| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 61 |
|
RAM PAUL,M/S
(Member : LSE)
|
|
|
|
RAM PAUL
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010
SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010
07-DEC-2009
|
|
| 62 |
|
|
RAMESH CHANDER JHANWAR,M/S
(Member : UPSE)
|
|
|
|
RAMESH CHANDER JHANWAR
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010
SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010
07-DEC-2009
|
|
| 63 |
|
|
RAVI VISHNU SECURITIES LTD.
(Sub-Broker of MPSE SECURITIES LTD., Member : BSE,Member : MPSE)
|
|
|
|
SANJAY GARG
|
|
|
VIJAYESH ATRE
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF ALFAVISION OVERSEAS (INDIA) LTD.
|
SUSPENDED REGISTRATION AS SUB-BROKER FROM 04-FEB-2009 TO 03-AUG-2010
SUSPENDED REGISTRATION AS STOCK BROKER FROM 04-FEB-2009 TO 03-AUG-2010
14-JAN-2009
|
|
| 64 |
|
|
RIM SECURITIES LTD.
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010
SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010
07-DEC-2009
|
|
| 65 |
|
|
RITA FINANCIAL SERVICES LTD.
(Member : LSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010
SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010
07-DEC-2009
|
|
| 66 |
|
|
ROHIT MANGLA,M/S
(Member : OTC)
|
|
|
|
ROHIT MANGLA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010
SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010
07-DEC-2009
|
|
| 67 |
|
|
S.D.L.SECURITIES LTD.
(Member : LSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010
SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010
07-DEC-2009
|
|
| 68 |
|
|
SAKTHI FINANCE LTD.
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010
SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010
07-DEC-2009
|
|
| 69 |
|
|
SAMIR SUDHIR PORECHA,M/S
(Member : OTC)
|
|
|
|
SAMIR SUDHIR PORECHA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010
SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010
07-DEC-2009
|
|
| 70 |
|
|
SANAT M.DALAL SECURITIES PVT.LTD.
(PAN:AAFCS1400A)
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010
SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010
07-DEC-2009
|
|
| 71 |
|
|
SANDEEP KUMAR,M/S
(Member : LSE)
|
|
|
|
SANDEEP KUMAR
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010
SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010
07-DEC-2009
|
|
| 72 |
|
|
SANJAY AGARWAL,M/S
(Member : UPSE)
|
|
|
|
SANJAY AGARWAL
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010
SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010
07-DEC-2009
|
|
| 73 |
|
|
SANJAY KESARWANI,M/S
(Member : UPSE)
|
|
|
|
SANJAY KESARWANI
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010
SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010
07-DEC-2009
|
|
| 74 |
|
|
SANTOSH KUMAR CHAUDHARY,M/S
(Member : CSE)
|
|
|
|
SANTOSH KUMAR CHAUDHARY
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010
SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010
07-DEC-2009
|
|
| 75 |
|
|
SANTOSH KUMAR JAIN,M/S
(Member : UPSE)
|
|
|
|
SANTOSH KUMAR JAIN
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010
SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010
07-DEC-2009
|
|
| 76 |
|
|
SANTOSH MITTAL,M/S
(Member : UPSE)
|
|
|
|
SANTOSH MITTAL
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010
SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010
07-DEC-2009
|
|
| 77 |
|
|
SCOPE SECURITIES INDIA PVT.LTD.
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010
SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010
07-DEC-2009
|
|
| 78 |
|
|
SHREENATH KAPOOR,M/S
(Member : CSE)
|
|
|
|
SHREENATH KAPOOR
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010
SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010
07-DEC-2009
|
SAT: IMPUGNED ORDER DATED 07/12/2009 SET ASIDE AND REMITTED CASE TO RESPONDENT BOARD. DIRECTED CALCUTTA STOCK EXCHANGE TO RESTORE CERTIFICATE OF REGISTRATION, VIDE ORDER DATED 31/03/2010. NO ORDER AS TO COSTS
SEBI VIDE ORDER DATED 07/01/2015, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEES (AS ON THE DATED OF PAYMENT) ARE FULLY PAID
SEBI VIDE ITS ORDER DATED 26/06/2015 ORDERED TO REMIT THE AMOUNT OF RS.14, 40,283 INCLUDING INTEREST ACCURED FOR THE MONTH OF JUNE, 2015 AND RS.1,000 TOWARDS ADMINISTARTION CHARGES
SEBI VIDE ITS NOTICE DATED 15/07/2015 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS NOTICE DATED 04/08/2015 CLOSED RECOVERY CERTIFICATE AS ENTIRE DUES OF HAS BEEN RECOVERED TOWARDS FULL AND FINAL SETTLEMENT OF DUES
SAT: SAT VIDE ITS ORDER DATED 18/07/2017 ALLOWED THE APPEAL AND MISC APPLICATIONS TO BE WITHDRAWN WITH LIBERTY TO FILE FRESH APPEALS AND MISC.APPLICATIONS WITHIN A PERIOD OF SIX WEEKS FROM THE DATE OF THIS ORDER. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 07/05/2018 CONDONED THE DELAY OF 913 DAYS IN FILING OF APPEAL. APPEAL DISMISSED. NO COSTS
|
| 79 |
|
|
SHYAM SUNDER MUNDRA,M/S
(Member : JSE)
|
|
|
|
SHYAM SUNDER MUNDRA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010
SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010
07-DEC-2009
|
|
| 80 |
|
|
SLA SECURITIES LTD.
(Member : CSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010
SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010
07-DEC-2009
|
SAT: ORDER DATED 07/12/2009 SET ASIDE AND REMITTED CASE BACK TO RESPONDENT BOARD. DIRECTED CALCUTTA STOCK EXCHANGE TO RESTORE CERTIFICATE OF REGISTRATION, VIDE ORDER DATED 31/03/2010. NO ORDER AS TO COSTS
SEBI VIDE ORDER DATED 07/01/2015, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEES (AS ON THE DATED OF PAYMENT) ARE FULLY PAID
SEBI VIDE ITS NOTICE DATED 28/07/2015 CLOSED RECOVERY CERTIFICATE AS ENTIRE DUES OF HAS BEEN RECOVERED
SAT: SAT VIDE ITS ORDER DATED 18/07/2017 ALLOWED THE APPEAL AND MISC APPLICATIONS TO BE WITHDRAWN WITH LIBERTY TO FILE FRESH APPEALS AND MISC.APPLICATIONS WITHIN A PERIOD OF SIX WEEKS FROM THE DATE OF THIS ORDER. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 07/05/2018 CONDONED THE DELAY OF 913 DAYS IN FILING OF APPEAL. APPEAL DISMISSED. NO COSTS
|
| 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 4 of 6
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