| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 601 |
|
R.S.INVESTMENT & FINANCIAL SERVICES
(Member : NSE)
|
|
|
|
RAJESH CHUNILAL MEGHANI
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 26-SEP-2003
26-SEP-2003
|
|
| 602 |
|
|
RADHA KISHAN & SONS
(Member : CSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 27-AUG-2004
27-AUG-2004
|
|
| 603 |
|
|
RADHIKA PORTFOLIO LTD.
(Member : LSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-SEP-2010
09-SEP-2010
|
|
| 604 |
|
|
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
|
|
| 605 |
|
|
RAHIL INVESTMENTS & FINANCE LTD.
(Member : ASE/OTC/NSE)
|
|
|
IN THE CASE OF KAMAL OVERSEAS LTD.
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 26-JUN-2002
15-JUL-2002
|
|
| 606 |
|
|
RAHIL INVESTMENTS & FINANCE LTD.
(Member : OTC)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002
22-OCT-2002
|
|
| 607 |
|
|
RAHIL INVESTMENTS & FINANCE LTD.
(Member : ASE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 03-SEP-2004
03-SEP-2004
|
|
| 608 |
|
|
RAIN MAKER & CO.
(Along with : MALLIKA SRINIVASAN,M/S)
|
|
|
|
MALLIKA SRINIVASAN
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002
22-OCT-2002
|
|
| 609 |
|
|
RAJ KUMAR PODDAR,M/S
(Member : CSE)
|
|
|
|
RAJ KUMAR 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
|
|
| 610 |
|
|
RAJEEVBHAI S.PAREKH,M/S
(Member : SKSE)
|
|
|
|
RAJEEV S.PAREKH
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 13-MAY-2002
13-MAY-2002
|
|
| 611 |
|
|
RAJENDRA K.GUPTA & CO.
(Member : UPSE)
|
|
|
|
RAJENDRA KUMAR GUPTA
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 14-JAN-2005
14-JAN-2005
|
|
| 612 |
|
|
RAJENDRA KUMAR CHHABRA,M/S
(Member : ICSE)
|
|
|
|
RAJENDRA KUMAR CHHABRA
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 01-MAR-2007
01-MAR-2007
|
|
| 613 |
|
|
RAJENDRA RATHORE,M/S
(Member : MPSE)
|
|
|
|
RAJENDRA RATHORE
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 27-AUG-2004
27-AUG-2004
|
|
| 614 |
|
|
RAJESH & CO.
(Member : VSE)
|
|
|
|
RAJESH MAHESHWARY
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 29-OCT-2004
29-OCT-2004
|
|
| 615 |
|
|
RAJESH ANUBHAI SHAH,M/S
(Member : ASE)
|
|
|
|
RAJESH ANUBHAI SHAH
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 03-SEP-2004
03-SEP-2004
|
|
| 616 |
|
|
RAJESH GUPTA & CO.
(Member : JSE)
|
|
|
|
RAJESH GUPTA
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 24-DEC-2002
24-DEC-2002
|
|
| 617 |
|
|
RAJESH KUMAR KHANDELWAL,M/S
(Member : JSE)
|
|
|
|
RAJESH KUMAR KHANDELWAL
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 01-MAR-2007
01-MAR-2007
|
|
| 618 |
|
|
RAJINDER & CO.
(Member : CMBSE)
|
|
|
|
RAJINDER KUMAR BHARTI
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002
22-OCT-2002
|
|
| 619 |
|
|
RAJKUMAR CHAINRAI BASANTANI,M/S
(PAN:AESPB2834F)
(Member : NSE)
|
|
|
|
RAJKUMAR C.BASANTANI
PAN:AESPB2834F
|
|
NOT A FIT & PROPER PERSON TO ACT AS STOCK BROKER
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 18-FEB-2021
18-FEB-2021
|
|
| 620 |
|
|
RAJNIKANT SHANTICHAND JHAVERI,M/S
(Member : BSE)
|
|
|
|
RAJNIKANT SHANTICHAND JHAVERI
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 27-AUG-2004
27-AUG-2004
|
|
| 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 31 of 43
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