| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 261 |
|
BHANWAR LAL AGARWAL,M/S
(Member : JSE)
|
|
|
|
BHANWAR LAL AGARWAL
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
13-NOV-2009
|
PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 13/11/2009
|
| 262 |
|
|
BHARAT BHUSHAN CHAWLA,M/S
(Member : UPSE)
|
|
|
|
BHARAT BHUSHAN CHAWLA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 263 |
|
|
BHARAT KUMAR SETA,M/S
(Member : BHSE)
|
|
|
|
BHARAT KUMAR SETA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 264 |
|
|
BHARAT M.KATHRANI,M/S
(Member : SKSE)
|
|
|
|
BHARAT M.KATHRANI
|
|
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STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION
|
| 265 |
|
|
BHARAT M.SHAH,M/S
(Member : MPSE)
|
|
|
|
BHARAT M.SHAH
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 266 |
|
|
BHARAT RASAYAN FINANCE LTD.
(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: A COPY OF THE STATEMENT SHOWING TOTAL AMOUNT DUE TOWARDS REGISTRATION/TURNOVER FEE WAS GIVEN TO APPELLANT AND APPELLANT PRAYS FOR TWO MONTHS TIME TO PAY SAID AMOUNT. IMPUGNED ORDER CEASED TO OPERATE WITH EFFECT FROM THE DATE WHEN ENTIRE AMOUNT IS PAID TO SEBI. APPEAL DISPOSED OFF
|
| 267 |
|
|
BHARAT VENILAL KANAKIA,M/S
(Member : OTC)
|
|
|
|
BHARAT VENILAL KANAKIA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 268 |
|
|
BHARATENDU INVESTMENTS & FINANCIAL SERVICES PVT.LTD.
(Member : BSE)
|
|
|
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
|
| 269 |
|
|
BHARATENDU INVESTMENTS & FINANCIAL SERVICES PVT.LTD.
(Member : BSE)
|
|
|
DID NOT PAY TURNOVER FEE
FOUND TO BE A BENAMI COMPANY OF HOFFLAND GROUP WHICH DEFAULTED IN MAKING PAYMENTS TO VARIOUS INVESTORS
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 29-MAR-2011
08-MAR-2011
|
|
| 270 |
|
|
BHARTI SHARMA,M/S
(Member : MGSE)
|
|
|
|
BHARTI SHARMA
|
|
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
|
| 271 |
|
|
BHASKAR & CO.
(Member : COCSE)
|
|
|
|
B.MADHAVAN NAIR
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-MAR-2007 TO 06-SEP-2007
07-MAR-2007
|
|
| 272 |
|
|
BHAVANA INVESTOR SERVICES LTD.
(Member : NSE)
|
|
|
DID NOT PAY TURNOVER FEE
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 29-AUG-2024
29-AUG-2024
|
SAT: SAT VIDE ITS ORDER DATED 05/12/2024 GRANTED RESPONDENT EIGHT WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER FOUR WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 04/03/2025 GRANTED RESPONDENT TWO WEEKS EXTENSION TO FILE REPLY AND REJOINDER, IF ANY, TO FILE TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 24/06/2025 CONDONED THE DELAY IN FILING OF APPEAL AND GRANTED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 273 |
|
|
BHAVRAJ SECURITIES PVT.LTD.
(Member : LSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 08-OCT-2010 TILL REGISTRATION FEE DEPOSITED
17-SEP-2010
|
|
| 274 |
|
|
BHIKHAMCHAND LAMBORIA,M/S
(Member : CSE)
|
|
|
|
BHIKHAMCHAND LAMBORIA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 275 |
|
|
BHOGILAL ANOPCHAND,M/S
(Member : CSE)
|
|
|
|
BHOGILAL ANOPCHAND
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 276 |
|
|
BHUPENDRA TALAKCHAND & CO.
(Member : BSE)
|
|
|
|
BHUPENDRA TALAKCHAND MEHTA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 06-SEP-1999
03-SEP-1999
|
|
| 277 |
|
|
BHUPENDRA TALAKCHAND MEHTA,M/S
(Member : BSE)
|
|
|
|
BHUPENDRA TALAKCHAND MEHTA
|
|
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
|
| 278 |
|
|
BIJAY KUMAR AGARWAL,M/S
(Member : MGSE)
|
|
|
|
BIJAY KUMAR AGARWAL
|
|
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
|
| 279 |
|
|
BIJAY KUMAR BAGARIA,M/S
(Member : BHSE)
|
|
|
|
BIJAY KUMAR BAGARIA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 280 |
|
|
BIJAY KUMAR DAGA,M/S
(Member : CSE)
|
|
|
|
BIJAY KUMAR DAGA
|
|
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 14 of 104
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