| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 121 |
|
SHALOO GUPTA,M/S
(Member : JSE)
|
|
|
|
SHALOO GUPTA
|
|
DID NOT PAY FEES TO SEBI
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT RECTIFY BAD DELIVERIES IN TIME
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-DEC-1997 TO 30-DEC-1997
27-NOV-1997
|
|
| 122 |
|
|
SHARAD KUMAR BALCHAND SHAH,M/S
(Member : PSE)
|
|
|
|
SHARAD KUMAR BALCHAND SHAH
|
|
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT OBTAIN WRITTEN CONSENT FROM CLIENTS FOR PRINCIPAL TO PRINCIPAL TRANSACTIONS
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-OCT-2001 TO 31-OCT-2001
28-SEP-2001
|
|
| 123 |
|
|
SHASHIKANT M.DAMANI,M/S
(Member : BSE)
|
|
|
|
SHASHIKANT M.DAMANI
|
|
DID NOT REPORT PRINCIPAL-TO-PRINCIPAL TRANSACTIONS TO THE EXCHANGE
INDULGED IN OFF-MARKET TRANSACTIONS
EXECUTED NEGOTIATED DEALS
ILLEGAL AND UNAUTHORIZED GRANT OF TRADING TERMINAL TO CLIENT
DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
DID NOT MAINTAIN CLIENT AGREEMENTS
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-OCT-2004 TO 31-DEC-2004
10-SEP-2004
|
|
| 124 |
|
|
SHILPA SHARES & SECURITIES LTD.
(Member : NSE)
|
|
|
DID NOT OBTAIN WRITTEN CONSENT FROM CLIENTS FOR PRINCIPAL TO PRINCIPAL TRANSACTIONS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-MAY-2002 TO 19-AUG-2002
24-MAY-2002
|
SAT: APPEAL DISMISSED WITH NO ORDER AS TO COSTS
|
| 125 |
|
|
SHREE RAM & CO.
(Member : DSE)
|
|
|
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT OBTAIN WRITTEN CONSENT FROM CLIENTS FOR PRINCIPAL TO PRINCIPAL TRANSACTIONS
DID NOT ROUTE CLIENT'S MONEY THROUGH SEPARATE BANK ACCOUNT
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
15-JUN-1998
|
|
| 126 |
|
|
SHREE TULSHI STOCKS
(Member : COCSE)
|
|
|
|
CHHANGANLAL JAIN
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 10-MAY-1999 TO 09-NOV-1999
10-MAY-1999
|
|
| 127 |
|
|
SHREE YADUGIRI INVESTMENTS
(Member : BGSE)
|
|
|
ACTED AS SUB-BROKER OF COMPOSITE INVESTMENTS PVT.LTD.WITHOUT SEBI REGISTRATION
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT COLLECT MARGINS FROM CLIENTS
DID NOT FURNISH AUDITOR'S CERTIFICATE ON QUARTERLY BASIS REGARDING COLLECTION OF MINIMUM MARGIN FROM CLIENTS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 18-OCT-2006 TO 01-NOV-2006
27-SEP-2006
|
|
| 128 |
|
|
SHRIKANT G.MANTRI,M/S
(Member : BSE)
|
|
|
|
SHRIKANT G.MANTRI
|
|
ALLEGED NON-MAINTENANCE OF CONSENT OF CLIENTS IN RESPECT OF CONTRACTS
ALLEGED FAILURE IN ISSUANCE OF CONTRACT NOTES
ALLEGED DELAY IN ISSUANCE OF CONTRACT NOTES
ALLEGED FAILURE TO REPORT OFF-THE-FLOOR TRANSACTIONS
ALLEGED NON-SEGREGATION OF CLIENTS ACCOUNT
ALLEGED FAILURE IN MAINTENANCE OF CERTAIN BOOKS OF ACCOUNTS AND RECORDS SUCH AS ORDER BOOK, MARGIN DEPOSIT BOOK, REGISTER OF ACCOUNT OF SUB BROKER
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
05-FEB-2008
|
|
| 129 |
|
|
SI INVESTMENTS & BROKING PVT.LTD.
(Member : BSE)
|
|
|
DID NOT ENTER INTO AGREEMENT WITH CLIENTS
DID NOT FILE FIRST INFORMATION REPORT IN RESPECT OF STOLEN/FAKE/FORGED SHARES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
NETTED TRANSACTIONS SCRIP WISE AND THEN REPORTED AS CARRY FORWARD TRANSACTIONS TO EXCHANGE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
21-FEB-2000
|
|
| 130 |
|
|
SINGHANIA BROTHERS PVT.LTD.
(Member : CSE)
|
|
|
DID NOT ISSUE CONTRACT NOTES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 23-JUL-1999 TO 22-AUG-1999
20-JUL-1999
|
|
| 131 |
|
|
SKG STOCK & SHARE BROKERS LTD.
(Member : DSE)
|
|
|
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
14-AUG-2002
|
|
| 132 |
|
|
SONY SECURITIES LTD.
(Member : NSE)
|
|
|
ACTED IN CONCERT WITH OTHER BROKERS TO CORNER A VERY LARGE QUANTITY OF SHARES OF BPL, VIDEOCON AND STERLITE
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF BPL LTD., VIDEOCON INTERNATIONAL LTD. AND STERLITE INDUSTRIES LTD.
DID NOT COLLECT MARGINS FROM CLIENTS
DID NOT REPORT SPOT TRANSACTIONS TO THE EXCHANGE
DEFAULTED IN PAY-IN OBLIGATIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 11-JUN-1998 TO 10-JUN-2000
05-AUG-1999
|
|
| 133 |
|
|
SREE SWAYAMBU STOCKS & SHARES
(Member : BGSE)
|
|
|
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DID NOT ISSUE CONTRACT NOTES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
18-JUN-1998
|
|
| 134 |
|
|
SRI SIDDHI VINAYAK SHARES LTD.
(Member : MDSE)
|
|
|
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
ISSUED CONTRACT NOTES OF MSE FOR TRANSACTIONS DONE ON BSE/NSE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
10-FEB-2000
|
|
| 135 |
|
|
SUBHASH KARKHANIS SHARE & STOCK BROKERS PVT.LTD.
(Member : BSE)
|
|
|
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT ENTER INTO AGREEMENT WITH SUB-BROKERS
DEFAULTED IN MAINTENANCE OF SAUDA BOOK
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 17-DEC-2001 TO 16-MAR-2002
19-DEC-2001
|
|
| 136 |
|
|
SUDHIR RATHI
(Member : PSE)
|
|
|
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
INDULGED IN OFF-THE-FLOOR TRANSACTIONS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-FEB-1999 TO 11-AUG-1999
05-FEB-1999
|
|
| 137 |
|
|
SUNIL KUMAR KAYAN & CO.
(PAN:AGDPK5151F)
(Member : CSE)
|
|
|
|
SUNIL KUMAR KAYAN
|
|
INDULGED IN OFF-MARKET TRANSACTIONS
INDULGED IN UNAUTHORISED TRADES IN F&O SEGMENT
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-DEC-2003 TILL PENDING ENQUIRY
09-DEC-2003
|
REVOKED RESTRICTION IMPOSED ON BROKER FROM 12/07/2005
|
| 138 |
|
|
SURENDRA KUMAR RUNGTA,M/S
(Member : MGSE)
|
|
|
|
SURENDRA KUMAR RUNGTA
|
|
DID NOT ISSUE CONTRACT NOTES
DID NOT REPORT DEALS DONE ON BSE AND NSE TO THE EXCHANGE
DID NOT MAINTAIN SEPARATE CLIENT ACCOUNT
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 10-JUN-1999 TO 09-DEC-1999
10-JUN-1999
|
|
| 139 |
|
|
SURENDRA R.SHAH,M/S
(Member : PSE)
|
|
|
|
SURENDRA RASIKLAL SHAH
|
|
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
DEFICIENCIES IN CLIENT DATABASE
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 18-JAN-2005 TO 27-JAN-2005
28-DEC-2004
|
|
| 140 |
|
|
SURINDER SINGH MEHTA,M/S
(Member : JSE)
|
|
|
|
SURINDER SINGH MEHTA
|
|
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DEFAULTED IN MAINTENANCE OF BAD DELIVERY REGISTER
DID NOT RECTIFY BAD DELIVERIES IN TIME
MISUTILIZED EXCHANGE MECHANISM FOR SECURING PAYMENT
DID NOT ROUTE CLIENT'S MONEY THROUGH SEPARATE BANK ACCOUNT
DID NOT AFFIX BROKER NOTE STAMPS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-JUN-1998 TO 23-JUL-1998
11-JUN-1998
|
|
| 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 8
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