| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 541 |
|
UNICON SECURITIES PVT.LTD.
(CIN:U74899DL1995PTC064554
PAN:AAPFS5325P)
(Member : BSE/NSE)
|
|
|
|
GAJENDRA NAGPAL
PAN:AADPN5511A
|
|
|
NEERAJ GROVER
PAN:AFDPG2918P
|
|
|
RAM MOHAN GUPTA
PAN:AGDPG7175M
|
|
|
SONIA NAGPAL
PAN:AAGPN2936G
|
|
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
DID NOT HAVE PERIODIC INTERNAL AUDIT CONDUCTED OF ITS STOCK BROKING AND DEPOSITORY PARTICIPANT OPERATIONS
DID NOT OBTAIN PRIOR APPROVAL FROM SEBI FOR THE CHANGE IN MANAGEMENT AND CONTROL
EXTENDED MARGIN TRADING FACILITY TO ITS CLIENTS WITHOUT OBTAINING REQUISITE APPROVAL FROM STOCK EXCHANGES
DID NOT CARRY OUT ACTUAL PERIODIC SETTLEMENT OF FUNDS AND SECURITIES OF ITS CLIENTS
INDULGED IN UNAUTHORISED FUND-BASED ACTIVITIES
DEALT IN SECURITIES IN FRAUDULENT & UNFAIR MANNER AND DEFRAUDED INVESTORS IN SECURITIES VIOLATING SECTIONS 12A(B) AND 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A), 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
|
IMPOSED PENALTY RS.15,00,000
30-AUG-2022
|
SEBI VIDE ITS NOTICE DATED 16/05/2025 DIRECTED TO PAY RS.26,61,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 542 |
|
|
UNICON SECURITIES PVT.LTD.
(CIN:U74899DL1995PTC064554
PAN:AAPFS5325P)
(Depository Participants : CDSL,Member : NSE/BSE)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 23-JUN-2021
CANCELLED REGISTRATION AS DEPOSITORY PARTICIPANT
23-JUN-2021
|
|
| 543 |
|
|
USHA GARG & CO.
(Member : LSE)
|
|
|
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-MAY-2002 TO 26-JUL-2002 TILL PAYMENT OF SEBI FEE,WHICHEVER IS LATER
24-MAR-2002
|
|
| 544 |
|
|
V.K.DUA & CO.
(Member : DSE)
|
|
|
|
VINOD KUMAR DUA
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DEALT WITH UN-REGISTERED SUB-BROKERS
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
06-MAR-2000
|
|
| 545 |
|
|
V.VISHNOI & CO.
(Member : UPSE)
|
|
|
|
VIRENDRA CHANDRA GUPTA
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT ROUTE CLIENT'S MONEY THROUGH SEPARATE BANK ACCOUNT
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 23-FEB-1999 TO 22-MAY-1999
15-FEB-1999
|
|
| 546 |
|
|
VASANTI SHARE BROKERS LTD.
(PAN:AABCV7604F)
(Member : NSE)
|
|
|
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
|
IMPOSED PENALTY RS.5,00,000
19-NOV-2018
|
|
| 547 |
|
|
VCK SHARE & STOCK BROKING SERVICES LTD.
(CIN:U67110WB1989PLC046799
PAN:AAACV8988P)
(Member : NSE)
|
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES
|
IMPOSED PENALTY RS.7,00,000
25-OCT-2019
|
|
| 548 |
|
|
VCK SHARE & STOCK BROKING SERVICES LTD.
(CIN:U67110WB1989PLC046799
PAN:AAACV8988P)
(Member : NSE/CSE/ASE/OTC)
|
|
|
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
CHARGED EXCESS BROKERAGE
DID NOT MAINTAIN CLIENT AGREEMENTS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENTS' SECURITIES AND OWN SECURITIES
DID NOT MAINTAIN DATABASE AND RECORDS OF INVESTOR COMPLAINTS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DEALT IN CASH WITH CLIENTS
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
18-JUL-2011
|
|
| 549 |
|
|
VED BROTHERS SECURITIES PVT.LTD.
(PAN:AABCN2375H)
(Member : BSE/NSE)
|
|
|
DID NOT PROVIDE INFORMATION/DOCUMENTS OF SETTLEMENT OF RUNNING ACCOUNTS OF CLIENTS AND PROOF OF DELIVERY OF STATEMENTS
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
|
IMPOSED PENALTY RS.7,00,000
31-OCT-2018
|
|
| 550 |
|
|
VEDICA SECURITIES PVT.LTD.
(Member : NSE)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT TRANSFER DIVIDEND TO CLIENTS ACCOUNT
|
IMPOSED PENALTY RS.2,00,000
31-JAN-2011
|
|
| 551 |
|
|
VEDIKA SECURITIES PVT.LTD.
(PAN:AAACV8839R)
(Member : NSE/BSE)
|
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
IMPOSED PENALTY RS.1,00,000
16-JUL-2018
|
|
| 552 |
|
|
VEER JAIN & CO.
(Member : JSE)
|
|
|
DID NOT PAY FEES TO SEBI
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 28-MAY-1998 TO 27-JUN-1998
15-MAY-1998
|
|
| 553 |
|
|
VENKATESHWARLU KONDURI,M/S
(Member : HSE)
|
|
|
|
VENKATESHWARLU KONDURI
|
|
DID NOT ISSUE CONTRACT NOTES
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT ENTER INTO AGREEMENT WITH CLIENTS
DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER
USED CLIENT'S SECURITIES FOR RAISING FUNDS
USED EXCHANGE MECHANISM IN ORDER TO MEET FINANCIAL OBLIGATIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 15-FEB-1999 TO 14-AUG-1999
05-FEB-1999
|
|
| 554 |
|
|
VENTURA SECURITIES LTD.
(PAN:AAACV1361J)
(Member : BSE/NSE)
|
|
|
DID NOT MAINTAIN STOCK MISMATCH ALERT
DID NOT REPORT SHORTFALL IN COLLECTION OF EOD MARGIN TO STOCK EXCHANGES
PASSED PENALTY TO CLIENTS ON SHORT/NON-COLLECTION AND/OR REPORTING OF UPFRONT MARGINS
MADE INCORRECT AND/OR DID NOT REPORT ENHANCED SUPERVISION OF DATA TO STOCK EXCHANGES
DISCREPANCIES IN MARGIN TRADING FUNDING
DID NOT ADHERE TO CYBER SECURITY REQUIREMENTS
|
IMPOSED PENALTY RS.5,00,000
28-JUN-2024
|
|
| 555 |
|
|
VICTORY PORTFOLIO LTD.
(Member : NSE)
|
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
CONTRACT NOTES NOT SIGNED BY AUTHORISED REPRESENTATIVES
ALLOTTED SERIAL NUMBERS ON CONTRACT NOTES ON DAILY BASIS INSTEAD OF YEARLY BASIS
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
13-JAN-2006
|
|
| 556 |
|
|
VIJAY GUPTA & CO.
(Member : LSE)
|
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT RECTIFY BAD DELIVERIES IN TIME
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
19-NOV-1999
|
|
| 557 |
|
|
VIJAY KUMAR PATNI,M/S
(Member : CSE)
|
|
|
|
VIJAY KUMAR PATNI
|
|
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 02-SEP-2003 TO 01-JAN-2004
12-AUG-2003
|
|
| 558 |
|
|
VIJETA BROKING INDIA PVT.LTD.
(PAN:AACCV6700F)
(Member : NSE/BSE)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
ENGAGED IN BUSINESS OTHER THAN SECURITIES
MADE INCORRECT AND/OR DID NOT REPORT ENHANCED SUPERVISION OF DATA TO STOCK EXCHANGES
DID NOT UPLOAD DETAILS OF CLIENT TO STOCK EXCHANGE UNDER FUNDS AND SECURITIES MODULE OF ENHANCED SUPERVISION
DID NOT PROVIDE VOICE RECORDING FOR TRADES
DID NOT CAPTURE DETAILS LIKE CLIENT CODE AND NAME ETC.
|
IMPOSED PENALTY RS.3,00,000
30-JUN-2022
|
|
| 559 |
|
|
VINOD KUMAR & CO.
(Member : UPSE)
|
|
|
|
VINOD KUMAR
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DID NOT ROUTE CLIENT'S TRANSACTIONS THROUGH CLIENT ACCOUNT
DID NOT RECTIFY BAD DELIVERIES IN TIME
MISUSED EXCHANGE MECHANISM TO SETTLE LOAN TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-MAR-1999 TO 29-MAY-1999
24-MAR-1999
|
|
| 560 |
|
|
VIPIN AHUJA & CO.
(Member : UPSE)
|
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
MISUSED DEBIT NOTE FACILITY IN STOCK EXCHANGE
DID NOT REPORT PRINCIPAL-TO-PRINCIPAL TRANSACTIONS TO THE EXCHANGE
DID NOT REPORT SPOT TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 22-JUN-1999 TO 22-DEC-1999
18-JUN-1999
|
|
| 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 28 of 29
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