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SOURCE OF INFORMATION

SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
UPDATED TILL : 11-JUL-2025

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

STOCK BROKERS: SHOW CAUSE NOTICE ISSUED

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
201
History of entity/person SANJAY JAIN,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person SANJAY JAIN
  		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  
202
History of entity/person SANJEEV KUMAR GUPTA,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person SANJEEV KUMAR GUPTA
  		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  
203
History of entity/person SANJIVANI MEHARDA,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person SANJIVANI MEHARDA
  		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  
204
History of entity/person SARITA MOHTA,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person SARITA MOHTA
  		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  
205
History of entity/person SATISH C.T.,M/S

(Member : COCSE)  
Click here to view complete history of this specific entity/person SATISH C.T.
  		DID NOT PAY FEES TO SEBI   SHOW CAUSE NOTICE ISSUED

09-NOV-2009 		 
206
History of entity/person SEBASTIAN JOSE,M/S

(Member : ICSE)  
Click here to view complete history of this specific entity/person SEBASTIAN JOSE
  		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  
207
History of entity/person SHAH SURESH DAMJI,M/S

(Member : BSE)  
Click here to view complete history of this specific entity/person SHAH SURESH DAMJI
  		DID NOT PAY FEES TO SEBI   SHOW CAUSE NOTICE ISSUED

09-NOV-2009 		CERTIFICATE OF REGISTRATION CANCELLED W.E.F 10/06/2010, VIDE ORDER DATED 20/05/2010.  
208
History of entity/person SHAILESH HARINARAYAN BAJAJ,M/S

(Member : BSE)  
Click here to view complete history of this specific entity/person SHAILESH HARINARAYAN BAJAJ
  		DID NOT PAY FEES TO SEBI   SHOW CAUSE NOTICE ISSUED

09-NOV-2009 		CERTIFICATE OF REGISTRATION CANCELLED W.E.F 10/06/2010, VIDE ORDER DATED 20/05/2010.  
209
History of entity/person SHALOO GUPTA,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person SHALOO GUPTA
  		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  
210
History of entity/person SHANKAR LAL MODI,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person SHANKAR LAL MODI
  		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  
211
History of entity/person SHANTI SWAROOP BARMAN,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person SHANTI SWAROOP BARMAN
  		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  
212
History of entity/person SHARAD LOKNATH TIBREWALA,M/S

(Member : BSE)  
Click here to view complete history of this specific entity/person SHARAD LOKNATH TIBREWALA
  		DID NOT PAY FEES TO SEBI   SHOW CAUSE NOTICE ISSUED

09-NOV-2009 		CERTIFICATE OF REGISTRATION CANCELLED W.E.F 10/06/2010, VIDE ORDER DATED 20/05/2010.  
213
History of entity/person SHEWRAM BERIWALA,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person SHEWRAM BERIWALA
  		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  
214
History of entity/person SHIKHA GROWTH FUND LTD.

(Member : OTC)  
  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  
215
History of entity/person SHIVRAJ HOLDINGS PVT.LTD.

(Member : OTC)  
  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  
216
History of entity/person SHOBHAN LAL JAIN,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person SHOBHAN LAL JAIN
  		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  
217
History of entity/person SHREE KUMAR MAJEJI,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person SHREE KUMAR MAJEJI
  		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  
218
History of entity/person SHREEKUMARI MENON,M/S

(Member : COCSE)  
Click here to view complete history of this specific entity/person SHREEKUMARI MENON
  		DID NOT PAY FEES TO SEBI   SHOW CAUSE NOTICE ISSUED

09-NOV-2009 		 
219
History of entity/person SHRI KRISHNA BHATTER,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person SHRI KRISHNA BHATTER
  		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  
220
History of entity/person SHRIKAR INVESTMENTS PVT.LTD.

(Member : OTC)  
  DID NOT PAY FEES TO SEBI   SHOW CAUSE NOTICE ISSUED

09-NOV-2009 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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