| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 401 |
|
PKC STOCK BROKING PVT.LTD.
(PAN:AABCP5618H)
(Member : NSE)
|
|
|
ALLEGED DISCREPANCY IN ISSUANCE OF CONTRACT NOTES
ALLEGED NON-SEGREGATION OF CLIENT FUNDS FROM BROKERS FUNDS
DEALT WITH UN-REGISTERED SUB-BROKERS
ALLEGED INDULGENCE IN OFF-MARKET TRANSACTIONS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
15-SEP-2008
|
|
| 402 |
|
|
POISE SECURITIES & EXCHANGE LTD.
(Member : NSE)
|
|
|
DEFAULTED IN MAINTENANCE OF BOOKS/DOCUMENTS
DID NOT ISSUE CONTRACT NOTES
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
INDULGED IN UNAUTHORISED FUND-BASED ACTIVITIES
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-DEC-1999 TO 30-NOV-2000
01-DEC-1999
|
|
| 403 |
|
|
PRABHUDAS LILLADHER PVT.LTD.
(PAN:AAACP2733Q)
(Member : BSE)
|
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
06-JAN-2000
|
|
| 404 |
|
|
PRABHUDAS LILLADHER PVT.LTD.
(PAN:AAACP2733Q)
(Member : BSE/NSE/MCX)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
DELAY IN SETTLING OF CLIENT’S FUNDS AND/OR SECURITIES
WRONG REPORTING AND SHORT COLLECTION OF MARGIN
PASSED PENALTY ON SHORT REPORTING OF MARGIN
DID NOT UPLOAD KNOW YOUR CLIENTS (KYC) DOCUMENTS TO KRA PROCESSES
DID NOT UPLOAD CORRECT DETAILS OF ALL CLIENT’S FUNDS LYING WITH THEM ON STOCK EXCHANGE SYSTEM
MADE INCORRECT REPORTING OF CLIENTS LEDGER BALANCE
MADE INCORRECT REPORTING OF CASH AND CASH EQUIVALENT BALANCE
TRANSFERRED SECURITIES OF CREDIT BALANCE CLIENTS TO CLIENT’S UNPAID SECURITIES ACCOUNT
REPORTED INCORRECT MARGIN TRADING FUNDING (MTF) COLLATERALS TO STOCK EXCHANGES
CHARGED EXCESS BROKERAGE
DID NOT MAKE DISCLOSURE OF CLIENT’S BENEFICIARY ACCOUNT AND/OR COLLATERAL ACCOUNT
|
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT OR CONTRACT OR LAUNCH A NEW SCHEME FROM 15-DEC-2025 TO 21-DEC-2025
28-NOV-2025
|
SAT: SAT VIDE ITS ORDER DATED 09/12/2025 ALLOWED RESPONDENT SIX WEEKS TO FILE REPLY AND REJOINDER, IF ANY, FILED WITHIN THREE WEEK THEREAFTER
|
| 405 |
|
|
PRABHUDAS LILLADHER PVT.LTD.
(PAN:AAACP2733Q)
(Member : BSE/NSE/MCX)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES
PASSED PENALTY TO CLIENTS ON SHORT/NON-COLLECTION AND/OR REPORTING OF UPFRONT MARGINS
DID NOT UPLOAD KNOW YOUR CLIENTS (KYC) DOCUMENTS TO KRA PROCESSES
MADE INCORRECT AND/OR DID NOT REPORT ENHANCED SUPERVISION OF DATA TO STOCK EXCHANGES
MADE INCORRECT REPORTING OF CASH AND CASH EQUIVALENT BALANCE
MADE INCORRECT REPORTING OF CLIENTS LEDGER BALANCE
TRANSFERRED SECURITIES OF CREDIT BALANCE CLIENTS TO CLIENT’S UNPAID SECURITIES ACCOUNT
REPORTED INCORRECT MARGIN TRADING FUNDING (MTF) COLLATERALS TO STOCK EXCHANGES
DID NOT MAKE DISCLOSURE OF CLIENT’S BENEFICIARY ACCOUNT AND/OR COLLATERAL ACCOUNT
CHARGED EXCESS BROKERAGE
|
IMPOSED PENALTY RS.11,00,000
16-JUL-2025
|
SAT: SAT VIDE ITS ORDER DATED 15/10/2025 CONDONED THE DELAY OF 26 DAYS IN FILING OF APPEAL. ALLOWED RESPONDENT SIX WEEKS TO FILE REPLY AND REJOINDER, IF ANY, TO BE FILED WITHIN THREE WEEKS THEREAFTER
|
| 406 |
|
|
PRADEEP BAHETI,M/S
(Member : JSE)
|
|
|
|
PRADEEP BAHETI
|
|
DID NOT ISSUE CONTRACT NOTES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
USED EXCHANGE MECHANISM IN ORDER TO MEET FINANCIAL OBLIGATIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 05-AUG-1999 TO 04-OCT-1999
28-JUL-1999
|
|
| 407 |
|
|
PRADEEP KUMAR BANSAL,M/S
(Member : UPSE/CSE/ICSE)
|
|
|
|
PRADEEP KUMAR BANSAL
|
|
EXECUTED SINGLE TRADES AT EXCHANGE TO ASCERTAIN PRICES FOR EXECUTING BULK ORDERS ILLEGALLY OUTSIDE THE EXCHANGE MECHANISM
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT FURNISH CORRECT INFORMATION TO INSPECTING TEAM REGARDING BANK ACCOUNTS
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF AURANGABAD CRYOGENICS LTD. (NOW KNOWN AS BANSAL NATUREVEST LTD.)
DEFICIENCIES IN MEMBER-CLIENT AGREEMENTS
DEFICIENCIES IN REGISTRATION FORMS
DID NOT ISSUE CONTRACT NOTES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT COLLECT MARGINS FROM CLIENTS
DID NOT RECORD TIME OF PLACEMENT OF ORDERS ON CONTRACT NOTES
DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
EXECUTED TRADES FOR CLIENTS THROUGH PROPRIETARY ACCOUNT TO EVADE COLLECTION OF MARGINS
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 23-JUL-2003 TO 22-JUL-2008
28-JUN-2006
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,00,000, LEGAL EXPENSES RS.2,50,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER) FROM 23-JUL-2003 TO 22-JUL-2008
09-JUN-2008
|
SAT: APPLICANT AGREED TO PAY A SUM OF RS.25,00,000 TOWARDS SETTLEMENT CHARGES AND RS.2,50,000 TOWARDS LEGAL EXPENSES AS PER CONSENT ORDER DATED 09/06/2008 AND VOLUNTARILY UNDERTAKEN TO REMAIN SUSPENDED FOR A PERIOD OF 5 YEARS COMMENCING FROM 23/07/2003. ORDER DATED 28/06/2006 SET ASIDE
|
| 408 |
|
|
PRADIPTA KUMAR DASH,M/S
(Member : BHSE)
|
|
|
|
PRADIPTA KUMAR DASH
|
|
DID NOT ISSUE CONTRACT NOTES
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DID NOT CHARGE BROKERAGE
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN SEPARATE CLIENT ACCOUNT
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 04-AUG-1998 TO 03-NOV-1998
23-JUL-1998
|
|
| 409 |
|
|
PRAKASH C.BAID,M/S
(Member : CSE)
|
|
|
|
PRAKASH CHAND BAID
|
|
INDULGED IN OFF-MARKET TRANSACTIONS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
INDULGED IN UNAUTHORISED FUND-BASED ACTIVITIES
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 19-AUG-2003 TO 18-DEC-2003
29-JUL-2003
|
|
| 410 |
|
|
PRAMOD KUMAR DROLIA & CO.
(Member : CSE)
|
|
|
INDULGED IN OFF-MARKET TRANSACTIONS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
INDULGED IN UNAUTHORISED FUND-BASED ACTIVITIES
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 25-JUL-2003 TO 24-NOV-2003
04-JUL-2003
|
|
| 411 |
|
|
PRAMOD KUMAR KOTHARI,M/S
(Member : CSE)
|
|
|
|
PRAMOD KUMAR KOTHARI
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 26-FEB-1999 TO 25-AUG-1999
18-FEB-1999
|
|
| 412 |
|
|
PRASHANT JAIN,M/S
(Member : UPSE)
|
|
|
|
PRASHANT JAIN
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-MAY-2002 TO 26-AUG-2002 TILL PAYMENT OF SEBI FEES, WHICHEVER IS LATER
19-JUN-2002
|
|
| 413 |
|
|
PRAVEEN & CO.
(Member : JSE)
|
|
|
|
PRAVEEN RAMAWAT
|
|
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DID NOT ISSUE CONTRACT NOTES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT RECTIFY BAD DELIVERIES IN TIME
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 31-DEC-1998 TO 30-JUN-1999
30-DEC-1998
|
|
| 414 |
|
|
PREET MOHINDER SINGH,M/S
(Member : LSE)
|
|
|
|
PREET MOHINDER SINGH
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
25-FEB-2000
|
|
| 415 |
|
|
PREMIER SHARES LTD.
(Member : NSE)
|
|
|
DID NOT ISSUE CONTRACT NOTES
COMMITTED IRREGULARITIES IN MAINTENANCE OF COUNTERFOILS OR DUPLICATES OF CONTRACT NOTES
DID NOT ENTER INTO AGREEMENT WITH CLIENTS
DID NOT MAINTAIN SEPARATE CLIENT ACCOUNT
DID NOT COLLECT MARGINS FROM CLIENTS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
17-JAN-2008
|
|
| 416 |
|
|
PREMIER SHARES LTD.
(Member : NSE/MCX)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
ALLEGED FAILURE IN SEGREGATING CLIENTS FUNDS AND SECURITIES
ALLEGED MISUTILISATION OF CLIENTS FUNDS
ALLEGED DELAY IN MAKING PAYMENT TO CLIENTS
ALLEGED FAILURE IN MAINTENANCE OF CLIENT DATABASE
ALLEGED INDULGENCE IN FUND-BASED ACTIVITIES BY LENDING MONEY TO OTHER CLIENTS
ALLEGED DELAY IN REDRESSAL OF COMPLAINTS
ALLEGED FAILURE IN APPOINTING A PERSON EXCLUSIVELY AS COMPLIANCE OFFICER
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE IN CONDUCT OF BUSINESS
ALLEGED DELAY IN ISSUING CONTRACT NOTES
ALLEGED ISSUING CHEQUES TO CLIENTS WITH INSUFFICIENT FUNDS
ALLEGED EXECUTING LARGE NUMBER OF CASH TRANSACTIONS EXCEEDING PRESCRIBED CEILING LIMITS AND ENTERING INTO CASH TRANSACTIONS WHICH LACKED PROPER EXPLANATION
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.30,00,000 VIDE CONSENT ORDER)
01-JUN-2011
|
|
| 417 |
|
|
PRITHVI FINMART PVT.LTD.
(PAN:AAECP8502D)
(Member : BSE/NSE)
|
|
|
DID NOT UPDATE INCOME DETAILS IN UCC DATABASE OF STOCK EXCHANGES IN DUE TIME
DID NOT MAINTAIN PROPER SEGREGATION AND DEMARCATION AT AUTHORISED PERSONS OFFICE
DID NOT MAINTAIN PRE-ORDER CONFIRMATION FOR TRADES
LOCATED CTCL TERMINALS OTHER THAN THE LOCATION DECLARED BY NOTICEE TO STOCK EXCHANGE
AUTHORISED PERSON (AP) WAS DEALING WITH OTHER STOCK BROKERS/APS
|
IMPOSED PENALTY RS.3,00,000
24-NOV-2025
|
|
| 418 |
|
|
PRRSAAR COMMODITIES PVT.LTD.
(Member : MCX)
|
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
MISUTILIZED CLIENTS FUNDS FOR DEBIT OBLIGATION OF OWN/OTHER CLIENTS
|
IMPOSED PENALTY RS.5,00,000
27-SEP-2019
|
|
| 419 |
|
|
PRRSAAR COMMODITIES PVT.LTD.
(Member : NCDEX)
|
|
|
MISUTILIZED CLIENTS FUNDS FOR DEBIT OBLIGATION OF OWN/OTHER CLIENTS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
IMPOSED PENALTY RS.5,00,000
27-SEP-2019
|
|
| 420 |
|
|
PRUDENT BROKING SERVICES PVT.LTD.
(PAN:AABCN5461G)
(Depository Participants : CDSL,Member : BSE/NSE)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
DID NOT MAINTAIN DAILY RECONCILIATION STATEMENT
DID NOT RECONCILE STOCK REGISTER
FUNDED CLIENTS OUTSIDE OF MARGIN TRADING FACILITY BEYOND T+2+5 DAYS
MAPPED SINGLE EMAIL ID AND MOBILE NUMBER FOR MULTIPLE CLIENTS
DID NOT UPLOAD PLEDGED SHARES OF CLIENTS AS PER ENHANCED SUPERVISION REQUIREMENT
DISCREPANCIES IN CLIENT REGISTRATION PROCESS (KYC, KRA AND CKYCR PROCESS)
DISCREPANCIES IN PROCESSING OF DIS, MODIFICATION, TRANSFERS & TRANSMISSIONS ACCOUNT CLOSURE
|
IMPOSED PENALTY RS.10,00,000
27-NOV-2020
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 21 of 30
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