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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
361
History of entity/person RAKESH DHAWAN,M/S

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

28-OCT-2009 		 
362
History of entity/person RAKESH KUMAR,M/S

(Member : MGSE)  
Click here to view complete history of this specific entity/person RAKESH KUMAR
  		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STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION  
363
History of entity/person RAKESH SHARMA,M/S

(Member : UPSE)  
Click here to view complete history of this specific entity/person RAKESH SHARMA
  		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  
364
History of entity/person RAKESHKUMAR O.GOYAL,M/S

(Member : SKSE)  
Click here to view complete history of this specific entity/person RAKESHKUMAR OMPRAKASH GOYAL
  		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STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION  
365
History of entity/person RAKSHABEN NITINBHAI KAMDAR,M/S

(Member : SKSE)  
Click here to view complete history of this specific entity/person RAKSHABEN NITINBHAI KAMDAR
  		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  
366
History of entity/person RAM DULARI DEVI,M/S

(Member : MGSE)  
Click here to view complete history of this specific entity/person RAM DULARI DEVI
  		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  
367
History of entity/person RAM GOPAL,M/S

(Member : UPSE)  
Click here to view complete history of this specific entity/person RAM GOPAL
  		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  
368
History of entity/person RAMAVTAR GUPTA,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person RAMAVTAR GUPTA
  		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  
369
History of entity/person RAMESH & CO.

(Member : MGSE)  
Click here to view complete history of this specific entity/person RAMESH CHANDRA
  		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  
370
History of entity/person RAMESH CHANDER KAPOOR,M/S

(Member : UPSE)  
Click here to view complete history of this specific entity/person RAMESH CHANDER KAPOOR
  		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  
371
History of entity/person RAMESH SAVLA,M/S

(Member : HSE)  
Click here to view complete history of this specific entity/person RAMESH SAVLA
  		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  
372
History of entity/person RAMKRIPAL PANDEY,M/S

(Member : GSE)  
Click here to view complete history of this specific entity/person RAMKRIPAL PANDEY
  		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  
373
History of entity/person RANJEET HINGORANI,M/S

(Member : OTC)  
Click here to view complete history of this specific entity/person RANJEET HINGORANI
  		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  
374
History of entity/person RASHMIKANT N.RAITHATHA,M/S

(Member : SKSE)  
Click here to view complete history of this specific entity/person RASHMIKANT N.RAITHATHA
  		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  
375
History of entity/person RASIKLAL MOHANLAL GANGANI,M/S

(Member : SKSE)  
Click here to view complete history of this specific entity/person RASIKLAL MOHANLAL GANGANI
  		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  
376
History of entity/person RAVI DATT SHARMA,M/S

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

28-OCT-2009 		 
377
History of entity/person RAVI NANDAN GUPTA,M/S

(Member : LSE)  
Click here to view complete history of this specific entity/person RAVI NANDAN GUPTA
  		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  
378
History of entity/person RAVINDER KUMAR JAIN,M/S

(Member : UPSE)  
Click here to view complete history of this specific entity/person RAVINDER KUMAR JAIN
  		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  
379
History of entity/person REKHA DOOGAR,M/S

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

28-OCT-2009 		 
380
History of entity/person REL FINANCE LTD.

(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  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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