| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 221 |
|
BABU LAL AGRAWAL,M/S
(Member : JSE)
|
|
|
|
BABU LAL AGRAWAL
|
|
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
|
|
| 222 |
|
|
BABU MATHEW & CO.
(Member : COCSE)
|
|
|
|
BABU MATHEW
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-MAR-2007 TO 06-SEP-2007
07-MAR-2007
|
|
| 223 |
|
|
BABULAL SHARMA,M/S
(Member : BHSE)
|
|
|
|
BABULAL SHARMA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 224 |
|
|
BACHRAJ STOCKS PVT.LTD.
(Member : CMBSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 225 |
|
|
BACNOTON INVESTMENT PVT.LTD.
(Member : COCSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 13-NOV-2007 TO 12-APR-2008
23-OCT-2007
|
|
| 226 |
|
|
BACNOTON INVESTMENTS PVT.LTD.
(Member : ICSE)
|
|
|
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
|
| 227 |
|
|
BADRI DAS DAMANI,M/S
(Member : CSE)
|
|
|
|
BADRI DAS DAMANI
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 228 |
|
|
BADRI NARAYAN SAHA,M/S
(Member : BHSE)
|
|
|
|
BADRI NARAYAN SAHA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 229 |
|
|
BADRI PRASAD PODDAR,M/S
(Member : CSE)
|
|
|
|
BADRI PRASAD PODDAR
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 230 |
|
|
BAFNA SECURITIES PVT.LTD.
(CIN:U67120KA1995PTC017755)
(Member : CSE)
|
|
|
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
|
| 231 |
|
|
BAJRANG DASS MITTAL,M/S
(Member : JSE)
|
|
|
|
BAJRANG DASS MITTAL
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
13-NOV-2009
|
PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 13/11/2009
|
| 232 |
|
|
BAJRANGLAL PAREEK,M/S
(Member : UPSE)
|
|
|
|
BAJRANGLAL PAREEK
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 233 |
|
|
BAKUL B.GHIYA,M/S
(Member : ICSE)
|
|
|
|
BAKUL B.GHIYA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 234 |
|
|
BAKULBHAI B.THAKKAR,M/S
(Member : ASE)
|
|
|
|
BAKULBHAI B.THAKKAR
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-MAR-2007 TO 06-SEP-2007
07-MAR-2007
|
|
| 235 |
|
|
BAL BINOD BAJORIA,M/S
(Member : CSE)
|
|
|
|
BAL BINOD BAJORIA
|
|
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
|
| 236 |
|
|
BAL KRISHNA GUPTA,M/S
(Member : UPSE)
|
|
|
|
BAL KRISHNA GUPTA
|
|
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.
|
| 237 |
|
|
BAL KRISHNA NEWAR,M/S
(Member : BHSE)
|
|
|
|
BAL KRISHNA NEWAR
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
20-AUG-2009
|
PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 20/08/2009
|
| 238 |
|
|
BALDEV KRISHAN AHUJA,M/S
(Member : OTC)
|
|
|
|
BALDEV KRISHAN AHUJA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 239 |
|
|
BALLABH DAS DWARKANI,M/S
(Member : CSE)
|
|
|
|
BALLABH DAS DWARKANI
|
|
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
|
| 240 |
|
|
BANGUR & CO.
(Member : MGSE)
|
|
|
|
SHREE VALLABH BANGUR
|
|
DID NOT ISSUE CONTRACT NOTES
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS AND/OR DOCUMENTS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN SEPARATE CLIENT ACCOUNT
DID NOT PAY FEES TO SEBI
DID NOT MEET CAPITAL ADEQUACY REQUIREMENT
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 15-SEP-1998 TO 14-DEC-1998
02-SEP-1998
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 12 of 104
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