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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 : 04-NOV-2026

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: DID NOT ADHERE TO PROVISION REGULATION OF SEBI

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
221
History of entity/person K.M.PRABHAKARAN,M/S

(Member : COCSE)  
Click here to view complete history of this specific entity/person K.M.PRABHAKARAN
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 27-AUG-2004

27-AUG-2004 		 
222
History of entity/person K.R.PRAKASH & CO.

(Member : MDSE)  
Click here to view complete history of this specific entity/person K.R.PRAKASH
  		DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED

DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992   		CANCELLED REGISTRATION AS STOCK BROKER FROM 08-SEP-2003

08-SEP-2003 		 
223
History of entity/person K.R.VENKATASWAMY,M/S

(Member : CMBSE)

(Along with : TEJAL & CO.)  
Click here to view complete history of this specific entity/person K.R.VENKATASWAMY
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002

22-OCT-2002 		 
224
History of entity/person K.T.TITUS,M/S

(Member : COCSE)  
Click here to view complete history of this specific entity/person K.T.TITUS
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 27-AUG-2004

27-AUG-2004 		 
225
History of entity/person K.UMA & CO.

(Member : UPSE)  
  DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED

DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992   		CANCELLED REGISTRATION AS STOCK BROKER FROM 08-JUL-2003

17-JUN-2003 		 
226
History of entity/person KAILASH INVESTORS

(Member : UPSE)  
Click here to view complete history of this specific entity/person KAILASH CHAND AGARWAL
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 29-SEP-2004

29-SEP-2004 		 
227
History of entity/person KALPAKA INVESTMENTS

(Member : MNGSE)  
Click here to view complete history of this specific entity/person S.RAMAN
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 16-JUL-2004

16-JUL-2004 		 
228
History of entity/person KAMAL BHATIA,M/S

(Member : LSE)  
Click here to view complete history of this specific entity/person KAMAL BHATIA
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 30-DEC-2004

30-DEC-2004 		 
229
History of entity/person KAMAL SECURITIES PVT.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 		 
230
History of entity/person KANAK NAHATA,M/S

(Member : ICSE)  
Click here to view complete history of this specific entity/person KANAK NAHATA
  		DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 28-FEB-2005

28-FEB-2005 		 
231
History of entity/person KANTILAL MANGALDAS SECURITIES PVT.LTD.

(Member : BSE)  
  DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 30-DEC-2004

30-DEC-2004 		 
232
History of entity/person KAPOORCHAND SETHIA,M/S

(Member : MDSE)  
Click here to view complete history of this specific entity/person KAPOORCHAND SETHIA
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002

22-OCT-2002 		 
233
History of entity/person KARDAM FINANCIAL SERVICES PVT.LTD.

(Member : COCSE)  
  DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 27-AUG-2004

27-AUG-2004 		 
234
History of entity/person KARTIK SECURITIES PVT.LTD.

(Member : OTC)  
  DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002

22-OCT-2002 		 
235
History of entity/person KARUN SECURITIES PVT.LTD.

(Member : OTC)  
  DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 30-JUN-2004

30-JUN-2004 		 
236
History of entity/person KASHI PRASAD RATHI,M/S

(Member : UPSE)  
Click here to view complete history of this specific entity/person KASHI PRASAD RATHI
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 15-APR-2002

15-APR-2002 		 
237
History of entity/person KAVITABEN A.PATEL,M/S

(Member : SKSE)  
Click here to view complete history of this specific entity/person KAVITABEN A.PATEL
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 13-MAY-2002

13-MAY-2002 		 
238
History of entity/person KEN FINANCIAL SERVICES LTD.

(PAN:AAACK4929K)

(Member : NSE)  
  DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED   CANCELLED REGISTRATION AS STOCK BROKER FROM 24-APR-2015

24-APR-2015 		 
239
History of entity/person KEN FINANCIAL SERVICES LTD.

(PAN:AAACK4929K)

(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 		 
240
History of entity/person KESAVA MALLIA,M/S

(Member : COCSE)  
Click here to view complete history of this specific entity/person KESAVA MALLIA
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 16-FEB-2005

16-FEB-2005 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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