| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 821 |
|
VINEET SECURITIES PVT.LTD.
(PAN:AAACV1545L)
(Member : NSE/BSE/MSEI)
|
|
|
NO LONGER A MEMBER OF ANY STOCK EXCHANGE
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-AUG-2024
30-AUG-2024
|
|
| 822 |
|
|
VIPUL SECURITIES LTD.
(Member : NSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002
22-OCT-2002
|
|
| 823 |
|
|
VIRGO VENTURE
(Member : BGSE)
|
|
|
|
T.A.RAMANUJAM
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 26-JUN-2003
26-JUN-2003
|
|
| 824 |
|
|
VISHAL VIJAY SHAH,M/S
(PAN:BBJPS3622P)
(Member : BSE)
|
|
|
|
VISHAL VIJAY SHAH
PAN:BBJPS3622P
|
|
ISSUED FICTITIOUS CONTRACT NOTES
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR TRADES AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF MAHARASHTRA POLYBUTENES LTD.
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 29-JAN-2021 TO 28-JAN-2022
DEBARRED FROM BEING EMPLOYED OR ASSOCIATED WITH ANY REGISTERED INTERMEDIARIES OR OTHER PERSON DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY AND IN ANY OTHER MANNER FROM 29-JAN-2021 TO 28-JAN-2022
08-JUL-2020
|
SEBI VIDE ITS ORDER DATED 08/01/2021 DIRECTED TO DEBAR FROM BEING EMPLOYED OR ASSOCIATED WITH ANY REGISTERED INTERMEDIARY OR OTHER PERSON DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY AND IN ANY OTHER MANNER FOR A PERIOD OF ONE YEAR
SAT: SAT VIDE ITS ORDER DATED 22/03/2021 DISMISSED THE APPEAL
|
| 825 |
|
|
VISWA SAI 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
|
|
| 826 |
|
|
VIVEK FINANCIAL SERVICES
(Member : CMBSE)
|
|
|
|
VENKATASUBRAMANIAN S.
|
|
VIOLATED SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 27-AUG-2004
27-AUG-2004
|
|
| 827 |
|
|
VN PAREKH SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
INDULGED IN MANIPULATIVE TRADES
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 08-MAR-2004
08-MAR-2004
|
ENQUIRY PROCEEDINGS INITIATED AGAINST NOTICEE IN MATTER OF RANBAXY LABORATORIES LTD. DISPOSED OFF VIDE ORDER DATED 03/08/2010,AS CERTIFICATE OF REGISTRATION OF NOTICEE HAS ALREADY BEEN CANCELLED BY SEBI VIDE ORDER DATED 08/03/2004
|
| 828 |
|
|
VORA FINANCIAL SERVICES PVT.LTD.
(PAN:AAACV1975E)
(Member : SKSE)
|
|
|
|
MAHESH KUMAR MOHANLAL JOSHI
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 03-SEP-2004
03-SEP-2004
|
|
| 829 |
|
|
VRISE SECURITIES PVT.LTD.
(CIN:119551
PAN:AABCV7112L)
(Member : NSE/BSE)
|
|
|
NO LONGER A MEMBER OF ANY STOCK EXCHANGE
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-AUG-2024
30-AUG-2024
|
|
| 830 |
|
|
VRP FINANCIAL SERVICES PVT.LTD.
(PAN:AAACV7147C)
(Member : ICSE)
|
|
|
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 06-NOV-2003
06-NOV-2003
|
|
| 831 |
|
|
VVL SECURITIES PVT.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
|
|
| 832 |
|
|
VYOM FINANCIAL SERVICES PVT.LTD.
(Member : OTC)
|
|
|
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 22-JUN-2004
22-JUN-2004
|
|
| 833 |
|
|
WAY2WEALTH COMMODITIES PVT.LTD.
(PAN:AAACW6445N)
(Member : NSEL)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 27-FEB-2023
27-FEB-2023
|
SAT: SAT VIDE ITS ORDER DATED 18/05/2023 ALLOWED RESPONDENT FURTHER TWO WEEKS TO FILE REPLY AND REJOINDER TO BE FILED ON 21/06/2023. INTERIM RELIEF TO CONTINUE TILL FURTHER ORDERS
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 12/03/2025 GRANTED EXTENSION FOR FOUR MONTHS TO COMPLY WITH ORDER DATED 12/12/2023
|
| 834 |
|
|
WEALTH MANTRA COMMODITIES PVT.LTD.
(PAN:AAHCS7515E)
(Member : MCX)
|
|
|
NO LONGER A MEMBER OF ANY STOCK EXCHANGE
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-AUG-2024
30-AUG-2024
|
|
| 835 |
|
|
WEALTH MANTRA LTD.
(PAN:AAFCS5076E)
(Member : NSE/BSE/MSEI)
|
|
|
NO LONGER A MEMBER OF ANY STOCK EXCHANGE
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-AUG-2024
30-AUG-2024
|
|
| 836 |
|
|
WELDEAL SHARES PVT.LTD.
(Member : CMBSE)
|
|
|
MANIPULATION IN BUYING, SELLING AND DEALING IN SCRIP OF JINDAL IRON & STEEL CO.LTD.
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 12-DEC-2003
12-DEC-2003
|
|
| 837 |
|
|
WELLINDIA COMMODITIES PVT.LTD.
(PAN:AAACW5461G)
(Member : MCX/NCDEX)
|
|
|
NO LONGER A MEMBER OF ANY STOCK EXCHANGE
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-AUG-2024
30-AUG-2024
|
|
| 838 |
|
|
WELLINDIA SECURITIES LTD.
(PAN:AABCR5196G)
(Member : NSE/BSE/MSEI)
|
|
|
NO LONGER A MEMBER OF ANY STOCK EXCHANGE
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-AUG-2024
30-AUG-2024
|
|
| 839 |
|
|
WESTFIN SECURITIES LTD.
(Member : NSE)
|
|
|
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 24-APR-2015
24-APR-2015
|
|
| 840 |
|
|
WESTFIN SECURITIES 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
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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|
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| Page 42 of 43
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