| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 241 |
|
KESHAVDEV MADANLAL NEMANI,M/S
(Member : BSE)
|
|
|
|
KESHAVDEV MADANLAL NEMANI
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 16-NOV-1998
16-NOV-1998
|
|
| 242 |
|
|
KIRAN PARASRAMPURIA,M/S
(Member : CSE)
|
|
|
|
KIRAN PARASRAMPURIA
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 26-SEP-2003
26-SEP-2003
|
|
| 243 |
|
|
KIRTI J.SHAH,M/S
(Member : MNGSE)
|
|
|
|
KIRTI J.SHAH
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 16-JUL-2004
16-JUL-2004
|
|
| 244 |
|
|
KIRTI M.DESAI,M/S
(Member : SKSE)
|
|
|
|
KIRTI M.DESAI
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 13-MAY-2002
13-MAY-2002
|
|
| 245 |
|
|
KRISHAN KUMAR S.DAGA,M/S
(Member : UPSE)
|
|
|
|
KRISHAN KUMAR DAGA
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 29-SEP-2004
29-SEP-2004
|
|
| 246 |
|
|
KRISHI SECURITIES
(Member : HSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-JUN-2004
30-JUN-2004
|
|
| 247 |
|
|
KRISHNA KUMAR JALAN
(Member : GSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 08-MAR-1999
08-MAR-1999
|
|
| 248 |
|
|
KUBER SECURITIES LTD.
(Member : DSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 18-SEP-2004
18-SEP-2004
|
SAT: SAT VIDE ITS ORDER DATED 09/01/2023 CONDONED THE DELAY IN FILING OF APPEAL. APPEAL DISPOSED OF BY DIRECTING RESPONDENT TO PASS APPROPRIATE ORDER WITHIN TWO MONTHS FROM DATE OF THIS ORDER. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 08/06/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 07/08/2023 CONDONED THE DELAY IN FILING OF REPLY AND ALLOWED APPELLANT A WEEK TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 28/08/2023 CONDONED THE DELAY IN FILING OF APPEAL DIRECTED TO FILE THE REPLY WITHIN TWO WEEKS AND REJOINDER TO BE FILED WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 29/11/2023 CONDONED THE DELAY IN FILING OF APPEAL. ALLOWED EXEMPTION APPLICATION AND STAYED EFFECT AND OPERATION OF IMPUGNED ORDER
|
| 249 |
|
|
KUKAR SONS FINANCE & INVESTMENT HOLDINGS LTD.
(Member : OTC)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 03-SEP-2004
03-SEP-2004
|
|
| 250 |
|
|
KUNHI MOHAMMED,M/S
(Member : COCSE)
|
|
|
|
KUNHI MOHAMMED
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 27-AUG-2004
27-AUG-2004
|
|
| 251 |
|
|
KUNJ BIHARI KEJRIWAL & CO.
(Member : CSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 27-AUG-2004
27-AUG-2004
|
|
| 252 |
|
|
KUSUM KOCHAR,M/S
(Member : GSE)
|
|
|
|
KUSUM KOCHAR
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002
22-OCT-2002
|
|
| 253 |
|
|
LALIT KUMAR JHANWAR,M/S
(Member : JSE)
|
|
|
|
LALIT KUMAR JHANWAR
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 24-DEC-2002
24-DEC-2002
|
|
| 254 |
|
|
LALITKUMAR K.KAGATHARA,M/S
(Member : SKSE)
|
|
|
|
L.K.KAGATHARA
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 13-MAY-2002
13-MAY-2002
|
|
| 255 |
|
|
LAXMI INVESTMENT & CONSULTANTS
(Member : MGSE)
|
|
|
|
SURESH BHARDWAJ
|
|
DID NOT PRODUCE BOOKS OF ACCOUNTS TO SEBI FOR INSPECTION
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 10-MAY-1999
10-MAY-1999
|
|
| 256 |
|
|
LEAPROFIN SECURITIES LTD.
(Member : NSE)
|
|
|
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 13-DEC-2001
13-DEC-2001
|
|
| 257 |
|
|
LIBORD INVESTMENTS LTD.
(Member : PSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 27-AUG-2004
27-AUG-2004
|
|
| 258 |
|
|
LIBORD SECURITIES LTD.
(Member : BSE)
|
|
|
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 12-JUN-2003
12-JUN-2003
|
BOMBAY STOCK EXCHAGE VIDE ITS LETTER DATED 19/03/2012 CONFIRMED THAT THE BROKER HAS PAID ALL ITS DUES & THERE IS NO DUES OUTSTANDING TOWARDS THE EXCHANGE AND NAME OF BROKER HAS BEEN REMOVED FORM THE LIST OF DEFAULTERS OF EXCHANGE
|
| 259 |
|
|
LINK INDIA SECURITIES
(Member : COCSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 27-AUG-2004
27-AUG-2004
|
|
| 260 |
|
|
LIONNAIRE HOLDINGS & INVESTMENTS PVT.LTD.
(Member : OTC)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 03-SEP-2004
03-SEP-2004
|
|
| 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 30
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