| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 241 |
|
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
|
|
| 242 |
|
|
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
|
|
| 243 |
|
|
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
|
| 244 |
|
|
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
|
|
| 245 |
|
|
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
|
|
| 246 |
|
|
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
|
|
| 247 |
|
|
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
|
| 248 |
|
|
BAGLA & CO.
(Member : CSE)
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 19-MAY-2006 TO 18-MAY-2008
28-APR-2006
|
|
| 249 |
|
|
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
|
|
| 250 |
|
|
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
|
|
| 251 |
|
|
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
|
|
| 252 |
|
|
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
|
| 253 |
|
|
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
|
|
| 254 |
|
|
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
|
| 255 |
|
|
BALLABH DASS DAGA,M/S
(Member : CSE)
|
|
|
|
BALLABH DASS DAGA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIPS OF PATRIOT TRADING CO.LTD. & GLOBE STOCKS & SECURITIES LTD.
VIOLATED CODE OF CONDUCT AS PRESCRIBED UNDER STOCK BROKER REGULATIONS
DID NOT EXERCISE DUE CARE AND DILIGENCE IN CONDUCT OF ITS BUSINESS AS A BROKER
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 16-APR-2007 TO 15-JAN-2008
26-MAR-2007
|
|
| 256 |
|
|
BALLABH DASS DAGA,M/S
(Member : CSE)
|
|
|
|
BALLABH DASS DAGA
|
|
INDULGED IN CROSS DEALS IN SCRIP OF M.P.INVESTMENT & CONSULTANCY SERVICES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 03-JAN-2005 TO 02-FEB-2005
13-DEC-2004
|
|
| 257 |
|
|
BALLABH DASS DAGA,M/S
(Member : CSE)
|
|
|
|
BALLABH DASS DAGA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRADES/MATCHING ORDERS IN SCRIP OF DSQ INDUSTRIES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 28-FEB-2007 TO 27-JUN-2007
08-FEB-2007
|
|
| 258 |
|
|
BALLABH DASS DAGA,M/S
(Member : CSE)
|
|
|
|
BALLABH DASS DAGA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF BACCHHAT INVESTMENT & FINANCE LTD.
VIOLATED CODE OF CONDUCT AS PRESCRIBED UNDER STOCK BROKER REGULATIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 18-AUG-2009 TO 17-NOV-2009
28-JUL-2009
|
|
| 259 |
|
|
BALLABH DASS DAGA,M/S
(Member : CSE)
|
|
|
|
BALLABH DASS DAGA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS, MATCHED AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF SHARADRAJ TRADE FINANCE LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 18-JUN-2009 TO 17-AUG-2009
29-MAY-2009
|
|
| 260 |
|
|
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. |
| |
|
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| Page 13 of 107
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