-NOV-2023
|
SAT: SAT VIDE ITS ORDER DATED 16/12/2025 GRANTED OPPORTUNITY TO APPLY FOR THE SETTLEMENT UNDER NSEL SETTLEMENT SCHEME, 2025. NO COSTS
|
| 187 |
|
|
ASHOK ADVANI,M/S
(Member : JSE)
|
|
|
|
ASHOK ADVANI
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010
SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010
07-DEC-2009
|
|
| 188 |
|
|
ASHOK AGARWAL,M/S
(Member : JSE)
|
|
|
|
ASHOK AGARWAL
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010
SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010
07-DEC-2009
|
|
| 189 |
|
|
ASHOK C.SHAH,M/S
(Member : COCSE)
|
|
|
|
ASHOK C.SHAH
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-MAR-2007 TO 06-SEP-2007
07-MAR-2007
|
|
| 190 |
|
|
ASHOK CHINUBHAI SHAH,M/S
(Member : ASE)
|
|
|
|
ASHOK CHINUBHAI SHAH
|
|
DID NOT OBTAIN WRITTEN CONSENT FROM CLIENTS FOR PRINCIPAL TO PRINCIPAL TRANSACTIONS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
EXECUTED CROSS DEALS AMONG CLIENTS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
EXECUTED FICTITIOUS TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-JAN-2002 TO 06-MAY-2002
10-JAN-2002
|
|
| 191 |
|
|
ASHOK DOLIA,M/S
(Member : MDSE)
|
|
|
|
ASHOK DOLIA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 192 |
|
|
ASHOK K.BABU,M/S
(Member : BGSE)
|
|
|
|
ASHOK K.BABU
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 193 |
|
|
ASHOK KRISHNAN,M/S
(Member : OTC)
|
|
|
|
ASHOK KRISHNAN
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 194 |
|
|
ASHOK KUMAR AGRAWAL,M/S
(Member : ICSE)
|
|
|
|
ASHOK KUMAR AGRAWAL
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 195 |
|
|
ASHOK KUMAR KAYAN,M/S
(PAN:ALKPK2298K)
(Member : CSE)
|
|
|
|
ASHOK KUMAR KAYAN
PAN:ALKPK2298K
|
|
INDULGED IN CIRCULAR TRADING
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-AUG-1999 TO 26-NOV-1999
26-AUG-1999
|
|
| 196 |
|
|
ASHOK KUMAR RATERIA,M/S
(Member : CSE)
|
|
|
|
ASHOK KUMAR RATERIA
|
|
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
|
| 197 |
|
|
ASHOK KUMAR,M/S
(Member : BGSE)
|
|
|
|
ASHOK KUMAR
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 198 |
|
|
ASHOK M.CHOPRA,M/S
(Member : MPSE)
|
|
|
|
ASHOK M.CHOPRA
|
|
ACTED IN CONCERT WITH OTHER BROKERS TO MANIPULATE MARKET THROUGH CIRCULAR TRADING IN SCRIP OF DHAR TEXTILES MILLS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 09-JAN-2006 TO 15-JAN-2006
20-DEC-2005
|
|
| 199 |
|
|
ASHOK MAKKER & CO.
(Member : LSE)
|
|
|
|
ASHOK MAKKER
|
|
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS VIOLATING CLAUSE A(1) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF CLASSIC GLOBAL IMPEX LTD. (NOW KNOWN AS DEVINE IMPEX LTD.)
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 14-MAR-2010 TO 03-APR-2010
20-FEB-2010
|
|
| 200 |
|
|
ASHOK MAKKER,M/S
(Member : LSE)
|
|
|
|
ASHOK MAKKER
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 14-APR-2004 TO 13-AUG-2004
24-MAR-2004
|
|
| 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 10 of 107
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