| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 441 |
|
RANCHHOODBHAI K.VIRADIA,M/S
(Member : SKSE)
|
|
|
|
R.K.VIRADIA
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 13-MAY-2002
13-MAY-2002
|
|
| 442 |
|
|
RASHI INVESTMENT
(Member : UPSE)
|
|
|
|
RASHI SAXENA
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 01-MAR-2007
01-MAR-2007
|
|
| 443 |
|
|
RATAN LAL PODDAR,M/S
(Member : CSE)
|
|
|
|
RATAN LAL PODDAR
|
|
DECLARED DEFAULTER AND NOT RE-ADMITTED WITHIN A PERIOD OF SIX MONTHS
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-JUL-2002
30-JUL-2002
|
|
| 444 |
|
|
RATHORE INVESTORS
(Member : UPSE)
|
|
|
|
DHARMENDRA KUMAR RATHORE
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 01-DEC-2004
01-DEC-2004
|
|
| 445 |
|
|
RAVINDRA A.PATANKAR,M/S
(Member : PSE)
|
|
|
|
RAVINDRA A.PATANKAR
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 27-AUG-2004
27-AUG-2004
|
|
| 446 |
|
|
RENU MOHLA,M/S
(Member : JSE)
|
|
|
|
RENU MOHLA
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 08-FEB-2007
08-FEB-2007
|
|
| 447 |
|
|
RICHMOND SECURITIES PVT.LTD.
(Member : ICSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 31-JAN-2005
31-JAN-2005
|
SAT: APPEAL DISMISSED
|
| 448 |
|
|
RICHYRICH INVESTMENTS
(Along with : P.RAJARAM NAIDU,M/S)
|
|
|
|
P.RAJARAM NAIDU
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002
22-OCT-2002
|
|
| 449 |
|
|
RITA S.KATIRA,M/S
(Member : VSE)
|
|
|
|
RITA SUBHASH KATIRA
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 29-OCT-2004
29-OCT-2004
|
|
| 450 |
|
|
ROHINI ASSOCIATES
(Member : COCSE)
|
|
|
|
ARUN KUMAR
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 16-FEB-2005
16-FEB-2005
|
|
| 451 |
|
|
ROOP CHAND JAIN & CO.
(Member : UPSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 25-JUL-2003
04-JUL-2003
|
|
| 452 |
|
|
S.B.STOCKWORKS PVT.LTD.
(Member : CSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 10-SEP-2003
10-SEP-2003
|
|
| 453 |
|
|
S.B.STOCKWORKS PVT.LTD.
(Member : ICSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 27-AUG-2004
27-AUG-2004
|
|
| 454 |
|
|
S.K.BANSAL,M/S
(Member : JSE)
|
|
|
|
S.K.BANSAL
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 08-FEB-2007
08-FEB-2007
|
|
| 455 |
|
|
S.K.DHUPER,M/S
(Member : DSE)
|
|
|
|
S.K.DHUPER
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002
22-OCT-2002
|
|
| 456 |
|
|
S.K.GOENKA & CO.
(Member : CSE)
|
|
|
|
SHIV KUMAR GOENKA
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 10-SEP-2003
10-SEP-2003
|
|
| 457 |
|
|
S.K.KANWATIA & CO.
(Member : JSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 08-FEB-2007
08-FEB-2007
|
|
| 458 |
|
|
S.M.KANITKAR,M/S
(Member : PSE)
|
|
|
|
S.M.KANITKAR
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 18-SEP-2002
18-SEP-2002
|
|
| 459 |
|
|
S.P.KUPPUSAMY,M/S
(Member : MDSE)
|
|
|
|
S.P.KUPPUSAMY
|
|
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 08-SEP-2003
08-SEP-2003
|
|
| 460 |
|
|
S.R.VAIDYANATHAN,M/S
(Member : MDSE)
|
|
|
|
S.R.VAIDYANATHAN
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002
22-OCT-2002
|
|
| 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 23 of 30
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