If you are an Existing User, please enter your Username & Password below

Forgot Password?

Are you a New User? Click here to enrol

close

Click here to visit old website
Co-Sponsors
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 : 04-NOV-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
141
History of entity/person GIRISH KUMAR DAGA,M/S

(Member : HSE)  
Click here to view complete history of this specific entity/person GIRISH KUMAR DAGA
  		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STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION  
142
History of entity/person GNH GLOBAL SECURITIES LTD.

(Member : BSE)  
  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  
143
History of entity/person GODHAVARI FINANCIAL SERVICES LTD.

(Member : HSE)  
  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STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION  
144
History of entity/person GOLDY 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  
145
History of entity/person GOPAL & CO.

(Member : MGSE)  
Click here to view complete history of this specific entity/person GOPAL KUMAR JAGNANY
  		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  
146
History of entity/person GOPIKISHAN RUNGTA,M/S

(Member : BSE)  
Click here to view complete history of this specific entity/person GOPIKISHAN RUNGTA
  		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  
147
History of entity/person GSP FINANCIAL SERVICES

(Member : MGSE)  
Click here to view complete history of this specific entity/person GHANSHYAM PATWARI
  		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  
148
History of entity/person GULAB SINGH RATHOD,M/S

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

15-SEP-2009 		PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 15/09/2009  
149
History of entity/person GUNVANTIBEN C.LUNAGARIA,M/S

(Member : SKSE)  
Click here to view complete history of this specific entity/person GUNVANTIBEN CHATURBHAI LUNAGARIA
  		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  
150
History of entity/person GUPTA INVESTMENTS

(Member : HSE)  
Click here to view complete history of this specific entity/person ANIL KUMAR GUPTA
  		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  
151
History of entity/person GURBUX SACHDEV,M/S

(Member : HSE)  
Click here to view complete history of this specific entity/person GURBUX SACHDEV
  		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  
152
History of entity/person GURUSHARAN SINGH,M/S

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

15-SEP-2009 		PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 15/09/2009  
153
History of entity/person HANSPLAZA TRACON PVT.LTD.

(Member : ICSE)  
  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  
154
History of entity/person HANWANT RAJ MOHNOT,M/S

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

15-SEP-2009 		PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 15/09/2009  
155
History of entity/person HARESH N.KOTHARI,M/S

(Member : SKSE)  
Click here to view complete history of this specific entity/person HARESH N.KOTHARI
  		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  
156
History of entity/person HARI PRASAD TODI,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person HARI PRASAD TODI
  		DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

28-OCT-2009 		 
157
History of entity/person HASTIMAL SOORAJRAJ OSTWAL,M/S

(Member : SKSE)  
Click here to view complete history of this specific entity/person HASTIMAL SOORAJRAJ OSTWAL
  		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  
158
History of entity/person HBR STOCK & SHARES LTD.

(Member : LSE)  
  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  
159
History of entity/person HEMANT H.MALKAN,M/S

(Member : MNGSE)  
Click here to view complete history of this specific entity/person HEMANT H.MALKAN
  		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  
160
History of entity/person HEMANT KUMAR JALAN,M/S

(Member : ICSE)  
Click here to view complete history of this specific entity/person HEMANT KUMAR JALAN
  		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  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
First Previous Next Last  
Page 8 of 27  

This website is not comprehensive and is being updated on a regular basis. Users are requested to carefully look at the formats and the information about the coverage period that appears on search results pages.

DISCLAIMER BY NSE

NSE is the co-sponsor of this website and supportive of the initiative taken for protection of interest of investors by Praxis Consulting & Information Services Pvt.Ltd. (PRAXIS), the creator of this website. However, NSE bear no responsibility for the views/information that is available on this website and as responsibility of the contents of this website solely rests with PRAXIS. NSE shall not be responsible for, and expressly disclaims all liability for, damages of any kind arising out of use, reference to or reliance on any information available on this website. Investors/visitors of this website are also advised to read through the other general disclaimer(s) and terms and conditions available on this website before using the website.

Site designed and maintained by watchoutinvestors.com
© PRIME DATABASE GROUP 2004-2026
No part of this site may be reproduced without the explicit permission of the owners.

top