| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 101 |
|
BEZEL STOCKBROKERS PVT.LTD.
(PAN:AAFCB4437J)
(Member : NSE)
|
|
|
NO LONGER A MEMBER OF ANY STOCK EXCHANGE
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-AUG-2024
30-AUG-2024
|
|
| 102 |
|
|
BHAGERIA FINANCIAL SERVICES
(Member : OTC)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-DEC-2004
30-DEC-2004
|
|
| 103 |
|
|
BHARAT BHUSHAN FINANCE & COMMODITY BROKERS LTD.
(Member : MCX)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 12-MAY-2023
12-MAY-2023
|
SAT: SAT VIDE ITS ORDER DATED 08/08/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN TWO WEEKS THEREAFTER
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 12/07/2024 GRANTED EXTENSION OF SIX MONTHS TO COMPLETE THE ENTIRE PROCEEDINGS AND COME OUT WITH A SCHEME UNDER THE SETTLEMENT REGULATIONS
SAT: SAT VIDE ITS ORDER DATED 12/03/2025 GRANTED EXTENSION FOR FOUR MONTHS TO COMPLY WITH ORDER DATED 12/12/2023
|
| 104 |
|
|
BHARAT L.PAREKH,M/S
(Member : SKSE)
|
|
|
|
BHARAT L.PAREKH
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 13-MAY-2002
13-MAY-2002
|
|
| 105 |
|
|
BHARAT S.KHONA,M/S
(Member : BSE)
|
|
|
|
BHARAT S.KHONA
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 27-AUG-2004
27-AUG-2004
|
|
| 106 |
|
|
BHARATENDU INVESTMENTS & FINANCIAL SERVICES PVT.LTD.
(Member : BSE)
|
|
|
DID NOT PAY TURNOVER FEE
FOUND TO BE A BENAMI COMPANY OF HOFFLAND GROUP WHICH DEFAULTED IN MAKING PAYMENTS TO VARIOUS INVESTORS
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 29-MAR-2011
08-MAR-2011
|
|
| 107 |
|
|
BHAVANA INVESTOR SERVICES LTD.
(Member : NSE)
|
|
|
DID NOT PAY TURNOVER FEE
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 29-AUG-2024
29-AUG-2024
|
SAT: SAT VIDE ITS ORDER DATED 05/12/2024 GRANTED RESPONDENT EIGHT WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER FOUR WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 04/03/2025 GRANTED RESPONDENT TWO WEEKS EXTENSION TO FILE REPLY AND REJOINDER, IF ANY, TO FILE TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 24/06/2025 CONDONED THE DELAY IN FILING OF APPEAL AND GRANTED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 108 |
|
|
BHAVESH DHIRAJLAL STOCK BROKING CO.LTD.
(Member : NSE)
|
|
|
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 12-JUN-2003
12-JUN-2003
|
|
| 109 |
|
|
BHAVESH DHIRAJLAL STOCK BROKING CO.LTD.
(Member : NSE)
|
|
|
NO LONGER A MEMBER OF ANY STOCK EXCHANGE
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-AUG-2024
30-AUG-2024
|
|
| 110 |
|
|
BHAWAR LAL DHYAWALA,M/S
(Member : CSE)
|
|
|
|
BHAWAR LAL DHYAWALA
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 27-AUG-2004
27-AUG-2004
|
|
| 111 |
|
|
BHOGILAL AMBALAL PATEL,M/S
(Member : MPSE)
|
|
|
|
BHOGILAL AMBALAL PATEL
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 27-AUG-2004
27-AUG-2004
|
|
| 112 |
|
|
BHOJWANI SECURITIES PVT.LTD.
(CIN:U65993MH1993PTC070873
PAN:AAACB4604N)
(Member : PSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 27-AUG-2004
27-AUG-2004
|
|
| 113 |
|
|
BIJAY KUMAR SUREKHA,M/S
(Member : GSE)
|
|
|
|
BIJAY KUMAR SUREKHA
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002
22-OCT-2002
|
|
| 114 |
|
|
BIMAL KUMAR JALAN,M/S
(Member : UPSE)
|
|
|
|
BIMAL KUMAR JALAN
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 29-SEP-2004
29-SEP-2004
|
|
| 115 |
|
|
BIMAL KUMAR SEAL,M/S
(Member : CSE)
|
|
|
|
BIMAL KUMAR SEAL
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 27-AUG-2004
27-AUG-2004
|
|
| 116 |
|
|
BINANI STOCKLAND LTD.
(Member : OTC)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002
22-OCT-2002
|
|
| 117 |
|
|
BINOD KUMAR JALAN,M/S.
(Member : UPSE)
|
|
|
|
BINOD KUMAR JALAN
|
|
DID NOT PAY FEES TO SEBI
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 10-JUN-2010
20-MAY-2010
|
|
| 118 |
|
|
BIPIN R.SHUKLA,M/S
(Member : SKSE)
|
|
|
|
BIPIN SHUKLA
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 13-MAY-2002
13-MAY-2002
|
|
| 119 |
|
|
BIPINCHANDRA RATILAL SHAH,M/S
(Member : ASE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 03-SEP-2004
03-SEP-2004
|
|
| 120 |
|
|
BIYANI SECURITIES PVT.LTD.
(Member : CSE)
|
|
|
DECLARED DEFAULTER AND NOT RE-ADMITTED WITHIN A PERIOD OF SIX MONTHS
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-JUL-2002
30-JUL-2002
|
|
| 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 6 of 43
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