| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 661 |
|
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
|
|
| 662 |
|
|
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
|
| 663 |
|
|
SAARC NET LTD.
(PAN:AAGCS1957D)
(Member : MSEI)
|
|
|
NO LONGER A MEMBER OF ANY STOCK EXCHANGE
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-AUG-2024
30-AUG-2024
|
|
| 664 |
|
|
SAHU DEVELOPERS PVT.LTD.
(CIN:U45101UP1993PTC015084)
(Member : OTC)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 03-SEP-2004
03-SEP-2004
|
|
| 665 |
|
|
SAI SOFT SECURITIES LTD.
(Member : NSE/USEIL)
|
|
|
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
DID NOT FURNISH REQUISITE INFORMATION TO SEBI
DID NOT DECLARE BANK ACCOUNT TO STOCK EXCHANGE
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
MISUTILIZED CLIENTS FUNDS FOR DEBIT OBLIGATION OF OWN/OTHER CLIENTS
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 05-AUG-2021
05-AUG-2021
|
|
| 666 |
|
|
SANJAY BANSAL,M/S
(Member : ICSE)
|
|
|
|
SANJAY BANSAL
|
|
DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 28-FEB-2005
28-FEB-2005
|
|
| 667 |
|
|
SANJAY KUMAR TALWAR,M/S
(Member : UPSE)
|
|
|
|
SANJAY KUMAR TALWAR
|
|
INTRODUCED STOLEN SHARES THROUGH FORGED TRANSFER DEEDS
DECLARED DEFAULTER BY THE EXCHANGE
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 21-JAN-1999
21-JAN-1999
|
|
| 668 |
|
|
SANJAY MANSUKHLA CHITALIA,M/S
(Member : SKSE)
|
|
|
|
SANJAY MANSUKHLA CHITALIA
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 03-SEP-2004
03-SEP-2004
|
|
| 669 |
|
|
SANJAY MUKANDAS MUNOT,M/S
(Member : PSE)
|
|
|
|
SANJAY MUKANDAS MUNOT
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 12-FEB-2007
12-FEB-2007
|
|
| 670 |
|
|
SANJEEV KUMAR GARG,M/S
(Member : DSE)
|
|
|
|
SANJEEV KUMAR GARG
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002
22-OCT-2002
|
|
| 671 |
|
|
SANMAC FINANCIAL SERVICES LTD.
(Member : NSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 26-SEP-2003
26-SEP-2003
|
|
| 672 |
|
|
SANMAC MOTOR FINANCE LTD.
(Member : OTC)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-JUN-2004
30-JUN-2004
|
|
| 673 |
|
|
SARLA JAUHARI INVESTMENT CO.
(Member : UPSE)
|
|
|
|
SARLA JAUHARI
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 14-JAN-2005
14-JAN-2005
|
|
| 674 |
|
|
SAVASTHI INVESTMENTS LTD.
(PAN:AAACS9869E)
(Member : NSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002
22-OCT-2002
|
|
| 675 |
|
|
SAVITRI FINLEASE & SECURITIES LTD.
(CIN:U67120DL1991PLC045722)
(Member : OTC)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 03-SEP-2004
03-SEP-2004
|
|
| 676 |
|
|
SCON FINANCIAL SERVICES PVT.LTD.
(Member : OTC)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 31-JAN-2005
31-JAN-2005
|
|
| 677 |
|
|
SEWDUTTROY KEDIA & 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
|
|
| 678 |
|
|
SHADOWLINE SECURITIES PVT.LTD.
(Member : COCSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 16-FEB-2005
16-FEB-2005
|
|
| 679 |
|
|
SHAHRUKH N.TARA,M/S
(Member : BSE)
|
|
|
|
SHAHRUKH N.TARA
|
|
ACTED IN CONCERT WITH OTHER BROKERS TO CORNER A VERY LARGE QUANTITY OF SHARES OF BPL, VIDEOCON AND STERLITE
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF BPL LTD., VIDEOCON INTERNATIONAL LTD. AND STERLITE INDUSTRIES LTD.
DID NOT COLLECT MARGINS FROM CLIENTS
DEFAULTED IN PAY-IN OBLIGATIONS
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 17-NOV-1999
17-NOV-1999
|
|
| 680 |
|
|
SHALIBHADRA SECURITIES LTD.
(Member : NSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 26-SEP-2003
26-SEP-2003
|
|
| 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 34 of 43
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