| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1721 |
|
SATISH N.RAO,M/S
(Member : BGSE)
|
|
|
|
SATISH N.RAO
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 1722 |
|
|
SATISHKUMAR NYALCHAND SHAH,M/S
(Member : ASE)
|
|
|
|
SATISHKUMAR NYALCHAND SHAH
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 1723 |
|
|
SATYA NARAYAN BHALOTIA,M/S
(Member : CSE)
|
|
|
|
SATYA NARAYAN BHALOTIA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 1724 |
|
|
SATYA NARAYAN GUPTA,M/S
(Member : ICSE)
|
|
|
|
SATYA NARAYAN GUPTA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 1725 |
|
|
SATYANARAYAN INVESTMENTS
(Member : CSE)
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE IN MATTER OF NORTH STAR GEMS (INDIA) LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 18-JAN-2001 TO 17-MAR-2001
18-JAN-2001
|
|
| 1726 |
|
|
SATYANARAYAN NANGALIA,M/S
(Member : BSE)
|
|
|
|
SATYANARAYAN NANGALIA
|
|
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
DEFAULTED IN PAY-IN OBLIGATIONS
PROVIDED WRONG/INCOMPLETE INFORMATION TO EXCHANGES
DID NOT REPORT SPOT TRANSACTIONS TO THE EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 15-JUN-1998 TO 14-JUN-2001
28-OCT-1999
|
|
| 1727 |
|
|
SATYANARAYAN NANGALIA,M/S
(Member : BSE)
|
|
|
|
SATYANARAYAN NANGALIA
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE IN MATTER OF NORTH STAR GEMS (INDIA) LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 16-OCT-1999 TO 14-JUN-2001
18-JAN-2001
|
|
| 1728 |
|
|
SAUMYA CONSULTANTS LTD.
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 1729 |
|
|
SAURASHTRA CAPITAL SERVICES PVT.LTD.
(PAN:AABCS7785A)
(Member : NSE)
|
|
|
|
CHANDRAKANT TANNA
|
|
|
MUKESH DOSHI
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE WHILE DEALING WITH HIS CLIENTS IN SCRIP OF MAZDA FABRICS PROCESSORS LTD.
AIDED AND ABETTED CLIENTS IN CREATING MISLEADING APPEARANCE OF TRADING IN SCRIP OF MAZDA FABRICS & PROCESSORS LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 21-MAY-2007 TO 20-JUL-2007
30-APR-2007
|
|
| 1730 |
|
|
SAURASHTRA CAPITAL SERVICES PVT.LTD.
(PAN:AABCS7785A)
(Member : BSE)
|
|
|
|
CHANDRAKANT TANNA
|
|
|
MUKESH DOSHI
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE WHILE DEALING WITH HIS CLIENTS IN SCRIP OF MAZDA FABRICS PROCESSORS LTD.
AIDED AND ABETTED CLIENTS IN CREATING MISLEADING APPEARANCE OF TRADING IN SCRIP OF MAZDA FABRICS & PROCESSORS LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 21-MAY-2007 TO 20-JUL-2007
30-APR-2007
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.4,00,000, LEGAL EXPENSES RS.1,00,000 VIDE CONSENT ORDER)
12-NOV-2007
|
SAT: ORDER DATED 30/04/2007 SET ASIDE AS APPLICANT AGREED TO PAY RS.5,00,000 AS PER CONSENT ORDER.
|
| 1731 |
|
|
SCOPE SECURITIES INDIA PVT.LTD.
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-DEC-2009 TO 28-JUN-2010
SUSPENDED REGISTRATION AS SUB-BROKER FROM 29-DEC-2009 TO 28-JUN-2010
07-DEC-2009
|
|
| 1732 |
|
|
SEBASTIAN JOSE,M/S
(Member : ICSE)
|
|
|
|
SEBASTIAN JOSE
|
|
DID NOT PAY FEES TO SEBI
|
SHOW CAUSE NOTICE ISSUED
SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-FEB-2010 TILL REGISTRATION FEE DEPOSITED
09-NOV-2009
|
SEBI VIDE ORDER DATED 03/02/2010, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEE IS FULLY PAID
|
| 1733 |
|
|
SECURITIES BROKERS OF INDIA LTD.
(Member : DSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 1734 |
|
|
SECURITIES BROKERS OF INDIA LTD.
(Member : VSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 08-OCT-2010 TILL REGISTRATION FEE DEPOSITED
17-SEP-2010
|
|
| 1735 |
|
|
SECURITIES BROKERS OF INDIA LTD.
(Member : DSE)
|
|
|
INVOLVED IN MARKET MANIPULATION IN SCRIP OF MUNGA HOLDINGS LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 21-SEP-2004 TO 20-MAR-2005
31-AUG-2004
|
|
| 1736 |
|
|
SEEMA CHAWLA,M/S
(Member : BHSE)
|
|
|
|
SEEMA CHAWLA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 1737 |
|
|
SETHI JATINDER SINGH,M/S
(Member : COCSE)
|
|
|
|
SETHI JATINDER SINGH
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-MAR-2007 TO 06-SEP-2007
07-MAR-2007
|
|
| 1738 |
|
|
SETHURAMAN CHANDRU,M/S
(Member : PSE)
|
|
|
|
SETHURAMAN CHANDRU
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 1739 |
|
|
SHAH RAMANLAL GULABCHAND & SONS
(Member : ASE)
|
|
|
|
APURVA RAMANLAL SHAH
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 03-SEP-1999 TO 02-NOV-1999
01-SEP-1999
|
|
| 1740 |
|
|
SHAH SHILPA CHETAN,M/S
(Member : VSE)
|
|
|
|
SHAH SHILPA CHETAN
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 08-OCT-2010 TILL REGISTRATION FEE DEPOSITED
17-SEP-2010
|
|
| 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 87 of 107
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