| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 701 |
|
SHRIDHAR FINANCIAL SERVICES LTD.
(PAN:AABCS7408J)
(Member : UPSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 14-JAN-2005
14-JAN-2005
|
|
| 702 |
|
|
SHRIKAR INVESTMENTS PVT.LTD.
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-SEP-2010
09-SEP-2010
|
|
| 703 |
|
|
SHUBHDA FINVEST PVT.LTD.
(Member : OTC)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 03-SEP-2004
03-SEP-2004
|
|
| 704 |
|
|
SHUBI CONSULTANTS
(Member : OTC)
|
|
|
|
RENU SOBTI
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 03-SEP-2004
03-SEP-2004
|
|
| 705 |
|
|
SHYAM LAL SHARMA,M/S
(Member : DSE)
|
|
|
|
SHYAM LAL SHARMA
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 10-SEP-2004
10-SEP-2004
|
|
| 706 |
|
|
SHYAM SUNDER MUNDRA,M/S
(Member : JSE)
|
|
|
|
SHYAM SUNDER MUNDRA
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 08-FEB-2007
08-FEB-2007
|
|
| 707 |
|
|
SHYAMLAL AGARWAL,M/S
(Member : UPSE)
|
|
|
|
SHYAMLAL AGARWAL
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 15-APR-2002
15-APR-2002
|
|
| 708 |
|
|
SIBY MATHEW & CO.
(Member : COCSE)
|
|
|
|
SIBY MATHEW
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 16-FEB-2005
16-FEB-2005
|
|
| 709 |
|
|
SIDDHARTHA FINANCIAL & CAPITAL SERVICES PVT.LTD.
(Member : OTC)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 03-SEP-2004
03-SEP-2004
|
|
| 710 |
|
|
SIDDHI VINAYAK COMMODITIES PVT.LTD.
(PAN:AAJCS6706N)
(Member : NSEL)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-MAY-2023
30-MAY-2023
|
|
| 711 |
|
|
SIHL COMMODITIES LTD.
(Member : NSEL)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 31-MAR-2023
31-MAR-2023
|
|
| 712 |
|
|
SINGLE WINDOW SECURITIES LTD.
(PAN:AACCS7198A)
(Member : NSE)
|
|
|
NO LONGER A MEMBER OF ANY STOCK EXCHANGE
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 29-JAN-2025
29-JAN-2025
|
|
| 713 |
|
|
SIYA SHARAN SINGHAL,M/S
(Member : JSE)
|
|
|
|
SIYA SHARAN SINGHAL
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 28-NOV-2004
28-NOV-2004
|
|
| 714 |
|
|
SKUNG COMMXPERTS LTD.
(PAN:AAOCS2486D)
(Member : NSEL)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 10-MAY-2023
10-MAY-2023
|
|
| 715 |
|
|
SMART INVESTMENT CONSULTANTS
(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
|
|
| 716 |
|
|
SOMANI INVESTMENTS
(Member : UPSE)
|
|
|
|
JYOTI SOMANI
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 01-DEC-2004
01-DEC-2004
|
|
| 717 |
|
|
SONALI SECURITIES PVT.LTD.
(Member : OTC)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 06-DEC-2004
06-DEC-2004
|
|
| 718 |
|
|
SONI SECURITIES LTD.
(Member : NSE)
|
|
|
SURRENDERED CERTIFICATE OF REGISTRATION AS STOCK BROKER
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 27-SEP-2004
27-SEP-2004
|
|
| 719 |
|
|
SOUNDARARAJA FINANCE LTD.
(Member : OTC)
|
|
|
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 23-DEC-2004
23-DEC-2004
|
|
| 720 |
|
|
SPECTRUM CORPORATE SERVICES LTD.
(Member : OTC)
|
|
|
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 22-JUN-2004
22-JUN-2004
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 36 of 43
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