| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 141 |
|
ANKUSH HOLDINGS LTD.
(Member : ASE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 142 |
|
|
ANNALS SHARE & STOCK PVT.LTD.
(Member : ASE)
|
|
|
DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
EXECUTED FICTITIOUS TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 18-FEB-2002 TO 17-APR-2002
11-FEB-2002
|
|
| 143 |
|
|
ANNIE VARGHESE,M/S
(Member : COCSE)
|
|
|
|
ANNIE VARGHESE
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-MAR-2007 TO 06-SEP-2007
07-MAR-2007
|
|
| 144 |
|
|
ANOOP JAIN & CO.
(Member : LSE)
|
|
|
|
MADHU JAIN
|
|
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
EXECUTED STRUCTURED TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-AUG-2002 TO 11-FEB-2003 TILL PAYMENT OF SEBI FEE, WHICHEVER IS LATER
14-AUG-2002
|
SAT: APPEAL DISMISSED AS APPLICANT'S CONTENTION NOT TENABLE
|
| 145 |
|
|
ANSH PORTFOLIO KENDRA PVT.LTD.
(Member : DSE)
|
|
|
|
SHANKAR SOMANI
|
|
|
SUNIL KUMAR GUPTA
|
|
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS AND/OR DOCUMENTS
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
INDULGED IN OFF-THE-FLOOR TRANSACTIONS
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 03-DEC-2003 TO 03-JAN-2004
12-NOV-2003
|
SAT: ORDER MODIFIED AND APPEAL DISPOSED OFF
|
| 146 |
|
|
ANUGRAH COMMODITIES PVT.LTD.
(PAN:AADCA3311J)
(Member : NSEL)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-NOV-2023 TO 23-FEB-2024
24-NOV-2023
|
|
| 147 |
|
|
ANUJ MANGAL,M/S
(Member : JSE)
|
|
|
|
ANUJ MANGAL
|
|
DID NOT PAY FEES TO SEBI
|
SHOW CAUSE NOTICE ISSUED
SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-APR-2010 TILL REGISTRATION FEE DEPOSITED
09-NOV-2009
|
SEBI VIDE ORDER DATED 22/03/2010, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEE IS FULLY PAID
|
| 148 |
|
|
APAR SECURITIES LTD.
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 149 |
|
|
APOLLO FINVEST (INDIA) LTD.
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 150 |
|
|
APOORVA SECURITIES PVT.LTD.
(PAN:AACCA2937P)
(Sub-Broker of UPSE SECURITIES LTD., Member : BSE,Member : UPSE)
|
|
|
DID NOT ADHERE TO "KNOW YOUR CLIENT" DIRECTIVES/INSTRUCTIONS/GUIDELINES
DEFICIENCIES IN CLIENT DATABASE
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS AND/OR DOCUMENTS
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
INDULGED IN OFF-MARKET TRANSACTIONS
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 28-NOV-2008 TO 27-JAN-2009
SUSPENDED REGISTRATION AS SUB-BROKER FROM 28-NOV-2008 TO 27-JAN-2009
07-NOV-2008
|
|
| 151 |
|
|
APOORVA SECURITIES PVT.LTD.
(PAN:AACCA2937P)
(Member : UPSE)
|
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 11-MAR-2005 TO 10-MAR-2006
18-FEB-2005
|
|
| 152 |
|
|
APPROPRIATE INVESTMENTS PVT.LTD.
(CIN:U51900MH1984PTC034641)
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 153 |
|
|
APS MANAGEMENT SERVICES PVT.LTD.
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 154 |
|
|
ARACKAL ENTERPRISES
(Member : COCSE)
|
|
|
|
INDIRA P.K.
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-MAR-2007 TO 06-SEP-2007
07-MAR-2007
|
|
| 155 |
|
|
ARAVINDAN & CO.
(Member : COCSE)
|
|
|
|
P.R.ARAVINDAKSHAN NAIR
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-MAR-2007 TO 06-SEP-2007
07-MAR-2007
|
|
| 156 |
|
|
ARCADIA SHARE & STOCK BROKERS PVT.LTD.
(PAN:AAACA4562G)
(Member : NSE)
|
|
|
ACTED IN CONCERT WITH BROKERS/CLIENTS TO CREATE ARTIFICIAL MARKET/PRICE RISE THROUGH REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF ORIENT INFORMATION TECHNOLOGY LTD.
ATTEMPTED TO MISLEAD PUBLIC BY CREATING ARTIFICIAL MARKET IN SCRIP OF ORIENT INFORMATION TECHNOLOGY LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 22-NOV-2006 TO 28-NOV-2006
01-NOV-2006
|
SAT: IMPUGNED ORDER DATED 01/11/2006 MODIFIED AND CONVERTED INTO MONETARY PENALTY OF RS.1,00,000
|
| 157 |
|
|
ARCH INVESTMENTS PVT.LTD.
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 158 |
|
|
ARCHANA KHANDELWAL,M/S
(Member : CSE)
|
|
|
|
ARCHANA KHANDELWAL
|
|
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
DID NOT COLLECT MARGINS FROM CLIENTS
EXECUTED NEGOTIATED DEALS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-JUN-2006 TO 31-AUG-2006
11-MAY-2006
|
|
| 159 |
|
|
ARI-GMG ASSOCIATES
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 160 |
|
|
ARIHANT FUTURES & COMMODITIES LTD.
(PAN:AAECA8382Q)
(Member : NSEL)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-NOV-2023 TO 23-MAY-2024
24-NOV-2023
|
SAT: SAT VIDE ITS ORDER DATED 11/12/2023 STAYED THE EFFECT AND OPERATION OF IMPUGNED ORDER
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
SAT: SAT VIDE ITS ORDER DATED 15/09/2025 ALLOWED EXEMPTION APPLICATION. AFFIDAVIT, IF ANY, TO BE FILED WITHIN TWO WEEKS TO FACILITATE SEBI TO FILE REPLY. IN THE MEANWHILE, PARTIES TO MAINTAIN STATUS QUO TILL THE NEXT DATE OF HEARING
|
| 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 8 of 107
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