| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 801 |
|
SHREEHARI HIRA STOCK BROKING PVT.LTD.
(PAN:AAJCS0518D)
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 7 READ WITH CLAUSES A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF ALKA INDIA LTD.
|
IMPOSED PENALTY RS.50,000
26-FEB-2010
|
SAT: APPEAL DISMISSED AS WITHDRAWN
INCLUDED IN SEBI LIST DATED 30/06/2012, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 802 |
|
|
SHREEPATI HOLDINGS & FINANCE PVT.LTD.
(PAN:AAACS3111R)
(Member : BSE/NSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING CLAUSES A(2) AND A(5) OF CODE OF CONDUCT READ WITH REGULATIONS 9(F), 26(XV), 26(XVI) AND 26(XX) OF SEBI (STOCK BROKERS) REGULATIONS, 1992
DID NOT ADHERE TO VARIOUS SEBI CIRCULARS
|
IMPOSED PENALTY RS.3,00,000
18-DEC-2017
|
|
| 803 |
|
|
SHRENI SHARES PVT.LTD.
(CIN:U67190MH2009PTC195845
PAN:AANCS4073K)
(Depository Participants : CDSL,Member : BSE/NSE)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
FUNDED CLIENTS OUTSIDE OF MARGIN TRADING FACILITY BEYOND T+2+5 DAYS
MADE INCORRECT AND/OR DID NOT REPORT ENHANCED SUPERVISION OF DATA TO STOCK EXCHANGES
MISMATCH IN DATA SUBMITTED TOWARDS WEEKLY MONITORING OF CLIENT FUNDS
DID NOT UPLOAD KNOW YOUR CLIENTS (KYC) DOCUMENTS TO KRA PROCESSES
REPORTED WRONG NET WORTH TO EXCHANGE
|
IMPOSED PENALTY RS.3,00,000
13-SEP-2021
|
|
| 804 |
|
|
SHRI PARASRAM HOLDINGS PVT.LTD.
(PAN:AAACS4487J)
(Member : BSE/NSE)
|
|
|
ASSOCIATED WITH A PLATFORM PROVIDING REFERENCES TO RETURNS/PERFORMANCE OF ALGORITHMIC TRADING STRATEGIES VIOLATING CLAUSE 4.2 OF SEBI CIRCULAR DATED 02/09/2022 AND CLAUSES A(2)AND A(5) OF SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF TRADE TRON AND OTHER ALGO PLATFORMS
|
IMPOSED PENALTY RS.2,00,000
25-MAR-2026
|
|
| 805 |
|
|
SHRI VENKATESH STOCK BROKER SERVICES INDIA PVT.LTD.
(PAN:AAPCS0953C)
(Member : BSE)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT MAINTAIN/ PROVIDE DAILY RECONCILIATION STATEMENT FOR TRANSACTION BETWEEN CLIENT ACCOUNT AND OWN ACCOUNT
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
MADE INCORRECT REPORTING OF DATA TO STOCK EXCHANGES
REPORTED WRONG NET WORTH TO EXCHANGE
|
IMPOSED PENALTY RS.5,00,000
28-JAN-2025
|
SEBI VIDE ITS ORDER DATED 15/05/2025 DISPOSED OF SCN DATED 21/02/2025 AND DIRECTED SEBI TO ADVISE THE BSE TO ENSURE CORRECTIVE MEASURES TO IMPRESS UPON THE NOTICEE TO CALL BACK ALL LOANS & ADVANCES OUTSTANDING AS ON DATE
|
| 806 |
|
|
SHRIAM FINANCIAL PVT.LTD.
(PAN:AACCS0346N)
(Member : BSE/NSE)
|
|
|
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) AND A(3) OF CODE OF CONDUCT FOR STOCK BROKERS UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SHREENATH COMMERCIAL & FINANCE LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SHREENATH COMMERCIAL & FINANCE LTD.
|
IMPOSED PENALTY RS.3,00,000
24-NOV-2010
|
|
| 807 |
|
|
SHRIKANT G.MANTRI,M/S
(Member : BSE)
(Along with : MEGA SECURITIES PVT.LTD.)
|
|
|
|
RAMKISHORE BOOB
|
|
|
SHANTI DEVI MANTRI
|
|
|
SHRIKANT G.MANTRI
|
|
|
SUBODH B.
|
|
|
SUSHIL KUMAR MANTRI
|
|
|
VIMALA MANTRI
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF HOLDINGS OF SHARES OF NEDUNGADI BANK LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF NEDUNGADI BANK LTD.
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
15-DEC-2008
|
|
| 808 |
|
|
SHRIRAM INSIGHT SHARE BROKERS LTD.
(PAN:AAACI2727H)
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF ESKAY K “N” IT LTD.
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(2) AND A(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF ESKAY K “N” IT LTD.
|
IMPOSED PENALTY RS.3,50,000
31-MAR-2010
|
SAT: APPEAL ALLOWED WITH NO ORDER AS TO COSTS
INCLUDED IN SEBI LIST DATED 30/06/2012, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 809 |
|
|
SHRIRAM INSIGHT SHARE BROKERS LTD.
(PAN:AAACI2727H)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF ESKAY K “N” IT LTD.
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(2) AND A(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF ESKAY K “N” IT LTD.
|
IMPOSED PENALTY RS.3,50,000
31-MAR-2010
|
SAT: APPEAL ALLOWED WITH NO ORDER AS TO COSTS
INCLUDED IN SEBI LIST DATED 30/06/2012, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 810 |
|
|
SHRIRAM INSIGHT SHARE BROKERS LTD.
(PAN:AAACI2727H)
(Member : BSE/NSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING IN SCRIP OF ADANI EXPORTS LTD.
|
IMPOSED PENALTY RS.50,000
29-JAN-2010
|
|
| 811 |
|
|
SHRIRAM INSIGHT SHARE BROKERS LTD.
(PAN:AAACI2727H)
(Member : NSE)
|
|
|
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK AND GENERAL LEDGER
|
IMPOSED PENALTY RS.2,00,000
30-APR-2020
|
SAT: SAT VIDE ITS ORDER DATED 19/09/2022 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 30/04/2020. DIRECTED SEBI TO REFUND THE AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 812 |
|
|
SHRIRAM INSIGHT SHARE BROKERS LTD.
(PAN:AAACI2727H)
(Member : BSE/NSE,Depository Participants : CDSL/NSDL)
|
|
|
DID NOT SEND PLEDGE STATEMENTS TO CLIENTS
DID NOT SETTLE OR HAD RETAINED HUGE AMOUNT OF SECURITIES IN EXCESS OF OBLIGATIONS OF CLIENTS
DID NOT REPORT FUND AND SECURITIES BALANCES
DID NOT UPLOAD KYC DATA WITH CKYCR
|
IMPOSED PENALTY RS.5,00,000
13-OCT-2020
|
|
| 813 |
|
|
SHRIRAM INSIGHT SHARE BROKERS LTD.
(PAN:AAACI2727H)
(Member : NSE)
|
|
|
DID NOT ADHERE TO "KNOW YOUR CLIENT" DIRECTIVES/INSTRUCTIONS/GUIDELINES
DEFICIENCIES IN CLIENT POWER OF ATTORNEY (POA)
DELAY IN OPENING OF ACCOUNTS OF CLIENTS
WRONG/DELAY INTIMATION OF DETAILS OF ID AND LOCATION OF CTCL/IML TO EXCHANGE
DID NOT HAVE PROPER ORDER MANAGEMENT SYSTEM IN PLACE
SHORT COLLECTION OF MARGIN FROM CLIENTS IN DERIVATIVE SEGMENT
DEFICIENCIES IN SYSTEMS AUDIT REPORT FOR YEAR 2011-12
PROVIDED EXPOSURE TO CLIENTS HAVING DEBIT BALANCE
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT MAINTAIN MAINTENANCE MARGIN
|
IMPOSED PENALTY RS.10,00,000
26-JUN-2020
|
SAT: SAT VIDE ITS ORDER DATED 04/01/2022 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 26/06/2020
|
| 814 |
|
|
SHUBHAM & CO.
(Member : UPSE)
|
|
|
DID NOT MAINTAIN CLIENT AGREEMENTS
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
|
IMPOSED PENALTY RS.1,60,000
17-AUG-2004
|
SAT: APPEAL DISMISSED WITH NO ORDER AS TO COSTS
|
| 815 |
|
|
SHYAMLAL SULTANIA,M/S
(Member : CSE)
|
|
|
|
SHYAMLAL SULTANIA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF OASIS CINE COMMUNICATIONS LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLIED WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) AND B(4)(A) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF OASIS CINE COMMUNICATIONS LTD.
|
IMPOSED PENALTY RS.6,00,000
07-APR-2010
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 10/07/2015 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
|
| 816 |
|
|
SHYAMLAL SULTANIA,M/S
(Member : CSE)
|
|
|
|
SHYAMLAL SULTANIA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF SANGOTRI CONSTRUCTIONS LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(4) AND B(4)(A) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SANGOTRI CONSTRUCTIONS LTD.
|
IMPOSED PENALTY RS.3,00,000
04-FEB-2010
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 10/07/2015 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
|
| 817 |
|
|
SHYAMLAL SULTANIA,M/S
(Member : CSE)
|
|
|
|
SHYAMLAL SULTANIA
|
|
FAILED IN MAINTAINING INTEGRITY, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLIED WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) AND B(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF TWENTY FIRST CENTURY (INDIA) LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS/CROSS DEALS IN SCRIP OF TWENTY FIRST CENTURY (INDIA) LTD.
|
IMPOSED PENALTY RS.5,00,000
11-AUG-2009
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 10/07/2015 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
|
| 818 |
|
|
SI INVESTMENTS & BROKING PVT.LTD.
(Member : BSE)
|
|
|
|
ANAND PADMANABHAN
|
|
|
SHRIDHAR P.IYER
|
|
DEFAULTED IN MAINTENANCE OF SAUDA BOOK
DID NOT MAINTAIN CLIENT AGREEMENTS
DEFICIENCIES IN CLIENT DATABASE
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT COLLECT MARGINS FROM CLIENTS
DID NOT MAINTAIN DESPATCH RECORDS
PERMITTED TRADING TERMINALS AT UNAUTHORISED LOCATIONS
DID NOT ISSUE ADVERTISEMENT REGARDING CANCELLATION OF AFFILIATED SUB-BROKERS
DID NOT EXERCISE DUE SKILL AND DILIGENCE
DID NOT ADHERE TO DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI
DID NOT FRAME CODE OF INTERNAL PROCEDURES AND CONDUCT FOR PREVENTION OF INSIDER TRADING
|
IMPOSED PENALTY RS.1,00,000
17-NOV-2004
|
|
| 819 |
|
|
SIC STOCKS & SERVICES PVT.LTD.
(PAN:AAHCS8176P)
(Member : NSE/BSE/MSEI)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
MADE INCORRECT AND/OR DID NOT REPORT ENHANCED SUPERVISION OF DATA TO STOCK EXCHANGES
PASSED INCORRECT JOURNAL VOUCHERS IN CLIENT LEDGERS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
PROVIDED WRONG NOMENCLATURE OF ACCOUNTS
DID NOT PROVIDE CORRECT DATA TO STOCK EXCHANGE UNDER RISK-BASED SUPERVISION
DID NOT MAINTAIN DAILY RECONCILIATION STATEMENT
INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES
DISCREPANCIES IN CLIENT REGISTRATION PROCESS (KYC, KRA AND CKYCR PROCESS)
PROVIDED EXPOSURE TO CLIENTS HAVING DEBIT BALANCE
MISMATCHED CLIENTS EMAIL IDS AND/OR MOBILE NUMBERS
DID NOT MAINTAIN EVIDENCE/PRE TRADE AUTHORIZATION/CONFIRMATION IN RESPECT OF ORDERS PLACED BY CLIENTS
DID NOT MAINTAIN CALL RECORDING AND DID NOT HAVE FACILITY FOR PRE TRADE AUTHORIZATION
DID NOT MAKE DISCLOSURE OF EXCHANGE LEVEL INTERNAL ALERTS GENERATED
DID NOT FURNISH CASH FLOW STATEMENTS
REPORTED WRONG NET WORTH TO EXCHANGE
DID NOT HAVE VALID NCFM/NISM CERTIFICATE
|
IMPOSED PENALTY RS.30,00,000
24-MAR-2023
|
SEBI VIDE ITS NOTICE DATED 04/07/2023 DIRECTED TO PAY RS.31,51,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 16/08/2023 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS 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 12/09/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.32,11,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SEBI VIDE ITS ORDER DATED 20/01/2026 A) PROHIBITED FROM DISPOSING, TRANSFERRING, ALIENATING OR CHARGING IN RESPECT OF ALL THE IMMOVABLE AND MOVABLE PROPERTIES LISTED IN THE ORDER B) PROHIBITED FROM TAKING ANY BENEFIT UNDER SUCH DISPOSAL, TRANSFER, ALIENATION OR CHARGE IN RESPECT OF THE PROPERTIES LISTED IN ORDER C) DIRECTED TO FURNISH COMPLETE DETAILS OF ALL MOVABLE AND IMMOVABLE PROPERTIES HELD BY DEFAULTERS AND CHARGES, IF ANY, ALONG WITH ORIGINAL TITLE DEEDS PERTAINING TO THE PROPERTIES, WITHIN TWO WEEKS FROM DATE OF THIS ORDER AT SEBI, SOUTHERN REGIONAL OFFICE, CHENNAI D) DEFAULTERS AND INSPECTOR GENERAL OF REGISTRATION OF ALL THE STATES AND UNION TERRITORIES AND SPECIFICALLY TO THE CONCERNED TEHSILDARS, DISTRICT REGISTRARS AND SUB-REGISTRARS IN THE STATE OF KARNATAKA E) NOT TO ACT UPON ANY DOCUMENTS PURPORTING TO BE DEALING WITH TRANSFER, MORTGAGE, CHARGE, LEASE OR CREATION OR ALTERATION OF ANY INTEREST IN ANY OF THE PROPERTIES OWNED / HELD BY THE DEFAULTER, INCLUDING THE SAID PROPERTIES, IF PRESENTED FOR REGISTRATION
SEBI VIDE ITS NOTICE DATED 18/05/2026 ALLOWED THE APPEAL AND DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 16/08/2023
SEBI VIDE ITS ORDER DATED 18/05/2026 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6745 OF 2023 DATED 04/07/2023
|
| 820 |
|
|
SIDDHARTHA & CO.
(Member : CSE)
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
IMPOSED PENALTY RS.40,000
27-JUL-2010
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 41 of 48
|
