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SOURCE OF INFORMATION

SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
UPDATED TILL : 04-NOV-2026

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

STOCK BROKERS: INITIATED ENQUIRY PROCEEDINGS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
341
History of entity/person R.P.SETH,M/S

(Member : HSE)  
Click here to view complete history of this specific entity/person R.P.SETH
  		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STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION  
342
History of entity/person RADHESHYAM CHIRANJILAL GOENKA,M/S

(Member : BSE)  
Click here to view complete history of this specific entity/person RADHESHYAM CHIRANJILAL GOENKA
  		DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

24-DEC-2009 		PROCEEDINGS INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AS THE SAID BROKER IS NOT ALIVE  
343
History of entity/person RAGHU NANDAN SHARMA,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person RAGHU NANDAN SHARMA
  		DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

28-OCT-2009 		 
344
History of entity/person RAJ KISHORE,M/S

(Member : MGSE)  
Click here to view complete history of this specific entity/person RAJ KISHORE
  		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STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION  
345
History of entity/person RAJAKRISHNA INVESTMENTS PVT.LTD.

(Member : OTC)  
  DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

28-OCT-2009 		 
346
History of entity/person RAJAN DESAI,M/S

(Member : VSE)  
Click here to view complete history of this specific entity/person RAJAN DESAI
  		DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

22-MAR-2010 		PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 22/03/2010  
347
History of entity/person RAJCHANDRA H.KOTHARI,M/S

(Member : SKSE)  
  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  
348
History of entity/person RAJDATT SECURITIES LTD.

(Member : HSE)  
  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  
349
History of entity/person RAJENDRA KUMAR SHAH,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person RAJENDRA KUMAR SHAH
  		DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

28-OCT-2009 		 
350
History of entity/person RAJESH B.KOTADIA,M/S

(Member : SKSE)  
Click here to view complete history of this specific entity/person RAJESH BACHUBHAI KOTADIA
  		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  
351
History of entity/person RAJESH DEWAN,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person RAJESH DEWAN
  		DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

20-AUG-2009 		PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 20/08/2009  
352
History of entity/person RAJESH INVESTMENT

(Member : MGSE)  
Click here to view complete history of this specific entity/person RAJESH KHEMKA
  		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  
353
History of entity/person RAJESH KUMAR AGARWAL,M/S

(Member : MGSE)  
Click here to view complete history of this specific entity/person RAJESH 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  
354
History of entity/person RAJESH R.SHAH,M/S

(Member : SKSE)  
Click here to view complete history of this specific entity/person RAJESH R.SHAH
  		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  
355
History of entity/person RAJIV KAPOOR,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person RAJIV KAPOOR
  		DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

20-AUG-2009 		PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 20/08/2009  
356
History of entity/person RAJIVE KUMAR GUPTA,M/S

(Member : DSE)  
Click here to view complete history of this specific entity/person RAJIVE KUMAR GUPTA
  		DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

15-JUL-2010 		PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 15/07/2010  
357
History of entity/person RAJKUMAR AGARWALA,M/S

(Member : BHSE)  
Click here to view complete history of this specific entity/person RAJKUMAR AGARWALA
  		DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

09-JUN-2009 		PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 09/06/2009  
358
History of entity/person RAJSHEKHAR,M/S

(Member : MGSE)  
Click here to view complete history of this specific entity/person RAJSHEKHAR
  		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  
359
History of entity/person RAJU M.S.,M/S

(Member : HSE)  
Click here to view complete history of this specific entity/person RAJU M.S.
  		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  
360
History of entity/person RAJYA SHREE RATHORE,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person RAJYA SHREE RATHORE
  		DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

20-AUG-2009 		PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 20/08/2009  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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