| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 681 |
|
SHARAD KUMAR JAIN,M/S
(Member : JSE)
|
|
|
|
SHARAD KUMAR JAIN
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 08-FEB-2007
08-FEB-2007
|
|
| 682 |
|
|
SHARAD SITARAM GUPTA,M/S
(Member : ASE)
|
|
|
|
SHARAD SITARAM GUPTA
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 03-SEP-2004
03-SEP-2004
|
|
| 683 |
|
|
SHARADA & CO.
(Member : MNGSE)
|
|
|
|
SHARADA KRISHNAN
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 16-JUL-2004
16-JUL-2004
|
|
| 684 |
|
|
SHARE INDIA COMMODITY BROKERS PVT.LTD.
(PAN:AADCR0497E)
(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 18/05/2023 ALLOWED RESPONDENT FURTHER TWO WEEKS TO FILE REPLY AND REJOINDER TO BE FILED ON 21/06/2023. INTERIM RELIEF TO CONTINUE TILL FURTHER ORDERS
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 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
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
SAT: SAT VIDE ITS ORDER DATED 12/03/2025 GRANTED EXTENSION FOR FOUR MONTHS TO COMPLY WITH ORDER DATED 12/12/2023
|
| 685 |
|
|
SHAREDEAL FINANCIAL CONSULTANTS PVT.LTD.
(Member : OTC)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 12-SEP-2003
12-SEP-2003
|
|
| 686 |
|
|
SHAREDEAL FINANCIAL CONSULTANTS PVT.LTD.
(Member : BSE)
|
|
|
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 12-JUN-2003
12-JUN-2003
|
|
| 687 |
|
|
SHAREDEAL FINANCIAL CONSULTANTS PVT.LTD.
(Member : SKSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 03-SEP-2004
03-SEP-2004
|
|
| 688 |
|
|
SHARES BAZAAR PVT.LTD.
(PAN:ABECS9026N)
(Member : BSE)
|
|
|
NO LONGER A MEMBER OF ANY STOCK EXCHANGE
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 31-JUL-2024
31-JUL-2024
|
SAT: SAT VIDE ITS ORDER DATED 30/01/2025 CONDONED THE DELAY OF 99 DAYS IN FILING OF APPEAL AND GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND REJOINDER, IF ANY, BE FILED WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 20/03/2025 RESPONDENT SOUGHT TWO WEEKS TO FILE REPLY AND REJOINDER, IF ANY, BE FILED WITHIN TWO WEEKS THEREAFTER
|
| 689 |
|
|
SHAREWEALTH COMMODITIES PVT.LTD.
(PAN:AAJCS6152K)
(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
|
|
| 690 |
|
|
SHASHIKANT MANSUKHLAL SAKALSHAH,M/S
(Member : SKSE)
|
|
|
|
SHASHIKANT MANSUKHLAL SAKALSHAH
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 03-SEP-2004
03-SEP-2004
|
|
| 691 |
|
|
SHETH SECURITIES PVT.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
|
|
| 692 |
|
|
SHIBU MADHAWAN KARTHA,M/S
(Member : COCSE)
|
|
|
|
SHIBU MADHAWAN KARTHA
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 03-JAN-2005
03-JAN-2005
|
|
| 693 |
|
|
SHIKHARCHAND JAIN,M/S
(Member : GSE)
|
|
|
|
SHIKHAR CHAND JAIN
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002
22-OCT-2002
|
|
| 694 |
|
|
SHILPA SHARES
(Member : MNGSE)
|
|
|
|
POORNIMA R.SHASTRY
|
|
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 17-JUN-2003
17-JUN-2003
|
|
| 695 |
|
|
SHOBHANA DALAL,M/S
(Member : OTC)
|
|
|
|
SHOBHANA DALAL
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 16-FEB-2005
16-FEB-2005
|
|
| 696 |
|
|
SHREE KRISHNA & CO.
(Member : NSE)
|
|
|
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 20-JAN-2004
20-JAN-2004
|
|
| 697 |
|
|
SHREEJI FINVEST LTD.
(Member : NSE)
|
|
|
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 14-JAN-2004
14-JAN-2004
|
|
| 698 |
|
|
SHRENIK J.SHAH,M/S
(Member : BSE)
|
|
|
|
SHRENIK J.SHAH
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 14-AUG-2002
14-AUG-2002
|
|
| 699 |
|
|
SHRENIK J.SHAH,M/S
(Member : NSE)
|
|
|
|
SHRENIK J.SHAH
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 21-OCT-2002
21-OCT-2002
|
|
| 700 |
|
|
SHRI PARASRAM COMMODITIES PVT.LTD.
(PAN:AAACS4492D)
(Member : NSEL)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 18-JUL-2023
18-JUL-2023
|
SAT: SAT VIDE ITS ORDER DATED 06/12/2023 STAYED THE EFFECT AND OPERATION OF IMPUGNED ORDER AS IT RELATES TO APPELLANT TILL NEXT DATE OF LISTING
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 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
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
SAT: SAT VIDE ITS ORDER DATED 12/03/2025 GRANTED EXTENSION FOR FOUR MONTHS TO COMPLY WITH ORDER DATED 12/12/2023
|
| 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 35 of 43
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