| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 241 |
|
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
|
|
| 242 |
|
|
BANHEM SECURITIES PVT.LTD.
(PAN:AABCB3486B)
(Member : NSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
SAT: APPEAL DISPOSED OFF WITH DIRECTION THAT APPELLANT WILL MAKE A REPRESENTATION TO SEBI, WHICH WILL PASS ORDER ACCORDINGLY
|
| 243 |
|
|
BANSAL SHAREVEST SERVICES LTD.
(Member : NSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
15-SEP-2009
|
PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 15/09/2009
|
| 244 |
|
|
BANSAL STOCKS PVT.LTD.
(Member : MDSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 245 |
|
|
BANSHIDHAR AGARWAL,M/S
(Member : VSE)
|
|
|
|
BANSHIDHAR AGARWAL
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-MAR-2010
08-MAR-2010
|
|
| 246 |
|
|
BANWARI LAL KEJDIWAL,M/S
(Member : CSE)
|
|
|
|
BANWARI LAL KEJDIWAL
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 247 |
|
|
BASANT KUMAR JAIN,M/S
(Member : GSE)
|
|
|
|
BASANT KUMAR JAIN
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
07-MAY-2009
|
PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 07/05/2009
|
| 248 |
|
|
BAYSWATER INVESTMENT & TRADING PVT.LTD.
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 249 |
|
|
BAYSWATER INVESTMENT & TRADING PVT.LTD.
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 23-JAN-2008
23-JAN-2008
|
|
| 250 |
|
|
BBA SECURITIES & STOCKS PVT.LTD.
(Member : MDSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 251 |
|
|
BEACON SECURITIES LTD.
(Member : DSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 252 |
|
|
BEE TEE FINANCE PVT.LTD.
(Member : ICSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 253 |
|
|
BEEKAY SECURITIES
(Member : MGSE)
|
|
|
|
BINOD KUMAR SINHA
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
23-APR-2009
|
PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION
|
| 254 |
|
|
BEENAJOSE PALLICKAPARAMPIL,M/S
(Member : COCSE)
|
|
|
|
BEENAJOSE PALLICKAPARAMPIL
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 255 |
|
|
BGB SECURITIES
(Member : MGSE)
|
|
|
|
PASHUPATI KUMAR JAIN
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
23-APR-2009
|
PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION
|
| 256 |
|
|
BHAGWANDAS BHOGILAL & CO.
(Member : BSE)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
INDULGED IN UNAUTHORISED FUND-BASED ACTIVITIES
EXECUTED CROSS DEALS AMONG CLIENTS
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 13-JUN-2002 TO 12-SEP-2002 TILL PAYMENT OF SEBI FEE, WHICHEVER IS LATER
13-JUN-2002
|
|
| 257 |
|
|
BHAGWANDAS GIRIDHARDAS,M/S
(Member : HSE)
|
|
|
|
GOPALDAS BHAGWANDAS
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
23-APR-2009
|
PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION
|
| 258 |
|
|
BHAGWATI PRASAD BAJORIA,M/S
(Member : ICSE)
|
|
|
|
BHAGWATI PRASAD BAJORIA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 259 |
|
|
BHANSALI HARESH VARJIVANDAS,M/S
(Member : ICSE)
|
|
|
|
BHANSALI HARESH VARJIVANDAS
|
|
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
|
| 260 |
|
|
BHANSALI SECURITIES 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
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 13 of 104
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