| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 201 |
|
INDIA SECURITIES
(Member : COCSE)
|
|
|
|
SUDHA AGARWAL
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 16-FEB-2005
16-FEB-2005
|
|
| 202 |
|
|
INDIAN FINANCE GUARANTY LTD.
(PAN:AAACI2308E)
(Member : OTC)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 14-SEP-2004
14-SEP-2004
|
SAT: DIRECTED SEBI TO TAKE APPROPRIATE ACTION, AS OTCEI REVOKED EXPULSION ORDER OF DEALERSHIP W.E.F.26/08/2005
|
| 203 |
|
|
INDRAPRASTHA HOLDINGS LTD.
(Member : NSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 26-SEP-2003
26-SEP-2003
|
|
| 204 |
|
|
INTEGRATED CAPITAL SERVICES LTD.
(Member : OTC)
|
|
|
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 23-JAN-2008
23-JAN-2008
|
|
| 205 |
|
|
INVESTMENT POINT INDIA LTD.
(Member : NSE)
|
|
|
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 24-APR-2015
24-APR-2015
|
|
| 206 |
|
|
INVESTNET SECURITIES INDIA LTD.
(Member : NSE)
|
|
|
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 14-JAN-2004
14-JAN-2004
|
|
| 207 |
|
|
J.C.KHOSLA,M/S
(Member : UPSE)
|
|
|
|
J.C.KHOSLA
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 29-SEP-2004
29-SEP-2004
|
|
| 208 |
|
|
J.K.JAIN & CO.
(Member : JSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 06-DEC-2004
06-DEC-2004
|
|
| 209 |
|
|
J.VENKATESWARAN,M/S
(Member : CMBSE)
|
|
|
|
J.VENKATESWARAN
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002
22-OCT-2002
|
|
| 210 |
|
|
JACOB CHERIAN,M/S
(Member : OTC)
|
|
|
|
JACOB CHERIAN
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002
22-OCT-2002
|
|
| 211 |
|
|
JAIN & CO.
(Member : LSE)
|
|
|
|
PRAVEEN KUMAR JAIN
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 11-OCT-2002
11-OCT-2002
|
|
| 212 |
|
|
JALPRADEEP SECURITIES LTD.
(Member : NSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 26-SEP-2003
26-SEP-2003
|
|
| 213 |
|
|
JAYADURGA INVESTMENTS PVT.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
|
|
| 214 |
|
|
JITIN L.WAGH,M/S
(Member : PSE)
|
|
|
|
J.L.WAGH
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 18-SEP-2002
18-SEP-2002
|
|
| 215 |
|
|
JOE & MATHEW
(Member : COCSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 27-AUG-2004
27-AUG-2004
|
|
| 216 |
|
|
JYOTSNA ANIL MEHTA,M/S
(Member : PSE)
|
|
|
|
JYOTSNA ANIL MEHTA
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 27-AUG-2004
27-AUG-2004
|
|
| 217 |
|
|
K.ANANTHANARAYANAN,M/S
(Member : CMBSE)
(Along with : ABISHEK ENTERPRISES)
|
|
|
|
K.ANANTHANARAYANAN
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002
22-OCT-2002
|
|
| 218 |
|
|
K.C.GEORGE,M/S
(Member : OTC)
|
|
|
|
K.C.GEORGE
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 08-FEB-2007
08-FEB-2007
|
|
| 219 |
|
|
K.C.S.RAJENDHIRUN,M/S
(Member : MDSE)
|
|
|
|
K.C.S.RAJENDHIRUN
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002
22-OCT-2002
|
|
| 220 |
|
|
K.M.PAULACHEN,M/S
(Member : COCSE)
|
|
|
|
K.M.PAULACHEN
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 29-OCT-2004
29-OCT-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 11 of 30
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