| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 221 |
|
SHUBHA KARAN LOHIA,M/S
(Member : CSE)
|
|
|
|
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 |
|
|
SHYAM MOHAN AGARWAL,M/S
(Member : UPSE)
|
|
|
|
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 |
|
|
SHYAM SUNDER CHIRIPAL,M/S
(Member : CSE)
|
|
|
|
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 |
|
|
SHYAMA PRASAD MURARKA,M/S
(PAN:AFCPM6318J)
(Member : CSE)
|
|
|
|
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
SEBI VIDE ITS NOTICE DATED 16/10/2015 DIRECTED NSDL TO ATTACH 1. ALL DEMAT ACCOUNT/S BY WHATEVER NAME CALLED OF THE DEFAULTER, EITHER SINGLY OR JOINTLY WITH ANY OF OTHER PERSONS AND 2. ALL FUNDS/FOLIOS/SCHEMES HELD BY WHATEVER NAME CALLED OF THE DEFAULTER, EITHER SINGLY OR JOINTLY WITH ANY OF OTHER PERSONS
SEBI VIDE ITS NOTICE DATED 16/10/2015 DIRECTED ALL THE BANKS IN INDIA TO ATTACH 1. ALL ACCOUNT/S BY WHATEVER NAME CALLED INCLUDING LOCKERS OF THE DEFAULTER, EITHER SINGLY OR JOINTLY WITH ANY OF OTHER PERSONS AND 2. ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE TO DEFAULTER OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR OR ON ACCOUNT OF THE DEFAULTER
SEBI VIDE ITS ORDER DATED 26/07/2022 A) PROHIBITED FROM DISPOSING, TRANSFERRING, ALIENATING OR CHARGING IN RESPECT OF ALL THE IMMOVABLE AND MOVABLE PROPERTIES LISTED IN THE ORDER B) PROHIBITED FROM TAKING ANY BENEFIT UNDER SUCH DISPOSAL, TRANSFER, ALIENATION OR CHARGE IN RESPECT OF THE PROPERTIES LISTED IN ORDER C) DIRECTED TO FURNISH ALL MOVABLE AND IMMOVABLE PROPERTIES HELD BY DEFAULTERS AND CHARGES, IF ANY, DULY CERTIFIED BY BOARD OF DIRECTORS WITHIN TWO WEEKS FROM DATE OF THIS ORDER AT SEBI, EASTERN REGIONAL OFFICE, KOLKATA D) DIRECTED INSPECTORS GENERAL OF REGISTRATION OF ALL THE STATES AND UNION TERRITORIES AND CONCERNED TEHSILDARS, DISTRICT REGISTRARS AND SUB-REGISTRARS OF THE RESPECTIVE AREAS WHERE THE PROPERTIES ARE LOCATED E) NOT TO ACT UPON ANY DOCUMENTS PURPORTING TO BE DEALING WITH TRANSFER, MORTGAGE, CHARGE, LEASE OR CREATION OR ALTERATION OF ANY INTEREST IN ANY OF THE PROPERTIES OWNED/HELD BY THE DEFAULTERS, IF PRESENTED FOR REGISTRATION
|
| 225 |
|
|
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 |
|
|
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 |
|
|
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 |
|
|
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 |
|
|
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 |
|
|
SREE GOPAL NATHANY,M/S
(Member : CSE)
|
|
|
|
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 |
|
|
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 |
|
|
SUDHIR PRASAD,M/S
(Member : JSE)
|
|
|
|
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 |
|
|
SUMAN K.TRIVEDI,M/S
(Member : CSE)
|
|
|
|
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 |
|
|
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 |
|
|
SUNDER LAL GUPTA,M/S
(Member : CSE)
|
|
|
|
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 |
|
|
SUNIL KUMAR SARKAR,M/S
(Member : CSE)
|
|
|
|
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 |
|
|
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 |
|
|
SURENDRA NATH SHARMA,M/S
(Member : UPSE)
|
|
|
|
SURENDRA NATH SHARMA
|
|
DID NOT PAY FEES TO SEBI
|
SHOW CAUSE NOTICE ISSUED
09-NOV-2009
|
|
| 239 |
|
|
SURESH A.,M/S
(Member : COCSE)
|
|
|
|
SURESH A.
|
|
DID NOT PAY FEES TO SEBI
|
SHOW CAUSE NOTICE ISSUED
09-NOV-2009
|
|
| 240 |
|
|
SURESH CHAND KOTHARI,M/S
(Member : JSE)
|
|
|
|
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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| Page 12 of 14
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