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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 : 10-SEP-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: INITIATED ENQUIRY PROCEEDINGS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
121
History of entity/person EARNWELL SECURITIES & HOLDING PVT.LTD.

(Member : SKSE)  
  DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

23-APR-2009 		PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION  
122
History of entity/person EASTWOOD INVESTMENTS PVT.LTD.

(PAN:AABCE3851B)

(Member : BGSE)  
  DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

09-JUN-2009 		PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 09/06/2009  
123
History of entity/person ELEGANT EQUITY PVT.LTD.

(CIN:U67120GJ1996PTC029461)

(Member : SKSE)  
  DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

23-APR-2009 		PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION  
124
History of entity/person EMPIRIC SECURITIES PVT.LTD.

(Member : SKSE)  
  DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

23-APR-2009 		PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION  
125
History of entity/person ENRICH STOCKS PVT.LTD.

(Member : BGSE)  
  DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

20-AUG-2009 		PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 20/08/2009  
126
History of entity/person ESSEN SWASTIK SECURITIES PVT.LTD.

(Member : CMBSE)  
  DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

20-AUG-2009 		PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 20/08/2009  
127
History of entity/person EXPRESS SECURITIES PVT.LTD.

(Member : DSE)  
  DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

09-JUN-2009 		PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 09/06/2009  
128
History of entity/person FULCRUM FINANCIAL SERVICES LTD.

(Member : SKSE)  
  DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

23-APR-2009 		PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION  
129
History of entity/person G.PREMANANDA PRABHU,M/S

(Member : COCSE)  
Click here to view complete history of this specific entity/person G.PREMANANDA PRABHU
  		DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

24-DEC-2009 		PROCEEDINGS INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AS THE SAID BROKER IS NOT ALIVE  
130
History of entity/person G.RAJ & CO.(CONSULTANTS) LTD.

(Member : ICSE)  
  DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

09-JUN-2009 		PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 09/06/2009  
131
History of entity/person GAJENDRA SINGHVI,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person GAJENDRA SINGHVI
  		DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

22-MAR-2010 		PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 22/03/2010  
132
History of entity/person GARG EQUITY TRADERS PVT.LTD.

(Member : UPSE)  
  DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

20-AUG-2009 		PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 20/08/2009  
133
History of entity/person GARRON SHARES & STOCK BROKERS PVT.LTD.

(Member : ICSE)  
  DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

09-JUN-2009 		PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 09/06/2009

SAT: SAT VIDE ITS ORDER DATED 17/07/2017 ALLOWED THE APPEAL TO BE WITHDRAWN. NO COSTS

SAT: SAT VIDE ITS ORDER DATED 21/11/2017 ALLOWED APPEAL TO BE WITHDRAWN WITH LIBERTY TO APPROACH APPROPRIATE FORUM SEEKING OF THE ADMISSION FEES WHICH ARE CLAIMED AS ‘NON-REFUNDABLE’ BY RESPONDENT NO.1. NO COSTS  
134
History of entity/person GAUTAMCHAND CHHAJED,M/S

(Member : SKSE)  
Click here to view complete history of this specific entity/person GAUTAMCHAND CHHAJED
  		DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

23-APR-2009 		PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION  
135
History of entity/person GAYATRI SHARE & STOCK BROKERS LTD.

(Member : HSE)  
Click here to view complete history of this specific entity/person RAVINDRA NATH DANGETI
  		DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

23-APR-2009 		PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION  
136
History of entity/person GAYATRI STOCKS

(Member : HSE)  
Click here to view complete history of this specific entity/person UMA RAVINDRANATH
  		DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

23-APR-2009 		PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION  
137
History of entity/person GCCL SECURITIES LTD.

(Member : ASE)  
  DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

07-MAY-2009 		PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 07/05/2009  
138
History of entity/person GFC SECURITIES & FINANCE LTD.

(Member : NSE)  
  DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

13-NOV-2009 		PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 13/11/2009  
139
History of entity/person GHANSHYAM CHANDRAKANT VYAS,M/S

(Member : SKSE)  
Click here to view complete history of this specific entity/person GHANSHYAM CHANDRAKANT VYAS
  		DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

23-APR-2009 		PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION  
140
History of entity/person GIRIRAJ SECURITIES PVT.LTD.

(Member : SKSE)  
  DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

23-APR-2009 		PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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