| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 621 |
|
RAJU & CO.
(Member : COCSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 03-JAN-2005
03-JAN-2005
|
|
| 622 |
|
|
RAKESH MISHRA,M/S
(Member : UPSE)
|
|
|
|
RAKESH MISHRA
|
|
DID NOT PAY TURNOVER FEE
FOUND TO BE A BENAMI COMPANY OF HOFFLAND GROUP WHICH DEFAULTED IN MAKING PAYMENTS TO VARIOUS INVESTORS
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 29-MAR-2011
08-MAR-2011
|
|
| 623 |
|
|
RAKESH NAGAR & CO.
(Member : JSE)
|
|
|
|
RAKESH NAGAR
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 05-NOV-2004
11-NOV-2004
|
SAT: IMPUGNED ORDER MODIFIED FROM CANCELLATION TO SIMPLE WARNING,NO ORDER AS TO COSTS
|
| 624 |
|
|
RAKESH RELAN,M/S
(Member : DSE)
|
|
|
|
RAKESH RELAN
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002
22-OCT-2002
|
|
| 625 |
|
|
RAM BABU SHARMA,M/S
(Member : JSE)
|
|
|
|
RAM BABU SHARMA
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 24-DEC-2002
24-DEC-2002
|
|
| 626 |
|
|
RAMAKRISHNA EQUITY FUND LTD.
(Member : NSE)
|
|
|
DID NOT PAY FEES TO SEBI
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 23-JAN-2008
23-JAN-2008
|
|
| 627 |
|
|
RAMESH KUMAR VIRMANI,M/S
(Member : OTC)
|
|
|
|
RAMESH KUMAR VIRMANI
|
|
DID NOT PAY FEES TO SEBI
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 23-JAN-2008
23-JAN-2008
|
|
| 628 |
|
|
RAMESHKUMAR UTTAMCHAND DOSHI,M/S
(Along with : DOSHI INVESTMENT)
|
|
|
|
RAMESHKUMAR UTTAMCHAND DOSHI
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 27-AUG-2004
27-AUG-2004
|
|
| 629 |
|
|
RAMNIWAS CHIRIMAR,M/S
(Member : CSE)
|
|
|
|
RAMNIWAS CHIRIMAR
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 10-SEP-2003
10-SEP-2003
|
|
| 630 |
|
|
RAMNIWAS CHIRIMAR,M/S
(Member : ICSE)
|
|
|
|
RAMNIWAS CHIRIMAR
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 27-AUG-2004
27-AUG-2004
|
|
| 631 |
|
|
RAMOTAR AGARWALA & CO.
(Member : CSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 27-AUG-2004
27-AUG-2004
|
|
| 632 |
|
|
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
|
|
| 633 |
|
|
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
|
|
| 634 |
|
|
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
|
|
| 635 |
|
|
RATHANLAL ASSOCIATES
(Member : COCSE)
|
|
|
|
ASHA ASHOK
|
|
DID NOT PAY FEES TO SEBI
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 17-JAN-2008
17-JAN-2008
|
|
| 636 |
|
|
RATHANLAL INVESTMENTS
(Member : COCSE)
|
|
|
|
SATHISH NAYAK V.V.
|
|
DID NOT PAY FEES TO SEBI
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 17-JAN-2008
17-JAN-2008
|
|
| 637 |
|
|
RATHI GLOBAL FINANCE LTD.
(Member : OTC)
|
|
|
ALREADY SURRENDERED MEMBERSHIP CARD, NO PENALTY OF SUSPENSION WAS IMPOSED
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 09-NOV-2001
09-NOV-2001
|
|
| 638 |
|
|
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
|
|
| 639 |
|
|
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
|
|
| 640 |
|
|
REFLECTION INVESTMENTS
(PAN:AAAFR7134G)
(Member : NSE)
|
|
|
NO LONGER A MEMBER OF ANY STOCK EXCHANGE
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-AUG-2024
30-AUG-2024
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 32 of 43
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