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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
221
History of entity/person SHUBHA KARAN LOHIA,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person SHUBHA KARAN LOHIA
  		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  
222
History of entity/person SHYAM MOHAN AGARWAL,M/S

(Member : UPSE)  
Click here to view complete history of this specific entity/person SHYAM MOHAN AGARWAL
  		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  
223
History of entity/person SHYAM SUNDER CHIRIPAL,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person SHYAM SUNDER CHIRIPAL
  		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  
224
History of entity/person SHYAMA PRASAD MURARKA,M/S

(PAN:AFCPM6318J)

(Member : CSE)  
Click here to view complete history of this specific entity/person SHYAMA PRASAD MURARKA

PAN:AFCPM6318J
  		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

SEBI VIDE ITS NOTICE DATED 16/10/2015 DIRECTED CALCUTTA STOCK EXCHANGE LTD. TO REMIT RS.77, 29,736 (INCLUSIVE RS.1, 000.00 TOWARDS ADMINISTRATION CHARGES) WITHIN A WEEK FROM THE DATE OF THIS NOTICE  
225
History of entity/person SIVAANAND SECURITIES 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  
226
History of entity/person SMART CAPITAL SERVICES 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  
227
History of entity/person SOUNDCRAFT MARKETING PROJECTS & FINANCE 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  
228
History of entity/person SPADE FINANCIAL SERVICES 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  
229
History of entity/person SPRINGFIELDS SECURITIES LTD.

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

09-NOV-2009 		AS PER MOA, THE COMPANY IS NO MORE IN BROKING BUSINESS  
230
History of entity/person SREE GOPAL NATHANY,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person SREE GOPAL NATHANY
  		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
History of entity/person SRISTHI EQUITIES BROKERS 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  
232
History of entity/person SUDHIR PRASAD,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person SUDHIR PRASAD
  		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  
233
History of entity/person SUMAN K.TRIVEDI,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person SUMAN K.TRIVEDI
  		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  
234
History of entity/person SUN & HILLS FINANCIAL SERVICES 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  
235
History of entity/person SUNDER LAL GUPTA,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person SUNDER LAL 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  
236
History of entity/person SUNIL KUMAR SARKAR,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person SUNIL KUMAR SARKAR
  		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  
237
History of entity/person SURAJ GLOBAL CAPITAL LTD.

(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  
238
History of entity/person SURENDRA NATH SHARMA,M/S

(Member : UPSE)  
Click here to view complete history of this specific entity/person SURENDRA NATH SHARMA
  		DID NOT PAY FEES TO SEBI   SHOW CAUSE NOTICE ISSUED

09-NOV-2009 		 
239
History of entity/person SURESH A.,M/S

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

09-NOV-2009 		 
240
History of entity/person SURESH CHAND KOTHARI,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person SURESH CHAND KOTHARI
  		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  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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