| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 61 |
|
HARISH C.THAKKAR,M/S
(Member : VSE)
|
|
|
|
HARISH C.THAKKAR
|
|
DID NOT ISSUE CONTRACT NOTES
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT CHARGE PRESCRIBED BROKERAGE
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 15-OCT-1998 TO 14-JAN-1999
08-OCT-1998
|
|
| 62 |
|
|
HITESH KANAIYALAL CHOTAI,M/S
(Member : SKSE)
|
|
|
|
HITESH K.CHOTAI
|
|
DEFAULTED IN MAINTENANCE OF SAUDA BOOK
DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER
DEFAULTED IN MAINTENANCE OF GENERAL LEDGER
DID NOT ISSUE CONTRACT NOTES
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
DID NOT MAINTAIN SEPARATE CLIENT ACCOUNT
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 08-JAN-1999 TO 07-JUL-1999
05-JAN-1999
|
|
| 63 |
|
|
IFB SECURITIES LTD.
(Member : NSE)
|
|
|
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DEFAULTED IN MAINTENANCE OF VARIOUS RECORDS
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
COMMITTED IRREGULARITIES REGARDING DEALING WITH CLIENTS
IRREGULARITIES IN REGISTRATION OF CLIENTS
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
19-FEB-2002
|
|
| 64 |
|
|
INDEX FINLEASE SERVICES LTD.
(Member : BGSE)
|
|
|
|
G.L.KOTHARI
|
|
DID NOT MAINTAIN CLIENT AGREEMENTS
DEFAULTED IN MAINTENANCE OF RECORD OF TIME OF PLACEMENT OF ORDERS
DID NOT EXERCISE DUE CARE AND DILIGENCE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 21-FEB-2004 TO 02-MAR-2004
31-JAN-2004
|
|
| 65 |
|
|
INSIGHT SHARE BROKERS PVT.LTD.
(Member : NSE)
|
|
|
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
COMMITTED IRREGULARITIES/DEFAULTED IN ISSUANCE OF CONFIRMATION MEMOS
DID NOT OPEN SEPARATE BENEFICIARY ACCOUNTS FOR ALL CLIENTS AVAILING MARGIN TRADING FACILITY FROM THE BROKER
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
DID NOT PAY STAMP DUTY ON CONTRACT NOTES
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
06-JAN-2006
|
|
| 66 |
|
|
INTERFACE BROKERAGE & RESEARCH LTD.
(Member : ASE)
|
|
|
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
DID NOT HAVE PRE-PRINTED SERIAL NUMBERS ON CONTRACT NOTES
DID NOT CHARGE MINIMUM BROKERAGE
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN SEPARATE CLIENT ACCOUNT
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
24-MAY-1999
|
|
| 67 |
|
|
INTERLINK FINANCIAL SERVICES LTD.
(Member : MPSE)
|
|
|
DEFAULTED IN MAINTENANCE OF BOOKS/DOCUMENTS
EXECUTED FICTITIOUS TRANSACTIONS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
19-NOV-1999
|
|
| 68 |
|
|
ITI FINANCIAL SERVICES LTD.
(PAN:AAACI8316C)
(Member : NSE/MCX/BSE)
|
|
|
ALLEGED FAILURE IN SETTLEMENT OF FUND OF ALL CLIENTS AT LEAST ONCE IN A CALENDER QUARTER OR MONTH
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.42,90,000 VIDE CONSENT ORDER)
21-MAR-2017
|
|
| 69 |
|
|
J.BHARTIA & CO.
(Member : CSE)
|
|
|
|
JAGDISH PRASAD BHARTIA
|
|
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
DEFICIENCIES IN CLIENT DATABASE
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT TRANSFER SECURITIES FROM POOL ACCOUNT TO CLIENTS' ACCOUNT IN TIME
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 14-JAN-2003 TO 13-JUL-2003
10-JAN-2003
|
|
| 70 |
|
|
J.G.A.SHAH SHARE BROKERS PVT.LTD.
(Member : BSE)
|
|
|
VIOLATED REGULATION 12 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
DEFICIENCIES IN CLIENT DATABASE
ALLOWED TERMINAL TO UNAUTHORISED USERS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
26-FEB-2008
|
|
| 71 |
|
|
J.V.S.SECURITIES PVT.LTD.
(Member : CSE)
|
|
|
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
COMMITTED IRREGULARITIES IN MAINTENANCE OF COUNTERFOILS OR DUPLICATES OF CONTRACT NOTES
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
DEFICIENCIES IN CLIENT DATABASE
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
EXECUTED NEGOTIATED DEALS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-JAN-2003 TO 19-JUL-2003
10-JAN-2003
|
|
| 72 |
|
|
JAYANT PRANJIWANDAS,M/S
(Member : CMBSE)
|
|
|
|
J.PRANJIWANDAS
|
|
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
DID NOT ISSUE CONTRACT NOTES
DID NOT RECTIFY BAD DELIVERIES IN TIME
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT PAY FEES TO SEBI
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
08-OCT-1998
|
|
| 73 |
|
|
JCM CAPITAL SERVICES LTD.
(Member : DSE)
|
|
|
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
DID NOT ENTER INTO AGREEMENT WITH CLIENTS
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
|
IMPOSED PENALTY RS.10,000
31-JAN-2005
|
|
| 74 |
|
|
JHP SECURITIES PVT.LTD.
(PAN:AAACJ2847H)
(Member : BSE/MSEI/NSE)
|
|
|
INDULGED IN BACKDATED AND FICTITIOUS TRANSACTIONS ON BEHALF OF CLIENTS
ISSUED FICTITIOUS CONTRACT NOTES
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
05-SEP-2022
|
|
| 75 |
|
|
JHP SECURITIES PVT.LTD.
(PAN:AAACJ2847H)
(Member : BSE)
|
|
|
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
DID NOT MAINTAIN CLIENT DATABASE
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
DID NOT ISSUE CONTRACT NOTES IN SPECIFIED FORMAT
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
INDULGED IN UNAUTHORISED FUND-BASED ACTIVITIES
FAILED TO PAY DIVIDENDS TO SHAREHOLDERS
|
IMPOSED PENALTY RS.3,00,000
24-DEC-2010
|
|
| 76 |
|
|
JM MORGAN STANLEY RETAIL SERVICES PVT.LTD.
(Member : BSE)
|
|
|
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DEFAULTED IN MAINTENANCE OF DUPLICATE COPY OF BILLS
DID NOT MAINTAIN CLIENT AGREEMENTS
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
02-JUN-2004
|
|
| 77 |
|
|
JMP SECURITIES PVT.LTD.
(PAN:AAACJ8850C)
(Member : BSE/NSE)
|
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENTS' SECURITIES AND OWN SECURITIES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
IMPOSED PENALTY RS.2,00,000
15-MAR-2018
|
|
| 78 |
|
|
JUNJHARJI INVESTMENT PVT.LTD.
(PAN:AAACJ8174F)
(Member : NSE)
|
|
|
DEFICIENCIES IN MEMBER-CLIENT AGREEMENTS
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK AND DOCUMENT REGISTER
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
05-JAN-2006
|
|
| 79 |
|
|
K & A SECURITIES PVT.LTD.
(PAN:AAACK1251G)
(Member : NSE)
|
|
|
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DEFAULTED IN MAINTENANCE OF SECURITIES REGISTER
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT ENTER INTO AGREEMENT WITH CLIENTS
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT FILE FIRST INFORMATION REPORT IN RESPECT OF STOLEN/FAKE/FORGED SHARES
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
28-JAN-2002
|
|
| 80 |
|
|
KANUDIA CAPITAL & MNGT.SERVICES PVT.LTD.
(Member : UPSE)
|
|
|
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
DID NOT COLLECT MARGINS FROM CLIENTS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
FAILED TO SUBMIT AUDIT REPORT TO THE EXCHANGE ON DUE DATE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
30-AUG-2006
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 4 of 10
|
