| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 181 |
|
PRAVEEN & CO.
(Member : JSE)
|
|
|
|
PRAVEEN RAMAWAT
|
|
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DID NOT ISSUE CONTRACT NOTES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT RECTIFY BAD DELIVERIES IN TIME
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 31-DEC-1998 TO 30-JUN-1999
30-DEC-1998
|
|
| 182 |
|
|
PREMIER SHARES LTD.
(Member : NSE/MCX)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
ALLEGED FAILURE IN SEGREGATING CLIENTS FUNDS AND SECURITIES
ALLEGED MISUTILISATION OF CLIENTS FUNDS
ALLEGED DELAY IN MAKING PAYMENT TO CLIENTS
ALLEGED FAILURE IN MAINTENANCE OF CLIENT DATABASE
ALLEGED INDULGENCE IN FUND-BASED ACTIVITIES BY LENDING MONEY TO OTHER CLIENTS
ALLEGED DELAY IN REDRESSAL OF COMPLAINTS
ALLEGED FAILURE IN APPOINTING A PERSON EXCLUSIVELY AS COMPLIANCE OFFICER
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE IN CONDUCT OF BUSINESS
ALLEGED DELAY IN ISSUING CONTRACT NOTES
ALLEGED ISSUING CHEQUES TO CLIENTS WITH INSUFFICIENT FUNDS
ALLEGED EXECUTING LARGE NUMBER OF CASH TRANSACTIONS EXCEEDING PRESCRIBED CEILING LIMITS AND ENTERING INTO CASH TRANSACTIONS WHICH LACKED PROPER EXPLANATION
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.30,00,000 VIDE CONSENT ORDER)
01-JUN-2011
|
|
| 183 |
|
|
PRS SHARES & FINANCE PVT.LTD.
(Member : BSE)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
16-FEB-2009
|
|
| 184 |
|
|
PRUTHVI BROKERS & SHARE HOLDINGS PVT.LTD.
(Member : BSE)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
ALLEGED INSTALLATION OF TERMINALS AT UNAUTHORIZED PLACES
ALLEGED FAILURE IN COLLECTION OF ADEQUATE MARGIN
ALLEGED DISCREPANCIES IN MAINTENANCE OF CLIENT CODES
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
30-OCT-2009
|
|
| 185 |
|
|
R.BHAI & CO.
(Member : LSE)
|
|
|
|
RAJIV KALRA
|
|
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
DID NOT HAVE PRE-PRINTED SERIAL NUMBERS ON CONTRACT NOTES
DEFICIENCIES IN CLIENT DATABASE
INDULGED IN OFF-THE-FLOOR TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 21-JUL-2003 TO 20-OCT-2003
25-JUN-2003
|
|
| 186 |
|
|
R.M.SHARES TRADING PVT.LTD.
(PAN:AABCR6331B)
(Member : BSE)
|
|
|
DEFICIENCIES IN MEMBER-CLIENT AGREEMENTS
GAVE SHORT TERM LOANS TO CLIENTS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DEALT IN UNQUOTED SHARES
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
05-JAN-2006
|
|
| 187 |
|
|
R.R.CHOKHANI STOCK BROKERS PVT.LTD.
(PAN:AAACR7391E)
(Member : BSE)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
06-AUG-1999
|
|
| 188 |
|
|
R.S.& CO.
(Member : DSE)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT MENTION DATE OF TRANSACTIONS ON DELIVERY BILLS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
30-JUN-1998
|
|
| 189 |
|
|
R.SINGHANIA & CO.
(Member : DSE)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT HAVE PRE-PRINTED SERIAL NUMBERS ON CONTRACT NOTES
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT ADHERE TO SECURITIES CONTRACTS (REGULATION) ACT, WITH REGARD TO SPOT TRANSACTIONS
DID NOT RECTIFY BAD DELIVERIES IN TIME
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
18-JUN-1998
|
|
| 190 |
|
|
RADAR SECURITIES LTD.
(Member : NSE)
|
|
|
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-JAN-2003 TO 29-JUN-2004
10-JAN-2003
|
SAT: ORDER AS MODIFIED UPHELD
|
| 191 |
|
|
RAGAVI INVESTMENTS
(Member : CMBSE)
|
|
|
|
M.JAYAKUMAR
|
|
MANIPULATION IN BUYING, SELLING AND DEALINGS IN SCRIP OF JINDAL IRON & STEEL CO.LTD. IN COLLUSION WITH WELDEAL SHARES PVT.LTD.
EXECUTED FRAUDULENT TRANSACTIONS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-JAN-2003 TO 10-JAN-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-JAN-2003 TO 10-JAN-2005
11-JAN-2003
|
|
| 192 |
|
|
RAJAN MAHESHWARI,M/S
(Member : JSE)
(Along with : M.M.BROKERS PVT.LTD.)
|
|
|
|
RAJAN MAHESHWARI
|
|
DID NOT PRODUCE BOOKS OF ACCOUNTS TO SEBI FOR INSPECTION
DEFAULTED IN MAINTENANCE OF SAUDA BOOK
DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER
DID NOT ISSUE CONTRACT NOTES
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
USED EXCHANGE MECHANISM IN ORDER TO MEET FINANCIAL OBLIGATIONS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 02-JUL-1999 TO 01-AUG-1999
06-JUL-1999
|
|
| 193 |
|
|
RAJAT SHARES & STOCK BROKERS PVT.LTD.
(Member : MGSE)
|
|
|
FACILITATED TRANSACTIONS ILLEGALLY WITHOUT FOLLOWING "KNOW YOUR CLIENT CRITERIA"
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-AUG-2005
19-AUG-2005
|
|
| 194 |
|
|
RAJRATHAN FINANCIAL SERVICES PVT.LTD.
(Member : UPSE)
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE IN CONDUCT OF ITS BUSINESS AS A BROKER
DEFICIENCIES IN CLIENT DATABASE
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
UNDERTOOK PRINCIPAL TO PRINCIPAL TRADE
DID NOT MAINTAIN CLIENT DATABASE
DID NOT REPORT SPOT TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
IMPOSED PENALTY RS.4,00,000
10-JUN-2009
|
|
| 195 |
|
|
RAMA SECURITIES PVT.LTD.
(Member : CSE)
|
|
|
INDULGED IN OFF-MARKET TRANSACTIONS
INDULGED IN UNAUTHORISED FUND-BASED ACTIVITIES
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 06-JAN-2004 TO 05-JUL-2004
16-DEC-2003
|
|
| 196 |
|
|
RAMABEN SAMANI FINANCE PVT.LTD.
(Member : BSE)
|
|
|
|
SUDHA B.VITHLANI
|
|
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
DEFAULTED IN MAINTENANCE OF ORDER CONFIRMATION SLIP
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT EXERCISE DUE SKILL AND CARE WHILE DEALING WITH CLIENTS IN SCRIP OF GUJARAT FISCON LTD.
DEALT WITH UN-REGISTERED SUB-BROKERS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 28-JUL-2007 TO 11-AUG-2007
22-JUN-2007
|
|
| 197 |
|
|
RAMANLAL D.SHAH,M/S
(Member : BSE)
|
|
|
|
RAMANLAL D.SHAH
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
06-OCT-2004
|
|
| 198 |
|
|
RENAISSANCE SECURITIES LTD.
(Member : BSE/OTC)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
08-AUG-2005
|
|
| 199 |
|
|
RENU PODDAR,M/S
(Member : CSE)
|
|
|
|
RENU PODDAR
|
|
INDULGED IN OFF-MARKET TRANSACTIONS
INDULGED IN UNAUTHORISED FUND-BASED ACTIVITIES
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 05-JAN-2004 TO 04-JUL-2004
15-DEC-2003
|
|
| 200 |
|
|
RICHMEN SECURITIES PVT.LTD.
(Member : HSE)
|
|
|
ROUTED FICTITIOUS TRANSACTIONS IN THE FORM OF SPOT TRANSACTIONS AND LATER REVERSED THE TRANSACTIONS WITH A SALE TRANSACTION IN THE REGULAR SETTLEMENT TRADING
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
10-FEB-2000
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 10 of 13
|
