| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 121 |
|
P R B SECURITIES PVT.LTD.
(PAN:AABCP5425G)
(Member : NSE)
|
|
|
DEFAULTED IN MAINTENANCE OF SECURITIES REGISTER
DEFICIENCIES IN REGISTRATION FORMS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
EXECUTED TRADES WHERE BROKER HIMSELF WAS BUYER AS WELL AS SELLER
ALLEGED NON-COMPLIANCE OF REQUIREMENTS OF UNIQUE CLIENT CODE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
13-JAN-2006
|
|
| 122 |
|
|
P.C.KAPILA & CO.
(Member : DSE)
|
|
|
|
P.C.KAPILA
|
|
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
15-JUN-2007
|
|
| 123 |
|
|
P.K.KHANNA & CO.
(Member : LSE)
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DID NOT MAINTAIN CLIENT DATABASE
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT CHARGE BROKERAGE
CHARGED DIFFERENT RATES OF BROKERAGE FROM DIFFERENT CLIENTS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
ALLEGED NON-COMPLIANCE OF REQUIREMENTS OF UNIQUE CLIENT CODE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 13-NOV-2006 TO 12-FEB-2007
23-OCT-2006
|
|
| 124 |
|
|
P.N.BODA,M/S
(Member : SKSE)
|
|
|
|
P.N.BODA
|
|
DEFAULTED IN MAINTENANCE OF BOOKS/DOCUMENTS
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
INDULGED IN UNAUTHORISED FUND-BASED ACTIVITIES
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 13-AUG-1999 TO 12-NOV-1999
06-AUG-1999
|
|
| 125 |
|
|
P.S.SECURITIES LTD.
(Member : NSE)
|
|
|
DEFAULTED IN MAINTENANCE OF BOOKS/DOCUMENTS
DID NOT ISSUE CONTRACT NOTES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT REFUND MONEY COLLECTED UNDER CIS
DID NOT REDRESS INVESTOR COMPLAINTS
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 10-JAN-1999
10-JUN-1999
|
|
| 126 |
|
|
PAT & CO.
(Member : COCSE)
|
|
|
|
N.GEORGE PAUL
|
|
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 18-NOV-1998
18-NOV-1998
|
|
| 127 |
|
|
PAWAN KUMAR SULTANIA
(Member : CSE)
|
|
|
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 05-MAR-1999 TO 04-MAY-1999
05-MAR-1999
|
|
| 128 |
|
|
POISE SECURITIES & EXCHANGE LTD.
(Member : NSE)
|
|
|
DEFAULTED IN MAINTENANCE OF BOOKS/DOCUMENTS
DID NOT ISSUE CONTRACT NOTES
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
INDULGED IN UNAUTHORISED FUND-BASED ACTIVITIES
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-DEC-1999 TO 30-NOV-2000
01-DEC-1999
|
|
| 129 |
|
|
PRADEEP KAYAN & CO.
(Member : CSE)
|
|
|
DID NOT OBTAIN WRITTEN CONSENT FROM CLIENTS FOR PRINCIPAL TO PRINCIPAL TRANSACTIONS
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 11-MAR-2003 TO 10-SEP-2003
24-MAR-2003
|
|
| 130 |
|
|
PRADEEP KUMAR BANSAL,M/S
(Member : UPSE/CSE/ICSE)
|
|
|
|
PRADEEP KUMAR BANSAL
|
|
EXECUTED SINGLE TRADES AT EXCHANGE TO ASCERTAIN PRICES FOR EXECUTING BULK ORDERS ILLEGALLY OUTSIDE THE EXCHANGE MECHANISM
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT FURNISH CORRECT INFORMATION TO INSPECTING TEAM REGARDING BANK ACCOUNTS
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF AURANGABAD CRYOGENICS LTD. (NOW KNOWN AS BANSAL NATUREVEST LTD.)
DEFICIENCIES IN MEMBER-CLIENT AGREEMENTS
DEFICIENCIES IN REGISTRATION FORMS
DID NOT ISSUE CONTRACT NOTES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT COLLECT MARGINS FROM CLIENTS
DID NOT RECORD TIME OF PLACEMENT OF ORDERS ON CONTRACT NOTES
DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
EXECUTED TRADES FOR CLIENTS THROUGH PROPRIETARY ACCOUNT TO EVADE COLLECTION OF MARGINS
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 23-JUL-2003 TO 22-JUL-2008
28-JUN-2006
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,00,000, LEGAL EXPENSES RS.2,50,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER) FROM 23-JUL-2003 TO 22-JUL-2008
09-JUN-2008
|
SAT: APPLICANT AGREED TO PAY A SUM OF RS.25,00,000 TOWARDS SETTLEMENT CHARGES AND RS.2,50,000 TOWARDS LEGAL EXPENSES AS PER CONSENT ORDER DATED 09/06/2008 AND VOLUNTARILY UNDERTAKEN TO REMAIN SUSPENDED FOR A PERIOD OF 5 YEARS COMMENCING FROM 23/07/2003. ORDER DATED 28/06/2006 SET ASIDE
|
| 131 |
|
|
PRADIPTA KUMAR DASH,M/S
(Member : BHSE)
|
|
|
|
PRADIPTA KUMAR DASH
|
|
DID NOT ISSUE CONTRACT NOTES
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DID NOT CHARGE BROKERAGE
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN SEPARATE CLIENT ACCOUNT
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 04-AUG-1998 TO 03-NOV-1998
23-JUL-1998
|
|
| 132 |
|
|
PRASHANT JAYANTILAL PATEL,M/S
(PAN:AABPP2156M)
(Member : NSE/MSEI)
|
|
|
|
PRASHANT JAYANTILAL PATEL
PAN:AABPP2156M
|
|
INDULGED IN BACKDATED AND FICTITIOUS TRANSACTIONS ON BEHALF OF CLIENTS
ISSUED FICTITIOUS CONTRACT NOTES
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
05-SEP-2022
|
|
| 133 |
|
|
PRAVEEN & CO.
(Member : JSE)
|
|
|
|
PRAVEEN RAMAWAT
|
|
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DID NOT ISSUE CONTRACT NOTES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT RECTIFY BAD DELIVERIES IN TIME
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 31-DEC-1998 TO 30-JUN-1999
30-DEC-1998
|
|
| 134 |
|
|
PRAVINCHANDRA NAKARCHAND STOCK BROKERS PVT.LTD.
(CIN:U67120GJ1996PTC029094)
(Member : ASE)
|
|
|
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER
DEFAULTED IN MAINTENANCE OF GENERAL LEDGER
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
DID NOT PRODUCE BOOKS OF ACCOUNTS TO SEBI FOR INSPECTION
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 06-AUG-2001 TO 05-OCT-2001
03-AUG-2001
|
|
| 135 |
|
|
R.BHAI & CO.
(Member : LSE)
|
|
|
|
RAJIV KALRA
|
|
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
DID NOT HAVE PRE-PRINTED SERIAL NUMBERS ON CONTRACT NOTES
DEFICIENCIES IN CLIENT DATABASE
INDULGED IN OFF-THE-FLOOR TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 21-JUL-2003 TO 20-OCT-2003
25-JUN-2003
|
|
| 136 |
|
|
R.H.KOTHARI,M/S
(Member : SKSE)
|
|
|
|
RAJCHANDRA H.KOTHARI
|
|
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT ISSUE CONTRACT NOTES
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
CHARGED EXCESS BROKERAGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 02-APR-1999 TO 01-OCT-1999
26-MAR-1999
|
|
| 137 |
|
|
R.S.& CO.
(Member : DSE)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT MENTION DATE OF TRANSACTIONS ON DELIVERY BILLS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
30-JUN-1998
|
|
| 138 |
|
|
RADAR SECURITIES LTD.
(Member : NSE)
|
|
|
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-JAN-2003 TO 29-JUN-2004
10-JAN-2003
|
SAT: ORDER AS MODIFIED UPHELD
|
| 139 |
|
|
RAGA SECURITIES & FINANCE PVT.LTD.
(Member : BSE)
|
|
|
DID NOT SETTLE ACCOUNTS OF THE CLIENTS VIOLATING CLAUSE 12(E) OF ANNEXURE TO SEBI CIRCULAR NO.MIRSD/SE/CIR-19/2009 DATED 03/12/2009
DID NOT SEND STATEMENT OF ACCOUNTS FOR SEVEN SETTLED ACCOUNTS TO CLIENTS VIOLATING CLAUSE 12(E) OF ANNEXURE TO SEBI CIRCULAR NO.MIRSD/SE/CIR-19/2009 DATED 03/12/2009
|
IMPOSED PENALTY RS.4,00,000
16-FEB-2018
|
|
| 140 |
|
|
RAGHAVENDRA JOSHI,M/S
(Member : JSE)
|
|
|
|
RAGHAVENDRA JOSHI
|
|
DEFAULTED IN MAINTENANCE OF SAUDA BOOK
DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER
DEFAULTED IN MAINTENANCE OF JOURNAL
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT ENTER INTO AGREEMENT WITH CLIENTS
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
06-JAN-2000
|
|
| 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 7 of 10
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