| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 741 |
|
SUMMIT INTEGRATED CREDIT CAPITALS LTD.
(Member : BSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 27-AUG-2004
27-AUG-2004
|
|
| 742 |
|
|
SUMPOORNA COMTRADE PVT.LTD.
(PAN:AAPCS1489R)
(Member : MCX)
|
|
|
NO LONGER A MEMBER OF ANY STOCK EXCHANGE
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-AUG-2024
30-AUG-2024
|
|
| 743 |
|
|
SUMPOORNA PORTFOLIO LTD.
(PAN:AAOCS8998N)
(Member : NSE/BSE)
|
|
|
NO LONGER A MEMBER OF ANY STOCK EXCHANGE
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-AUG-2024
30-AUG-2024
|
|
| 744 |
|
|
SUN MARKETING & SERVICES PVT.LTD.
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-SEP-2010
09-SEP-2010
|
|
| 745 |
|
|
SUNAM 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
|
|
| 746 |
|
|
SUNAM SECURITIES PVT.LTD.
(Member : COCSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 03-JAN-2005
03-JAN-2005
|
|
| 747 |
|
|
SUNCHAN SECURITIES LTD.
(PAN:AAFCS8953A)
(Depository Participants : CDSL,Member : BSE/NSE/OTC)
|
|
|
|
AJAY JANARDAN KOTWAL
|
|
|
KANCHAN MANSINGHANI
|
|
|
RIYAZ ISMAIL SHAIKH
|
|
|
SUNIL MANSINGHANI
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
FAILED TO DELIVER SHARES TO CLIENTS
DID NOT MAKE PAYMENT TO CLIENTS
DEFAULTED IN MAINTENANCE OF BOOKS/DOCUMENTS
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT PRODUCE BOOKS OF ACCOUNTS TO SEBI FOR INSPECTION
SUBMITTED WRONG INFORMATION TO SEBI
FAILED TO COMPLY WITH THE UNIQUE CLIENT CODE AS PRESCRIBED BY SEBI
DID NOT EXERCISE DUE CARE AND DILIGENCE IN CONDUCT OF ITS BUSINESS AS A BROKER
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-JAN-2009 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
DIRECTED NOT TO ACT AS DEPOSITORY PARTICIPANT FROM 30-JAN-2009 TILL FURTHER ORDERS
DIRECTED BSE, NSE, OTCEI AND THEIR CLEARING HOUSES NOT TO RELEASE FUNDS OR SECURITIES
DIRECTED BSE, NSE, OTCEI AND THEIR CLEARING HOUSES TO SECURE ALL ASSETS INCLUDING REALIZATION OF BANK GUARANTEES
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-JAN-2009 TILL FURTHER ORDERS
30-JAN-2009
|
AD-INTERIM EX-PARTE ORDER DATED 30/01/2009 CONFIRMED
SEBI VIDE ORDER DATED 08/12/2010 CANCELLED CERTIFICATE OF REGISTRATION AS STOCK BROKER W.E.F. 29/12/2010
SEBI VIDE ITS ORDER DATED 23/04/2014 1.RESTRAINED SUNCHAN SECURITIES LTD.(SUNCHAN) AND ITS DIRECTORS MR.SUNIL MANSINGHANI, MS.KANCHAN MANSINGHANI, MR.ASHOK DASWANI, MR.SURENDRA GAMA YADAV AND COMPLIANCE OFFICER MR.RIYAZ ISMAIL SHAIKH FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OR ACCESSING SECURITIES MARKET DIRECTLY OR INDIRECTLY FOR A PERIOD OF SEVEN YEARS 2.RESTRAINED ALL ITS DIRECTORS AND COMPLIANCE OFFICER FROM HOLDING POSITION OF DIRECTOR OR COMPLIANCE OFFICER IN ANY LISTED COMPANY OR BEING ASSOCIATED WITH ANY INTERMEDIARY OR ENTITY REGISTERED WITH SEBI FOR A PERIOD OF SEVEN YEARS 3.DIRECTED SUNCHAN AND ITS DIRECTORS AND COMPLIANCE OFFICER TO REPLENISH INVESTOR PROTECTION FUND (IPF) OF BSE TO THE EXTENT OF RS.1,86,93,149.00 AND IPF OF NSE TO THE EXTENT OF RS.2,58,32,823.72, I.E. AMOUNT DISBURSED FROM IPF TOWARDS CLAIMS OF INVESTORS OF SUNCHAN AS A STOCK BROKER 5.DIRECTED SUNCHAN AND ITS DIRECTORS TO COMPENSATE INVESTORS TO THE EXTENT THEIR CLAIMS WERE NOT FULLY MET OUT OF IPF OF RS.5,30,96,338.27 (RS.1,68,47,272.87 + RS.3,62,49,065.40) I.E. THE CLAIM ADMITTED LESS AMOUNT DISBURSED OUT OF IPF. SUNCHAN AND ITS DIRECTORS ARE JOINTLY AND SEVERALLY LIABLE TO MAKE THE PAYMENTS
|
| 748 |
|
|
SUNDAR & CO.
(Member : BGSE)
|
|
|
|
SUNDARA TENKILLAYA
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002
22-OCT-2002
|
|
| 749 |
|
|
SUNIDHI COMMODITIES PVT.LTD.
(CIN:U51909MH2003PTC143393)
(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
|
SAT: SAT VIDE ITS ORDER DATED 20/06/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE. STAYED EFFECT AND OPERATION OF THE IMPUGNED ORDER TILL NEXT DATE OF THE LISTING
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
|
| 750 |
|
|
SUNNESS CAPITAL INDIA PVT.LTD.
(PAN:AAOCS6977K)
(Member : NSE/BSE/MSEI/MCX)
|
|
|
NO LONGER A MEMBER OF ANY STOCK EXCHANGE
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 29-JAN-2025
29-JAN-2025
|
|
| 751 |
|
|
SURE CAPITAL PVT.LTD.
(CIN:U67120PN1999PTC014178)
(Member : PSE)
|
|
|
|
ASHOK RAJMAL NAHAR
|
|
|
MILIND UDAYSING BADGUJAR
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT ISSUE CONTRACT NOTES
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
DEFAULTED IN MAINTENANCE OF MARGIN REGISTER
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 17-FEB-2009
27-JAN-2009
|
|
| 752 |
|
|
SURENDER REDDY TALAKANTI,M/S
(Member : HSE)
|
|
|
|
SURENDER REDDY TALAKANTI
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
DID NOT REDRESS INVESTOR COMPLAINTS
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 23-JAN-2008
23-JAN-2008
|
|
| 753 |
|
|
SURESH CHANDRA MALLIA,M/S
(Member : COCSE)
|
|
|
|
SURESH CHANDRA MALLIA
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 10-APR-2002
10-APR-2002
|
|
| 754 |
|
|
SURESH GUPTA & 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
|
|
| 755 |
|
|
SURESH KUMAR,M/S
(Member : UPSE)
|
|
|
|
SURESH KUMAR
|
|
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
|
|
| 756 |
|
|
SURESH RATHI 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 25-AUG-2023
25-AUG-2023
|
SAT: SAT VIDE ITS ORDER DATED 21/11/2023 STAYED THE EFFECT AND OPERATION OF IMPUGNED ORDER
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
SAT: SAT VIDE ITS ORDER DATED 16/09/2025 CONDONED THE DELAY OF 25 DAYS IN FILING OF APPEAL. GRANTED RESPONDENT SIX WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. IN THE MEANWHILE, PARTIES TO REMAIN STATUS QUO
|
| 757 |
|
|
SURESH SHENOY,M/S
(Member : COCSE)
|
|
|
|
SURESH SHENOY
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 10-APR-2002
10-APR-2002
|
|
| 758 |
|
|
SURESH SONI,M/S
(Member : HSE)
|
|
|
|
SURESH SONI
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-JUN-2004
30-JUN-2004
|
|
| 759 |
|
|
SURINDERPAL SINGH,M/S
(Member : COCSE)
|
|
|
|
SURINDERPAL SINGH
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 06-DEC-2004
06-DEC-2004
|
|
| 760 |
|
|
SURYASHRI SECURITIES
(Member : ICSE)
|
|
|
|
GOPALDAS GOENKA
|
|
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 16-JAN-2004
16-JAN-2004
|
|
| 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 38 of 43
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