| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 421 |
|
PUNE E STOCK BROKING LTD.
(Depository Participants : CDSL,Member : NSE/BSE)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DELAY IN SETTLING ACCOUNTS OF INACTIVE CLIENTS
DELAY IN SETTLING OF RUNNING ACCOUNTS OF CLIENTS
PROVIDED EXPOSURE TO CLIENTS HAVING DEBIT BALANCE
DISCREPANCIES IN NETWORTH REPORTED TO STOCK EXCHANGE
MADE INCORRECT AND/OR DID NOT REPORT ENHANCED SUPERVISION OF DATA TO STOCK EXCHANGES
|
IMPOSED PENALTY RS.4,50,000
30-JUN-2022
|
|
| 422 |
|
|
QUANTUM GLOBAL SECURITIES LTD.
(PAN:AAACQ0053A)
(Depository Participants : CDSL,Member : BSE/NSE)
|
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
MISUSED PLEDGING OF CLIENT’S SECURITIES
PROVIDED WRONG NOMENCLATURE OF ACCOUNTS
DID NOT FURNISH ANY INFORMATION ABOUT BANK ACCOUNTS
PROVIDED EXPOSURE TO CLIENTS HAVING DEBIT BALANCE
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES
REPORTED WRONG NET WORTH TO EXCHANGE
DID NOT PROVIDE CORRECT DATA TO STOCK EXCHANGE UNDER RISK-BASED SUPERVISION
DISCREPANCIES IN KNOW YOUR CLIENTS (KYC) AND ACCOUNT OPENING PROCESS
DID NOT UPLOAD KNOW YOUR CLIENTS (KYC) DOCUMENTS TO KRA PROCESSES
DISCREPANCIES IN DEMAT AND REMAT REQUESTS
DISCREPANCIES IN ACCOUNT MODIFICATION
DISCREPANCIES IN ISSUANCE AND EXECUTION OF DIS
DISCREPANCIES RELATED TO INVESTOR GRIEVANCES
COMPLIANCE OFFICER DID NOT HAVE NISM SERIES VI-DOCE CERTIFICATION
ALLOWED TERMINAL TO UNAUTHORISED USERS
|
IMPOSED PENALTY RS.20,00,000
29-SEP-2022
|
SEBI VIDE ITS NOTICE DATED 06/02/2023 DIRECTED TO PAY RS.21,21,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 24/02/2023 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
|
| 423 |
|
|
R K GLOBAL SHARES & SECURITIES LTD.
(PAN:AAACR5786P)
(Member : NSE/BSE)
|
|
|
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
|
IMPOSED PENALTY RS.3,00,000
08-NOV-2024
|
SEBI VIDE ITS NOTICE DATED 21/01/2025 DIRECTED TO PAY RS.3,10,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 424 |
|
|
R.H.KOTHARI,M/S
(Member : SKSE)
|
|
|
|
RAJCHANDRA H.KOTHARI
|
|
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT ISSUE CONTRACT NOTES
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
CHARGED EXCESS BROKERAGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 02-APR-1999 TO 01-OCT-1999
26-MAR-1999
|
|
| 425 |
|
|
R.K.STOCK HOLDING PVT.LTD.
(PAN:AACCR0011K)
(Member : NSE)
|
|
|
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
DID NOT SEND PLEDGE STATEMENTS TO CLIENTS
MISUSED PLEDGING OF CLIENT’S SECURITIES
|
IMPOSED PENALTY RS.5,00,000
24-NOV-2020
|
|
| 426 |
|
|
R.M.SHARES TRADING PVT.LTD.
(PAN:AABCR6331B)
(Member : BSE)
|
|
|
DEFICIENCIES IN MEMBER-CLIENT AGREEMENTS
GAVE SHORT TERM LOANS TO CLIENTS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DEALT IN UNQUOTED SHARES
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
05-JAN-2006
|
|
| 427 |
|
|
R.R.CHOKHANI STOCK BROKERS PVT.LTD.
(PAN:AAACR7391E)
(Member : BSE)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
06-AUG-1999
|
|
| 428 |
|
|
RAGHUKUL SHARES INDIA PVT.LTD.
(CIN:U67120RJ2009PTC029155
PAN:AAECR3716R)
(Member : BSE/NSE/MCX/NCDEX)
|
|
|
|
AMIT SHARMA
DIN:02505457
PAN:AFGPS8573K
|
|
|
GANGA RAM KHANDELWAL
DIN:01731730
PAN:ADRPK5114D
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
DID NOT MAINTAIN BOOKS OF ACCOUNT AND OTHER DOCUMENTS
DID NOT MAINTAIN NETWORTH AND DEPOSIT REQUIREMENTS
MADE FIXED PAYMENTS/RETURNS TO CLIENTS
DID NOT OBTAIN PRIOR APPROVAL FROM STOCK EXCHANGE FOR CHANGE IN CONTROL AND APPOINTMENT OF DIRECTOR VIOLATING SEBI CIRCULAR CIR/MIRSD/14/2011 DATED 02/08/2011 AND CIR/MIRSD/2/2011 DATED 03/06/2011
DID NOT REPORT COMPLETE AND CORRECT DATA TO EXCHANGE ON TIME VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/MIRSD2/CIR/P/2016/95 DATED 26/09/2016
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-JUN-2019 TO 27-JUN-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUN-2019 TO 27-JUN-2026
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
28-JUN-2019
|
SEBI VIDE ITS ORDER DATED 24/01/2020 CONFIRMED DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 28/06/2019
SEBI VIDE ITS ORDER DATED 31/05/2023 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY AND ASSOCIATING WITH SECURITIES MARKET IN ANY MANNER FOR SEVEN YEARS FROM DATE OF INTERIM ORDER B) DURING PERIOD OF RESTRAINT EXISTING HOLDING, INCLUDING UNITS OF MUTUAL FUNDS TO REMAIN FROZEN C) JOINTLY AND SEVERALLY, REPAY/REFUND THE MONEY TO INVESTORS/CLIENTS WITH INTEREST @15% P.A. FROM DATE WHEN THE REPAYMENTS BECAME DUE TO INVESTORS TILL DATE OF ACTUAL PAYMENT UNDER SUPERVISION OF NSE D) JOINTLY AND SEVERALLY RETURN THE SECURITIES DUE TO CLIENTS/INVESTORS OF RAGHUKUL SHARES INDIA PVT.LTD. OR THEIR MONETARY VALUE AS ON DATE OF ACTUAL PAYMENT OF MONEY IN LIEU OF SHARES UNDER SUPERVISION OF NSE E) NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS, WHETHER MOVABLE OR IMMOVABLE (INCLUDING FUNDS IN THEIR BANK ACCOUNTS) OR CREATE ANY INTEREST OR CHARGE IN ANY SUCH ASSETS, TILL SUCH TIME THE REFUNDS/REPAYMENTS F) BANKS ARE TO ENSURE NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY, EXCEPT FOR THE PURPOSE OF PAYMENT OF MONEY TO CLIENTS/INVESTORS UNDER THE WRITTEN CONFIRMATION OF NSE G) NSE DEFAULTERS COMMITTEE TO, AS EXPEDITIOUSLY AS POSSIBLE OPEN AND OPERATE DEDICATED DEMAT ACCOUNT WHERE ALL THE SECURITIES LYING IN THE DEMAT ACCOUNT OF RAGHUKUL SHARES INDIA PVT.LTD. TO BE TRANSFERRED H) NSE DEFAULTERS COMMITTEE TO OPEN AND OPERATE A DEDICATED INTEREST BEARING BANK ACCOUNT WITH NATIONALIZED BANK WHERE ALL THE FUNDS LYING IN VARIOUS BANK ACCOUNTS HELD IN THE NAME OF RAGHUKUL SHARES INDIA PVT.LTD. SHALL BE TRANSFERRED I) MODALITIES OF SELLING ASSETS, DEPOSITING PROCEEDS THEREOF IN ESCROW ACCOUNT(S) TO BE WORKED OUT BY NSE J) NSE TO DEAL WITH CLAIMS OF CLIENTS/INVESTORS IN ACCORDANCE WITH BYE-LAWS AND PROCEDURES AFTER ADJUSTING DISBURSEMENTS MADE THROUGH DEFAULTERS COMMITTEE MECHANISM K) PROCEED WITH RECOVERY OF FUNDS AND SECURITIES FROM THE ASSETS OF RESPECTIVE NOTICEES TO COVER ANY SHORTFALL IN FUNDS AND SECURITIES IN ESCROW ACCOUNTS(S) AND DEMAT ACCOUNT
|
| 429 |
|
|
RAGHUKUL SHARES INDIA PVT.LTD.
(CIN:U67120RJ2009PTC029155
PAN:AAECR3716R)
(Member : BSE/NSE)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
MISAPPROPRIATED CLIENT SECURITIES AND/OR FUNDS
USED CLIENT BENEFICIARY ACCOUNT FOR PURPOSE OTHER THAN SPECIFIED
MADE PERIODIC PAYMENTS TO CLIENTS WITH NO CORRESPONDING TRADES
MADE INCORRECT AND/OR DID NOT REPORT ENHANCED SUPERVISION OF DATA TO STOCK EXCHANGES
DID NOT OBTAIN PRIOR APPROVAL FROM STOCK EXCHANGES FOR CHANGE IN CONTROL (DOMINANT PROMOTER GROUP)
DID NOT OBTAIN PRIOR APPROVAL FROM STOCK EXCHANGES FOR APPOINTMENT OF DIRECTORS
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 22-AUG-2023
22-AUG-2023
|
|
| 430 |
|
|
RAGHUNANDAN CAPITAL PVT.LTD.
(PAN:AADCR7430F)
(Member : BSE/NSE/MCX/NCDEX)
|
|
|
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
DELAY IN SETTLING OF RUNNING ACCOUNTS OF CLIENTS
RETAINED CLIENT FUNDS IN EXCESS OF APPLICABLE MARGIN OBLIGATIONS
DID NOT SEND RETENTION STATEMENTS/ SMS TO CLIENTS AT THE TIME OF SETTLEMENT
DID NOT PROVIDE INFORMATION TO SEBI
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
03-SEP-2025
|
|
| 431 |
|
|
RAGHUNANDAN CAPITAL PVT.LTD.
(PAN:AADCR7430F)
(Member : NSE/BSE/MSEI)
|
|
|
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
|
IMPOSED PENALTY RS.1,00,000
25-OCT-2019
|
|
| 432 |
|
|
RAGHUNANDAN CAPITAL PVT.LTD.
(PAN:AADCR7430F)
(Member : NCDEX/NSE/BSE/MCX)
|
|
|
MADE INCORRECT REPORTING OF BALANCES IN CLIENT ASSETS REPORTS
MADE INCORRECT REPORTING OF CLIENT FUNDS AND/OR SECURITIES
MADE INCORRECT AND/OR DID NOT REPORT ENHANCED SUPERVISION OF DATA TO STOCK EXCHANGES
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
PASSED PENALTY TO CLIENTS ON SHORT/NON-COLLECTION AND/OR REPORTING OF UPFRONT MARGINS
DELAY IN ISSUANCE OF DAILY MARGIN STATEMENTS
|
IMPOSED PENALTY RS.8,00,000
27-NOV-2024
|
|
| 433 |
|
|
RAHUL CHOKHANY,M/S
(PAN:ACAPC2036Q)
(Member : NSE)
|
|
|
|
RAHUL CHOKHANY
PAN:ACAPC2036Q
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES
MISMATCHED CLIENTS EMAIL IDS AND/OR MOBILE NUMBERS
DID NOT UPDATE CLIENTS EMAIL IDS AND MOBILE NUMBERS
DID NOT HAVE CALL RECORDING SYSTEM FOR PREVENTION OF UNAUTHORIZED TRADING
MADE INCORRECT AND/OR DID NOT REPORT ENHANCED SUPERVISION OF DATA TO STOCK EXCHANGES
|
IMPOSED PENALTY RS.9,00,000 ALONG WITH OTHER ENTITIES/PERSONS
25-MAR-2021
|
SEBI VIDE ITS NOTICE DATED 23/06/2022 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S. HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS NOTICE DATED 05/07/2022 ALLOWED THE APPEAL AND DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 23/06/2022
|
| 434 |
|
|
RAIMA EQUITIES PVT.LTD.
(PAN:AABCE2177Q)
(Member : NSE/BSE)
|
|
|
MAPPED UNIQUE MOBILE NUMBER TO MORE THAN ONE UNIQUE CLIENT CODE (UCC) WITHOUT OBTAINING FAMILY DECLARATION
PROVIDED EXPOSURE TO CLIENTS HAVING DEBIT BALANCE
DID NOT HAVE CALL RECORDING/ORDER PLACEMENT MECHANISM AND/OR DID NOT MAINTAIN RECORDS AND/OR SUBMITTED FORGED AND FALSIFIED EVIDENCES
|
IMPOSED PENALTY RS.3,00,000
28-JUN-2024
|
|
| 435 |
|
|
RAJA RAJESHWARI & CO.
(Member : CMBSE)
|
|
|
DID NOT ISSUE CONTRACT NOTES
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
INDULGED IN GALA TRANSACTIONS
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
DID NOT MAKE PAYMENT TO CLIENTS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
FAILED TO SUBMIT AUDIT REPORT TO THE EXCHANGE ON DUE DATE
DID NOT RECTIFY BAD DELIVERIES IN TIME
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 15-OCT-1998 TO 14-JAN-1999
05-OCT-1998
|
|
| 436 |
|
|
RAJAN MAHESHWARI,M/S
(Member : JSE)
(Along with : M.M.BROKERS PVT.LTD.)
|
|
|
|
RAJAN MAHESHWARI
|
|
DID NOT PRODUCE BOOKS OF ACCOUNTS TO SEBI FOR INSPECTION
DEFAULTED IN MAINTENANCE OF SAUDA BOOK
DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER
DID NOT ISSUE CONTRACT NOTES
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
USED EXCHANGE MECHANISM IN ORDER TO MEET FINANCIAL OBLIGATIONS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 02-JUL-1999 TO 01-AUG-1999
06-JUL-1999
|
|
| 437 |
|
|
RAJESH JHAVERI STOCK BROKERS PVT.LTD.
(CIN:U67120GJ1995PTC024321)
(Member : ASE)
|
|
|
DEFAULTED IN MAINTENANCE OF MARGIN REGISTER
DID NOT OBTAIN WRITTEN CONSENT FROM CLIENTS FOR PRINCIPAL TO PRINCIPAL TRANSACTIONS
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 11-NOV-2001 TO 10-JAN-2002
22-NOV-2001
|
|
| 438 |
|
|
RAJRATHAN FINANCIAL SERVICES PVT.LTD.
(Member : UPSE)
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE IN CONDUCT OF ITS BUSINESS AS A BROKER
DEFICIENCIES IN CLIENT DATABASE
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
UNDERTOOK PRINCIPAL TO PRINCIPAL TRADE
DID NOT MAINTAIN CLIENT DATABASE
DID NOT REPORT SPOT TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
IMPOSED PENALTY RS.4,00,000
10-JUN-2009
|
|
| 439 |
|
|
RAKESH DEEP INVESTMENTS
(Member : UPSE)
|
|
|
|
RAKESH KUMAR MISHRA
|
|
DID NOT PRODUCE BOOKS OF ACCOUNTS TO SEBI FOR INSPECTION
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
DID NOT MAINTAIN CLIENT AGREEMENTS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 04-MAR-2002 TO 03-JUL-2002
27-FEB-2002
|
|
| 440 |
|
|
RAMA SECURITIES PVT.LTD.
(Member : CSE)
|
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
28-APR-2006
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 22 of 30
|
