| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 641 |
|
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
|
|
| 642 |
|
|
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
|
|
| 643 |
|
|
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
|
|
| 644 |
|
|
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
|
|
| 645 |
|
|
ROYAL INTERNATIONAL SHARES PVT.LTD.
(CIN:U67110WB2010PTC145276
PAN:AAECR7263H)
(Member : BSE/NSE)
|
|
|
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT MAINTAIN ADEQUATE INTEREST FREE DEPOSIT ON NSE VIOLATING REGULATION 9(B) OF (STOCK BROKER) REGULATIONS, 1992
DID NOT SUBMIT NETWORTH CERTIFICATE AND ANNUAL AUDITED ACCOUNTS TO BSE FOR PERIOD ENDED MARCH 31, 2013 VIOLATING REGULATION 9(B) OF (STOCK BROKER) REGULATIONS, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 28-FEB-2020
28-FEB-2020
|
|
| 646 |
|
|
RR COMMODITY BROKERS PVT.LTD.
(PAN:AACCR0111L)
(Member : NSEL)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 27-APR-2023
27-APR-2023
|
|
| 647 |
|
|
RUDRA COMVENTURES PVT.LTD.
(Member : NSEL)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 11-SEP-2023
11-SEP-2023
|
SAT: SAT VIDE ITS ORDER DATED 14/03/2024 ALLOWED EXTENSION OF FOUR MONTHS W.E.F.11/03/2024 FOR COMING OUT WITH A SCHEME UNDER SEBI (SETTLEMENT PROCEEDINGS) REGULATIONS, 2018 AS DIRECTED BY THIS TRIBUNAL VIDE ORDER DATED 12/12/2023
|
| 648 |
|
|
RUSODAY SECURITIES LTD.
(Member : NSE)
|
|
|
NO LONGER A MEMBER OF ANY STOCK EXCHANGE
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-AUG-2024
30-AUG-2024
|
|
| 649 |
|
|
RUSODAY SECURITIES LTD.
(Member : NSE)
|
|
|
DID NOT ADHERE TO BASE MINIMUM CAPITAL REQUIREMENT
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 19-MAY-1997
19-MAY-1997
|
SAT: APPEAL DISMISSED LEAVING PARTIES TO BEAR THEIR OWN COSTS
SAT: MISC.APPLICATION DISPOSED OFF. NO COSTS
|
| 650 |
|
|
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
|
|
| 651 |
|
|
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
|
|
| 652 |
|
|
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
|
|
| 653 |
|
|
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
|
|
| 654 |
|
|
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
|
|
| 655 |
|
|
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
|
|
| 656 |
|
|
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
|
|
| 657 |
|
|
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
|
|
| 658 |
|
|
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
|
|
| 659 |
|
|
S.SATNALIWALA & CO.
(Member : CSE)
|
|
|
|
SUDHIR SATNALIWALA
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 10-SEP-2003
10-SEP-2003
|
|
| 660 |
|
|
SAAKETA COMMODITIES PVT.LTD.
(Member : NSEL)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 28-FEB-2023
28-FEB-2023
|
SAT: SAT VIDE ITS ORDER DATED 11/05/2023 DIRECTED RESPONDENT TO FILE REPLY. EFFECT AND OPERATION OF IMPUGNED ORDER TO REMAIN STAYED
SAT: SAT VIDE ITS ORDER DATED 08/08/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 30/10/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 06/12/2023 CONDONED THE DELAY IN FILING OF REPLY AND REPLY AND REJOINDER TAKEN ON RECORD. EXEMPTION APPLICATIONS, IF ANY ALLOWED
SAT: SAT VIDE ITS ORDER DATED 12/12/2023 DISPOSED OF THE GROUP OF APPEALS BY DIRECTING SEBI TO CONSIDER AND COME OUT WITH A SCHEME UNDER SETTLEMENT REGULATIONS PREFERABLY WITHIN THREE MONTHS FROM DATE OF THIS ORDER. IN THE EVENT, SCHEME NOT FRAMED UNDER SETTLEMENT REGULATIONS BY SEBI THEN SAID DECISION TO BE COMMUNICATED TO ALL APPELLANTS
SAT: SAT VIDE ITS ORDER DATED 12/07/2024 GRANTED EXTENSION OF SIX MONTHS TO COMPLETE THE ENTIRE PROCEEDINGS AND COME OUT WITH A SCHEME UNDER THE SETTLEMENT REGULATIONS
|
| 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 33 of 43
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