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SOURCE OF INFORMATION

SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
UPDATED TILL : 02-MAR-2026

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

STOCK BROKERS: CANCELLED REGISTRATION AS STOCK BROKER

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
781
History of entity/person TULA FINANCE LTD.

(Member : OTC)  
  DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 01-MAR-2007

01-MAR-2007 		 
782
History of entity/person TULA FINANCE LTD.

(Member : UPSE)  
  DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 31-JAN-2005

31-JAN-2005 		 
783
History of entity/person TUSHAR L.THAKKAR,M/S

(Member : VSE)  
Click here to view complete history of this specific entity/person TUSHAR L.THAKKAR
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 29-OCT-2004

29-OCT-2004 		 
784
History of entity/person U.K.SASHIDHARAN,M/S

(Member : COCSE)  
Click here to view complete history of this specific entity/person U.K.SASHIDHARAN
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 03-JAN-2005

03-JAN-2005 		 
785
History of entity/person U.RAMDAS MALLYA,M/S

(Member : MNGSE)  
Click here to view complete history of this specific entity/person U.RAMDAS MALLYA
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 09-SEP-2004

09-SEP-2004 		 
786
History of entity/person UMA SHANKAR TAPARIS,M/S

(Member : GSE)  
Click here to view complete history of this specific entity/person UMA SHANKAR TAPARIS
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002

22-OCT-2002 		 
787
History of entity/person UNICON SECURITIES PVT.LTD.

(CIN:U74899DL1995PTC064554
PAN:AAPFS5325P)

(Member : NSE/MSEI)  
  NO LONGER A MEMBER OF ANY STOCK EXCHANGE   CANCELLED REGISTRATION AS STOCK BROKER FROM 30-AUG-2024

30-AUG-2024 		 
788
History of entity/person UNICON SECURITIES PVT.LTD.

(CIN:U74899DL1995PTC064554
PAN:AAPFS5325P)

(Depository Participants : CDSL,Member : NSE/BSE)  
  MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DID NOT REDRESS INVESTOR COMPLAINTS

DID NOT CO-OPERATE WITH SEBI IN INSPECTION   		CANCELLED REGISTRATION AS STOCK BROKER FROM 23-JUN-2021

CANCELLED REGISTRATION AS DEPOSITORY PARTICIPANT

23-JUN-2021 		 
789
History of entity/person UNIQUE CONSULTING & TRADING PVT.LTD.

(CIN:U74999TN2011PTC082344
PAN:AABCU3526H)

(Member : MDSE)  
  INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION

DID NOT EXERCISE DUE DILIGENCE, PROPER CARE AND DID NOT FULFIL OBLIGATION IN PROMPT, ETHICAL & PROFESSIONAL MANNER VIOLATING REGULATION 9 READ WITH CLAUSE A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992   		CANCELLED REGISTRATION AS STOCK BROKER FROM 02-AUG-2017

02-AUG-2017 		 
790
History of entity/person UNISYS SECURITIES & FINANCE LTD.

(Member : OTC)  
  DID NOT PAY FEES TO SEBI

DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED   		CANCELLED REGISTRATION AS STOCK BROKER FROM 23-JAN-2008

23-JAN-2008 		 
791
History of entity/person UNIVERSAL MEDIA NETWORK LTD.

(Member : NSE)  
  DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 03-SEP-2004

03-SEP-2004 		 
792
History of entity/person USHA AGARWAL & 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 		 
793
History of entity/person V G GAJJAR STOCKBROKERS PVT.LTD.

(Member : NSE)  
  DID NOT PAY FEES TO SEBI   CANCELLED REGISTRATION AS STOCK BROKER FROM 10-FEB-2010

10-FEB-2010 		 
794
History of entity/person V.J.ASSOCIATES

(Member : VSE)  
  DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002

22-OCT-2002 		 
795
History of entity/person V.K.SINGH,M/S

(Member : MGSE)  
Click here to view complete history of this specific entity/person V.K.SINGH
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 24-DEC-2002

24-DEC-2002 		 
796
History of entity/person V.N.SECURITIES

(Member : HSE)  
  DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 30-JUN-2004

30-JUN-2004 		 
797
History of entity/person V.P.SONTHALIA & CO.

(Member : UPSE)  
Click here to view complete history of this specific entity/person VED PRAKASH SONTHALIA
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 01-DEC-2004

01-DEC-2004 		 
798
History of entity/person V.RAVISHANKAR,M/S

(Member : HSE)  
Click here to view complete history of this specific entity/person V.RAVISHANKAR
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 30-JUN-2004

30-JUN-2004 		 
799
History of entity/person V.S.BENGANI & CO.

(Member : CSE)  
  DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 27-AUG-2004

27-AUG-2004 		 
800
History of entity/person VAISHALI STOCK & SHARES 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 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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