| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1741 |
|
SHAILENDRA KUMAR TANDON,M/S
(Member : UPSE)
|
|
|
|
SHAILENDRA KUMAR TANDON
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-APR-1999 TO 26-JUN-1999
21-APR-1999
|
|
| 1742 |
|
|
SHAILESH SARAF,M/S
(Member : CSE)
|
|
|
|
SHAILESH SARAF
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 1743 |
|
|
SHAKUNTAL SECURITIES PVT.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
|
|
| 1744 |
|
|
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
|
|
| 1745 |
|
|
SHALOO GUPTA,M/S
(Member : JSE)
|
|
|
|
SHALOO GUPTA
|
|
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
|
| 1746 |
|
|
SHAMIN INVESTMENTS & TRADING PVT.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
|
|
| 1747 |
|
|
SHANKAR LAL CHOKHANY,M/S
(Member : CSE)
|
|
|
|
KASHI PRASAD CHOKHANY
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF SPANCO TELESYSTEMS & SOLUTIONS LTD.
VIOLATED REGULATION 7 READ WITH CODE OF CONDUCT AS SPECIFIED IN SCHEDULE 11 OF STOCK BROKER REGULATION
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 05-APR-2007 TO 11-APR-2007
15-MAR-2007
|
|
| 1748 |
|
|
SHANKAR LAL MODI,M/S
(Member : CSE)
|
|
|
|
SHANKAR LAL MODI
|
|
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
|
| 1749 |
|
|
SHANTA SURI,M/S
(Member : OTC)
|
|
|
|
SHANTA SURI
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 1750 |
|
|
SHANTI CREDIT & HOLDINGS PVT.LTD.
(Member : ICSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 1751 |
|
|
SHANTI SEAL,M/S
(Member : CSE)
|
|
|
|
SHANTI SEAL
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 1752 |
|
|
SHANTI SECURITIES PVT.LTD.
(Member : GSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-MAR-2007 TO 06-SEP-2007
07-MAR-2007
|
|
| 1753 |
|
|
SHANTI SWAROOP BARMAN,M/S
(Member : CSE)
|
|
|
|
SHANTI SWAROOP BARMAN
|
|
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
|
| 1754 |
|
|
SHARAD BHANDARI,M/S
(Member : MPSE)
|
|
|
|
SHARAD BHANDARI
|
|
DID NOT EXERCISE DUE SKILL AND CARE IN MATTER OF EONOUR TECHNOLOGIES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF EONOUR TECHNOLOGIES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 18-NOV-2003 TO 17-DEC-2003
29-OCT-2003
|
|
| 1755 |
|
|
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
|
|
| 1756 |
|
|
SHARAD KUMAR JAIN,M/S
(Member : JSE)
|
|
|
|
SHARAD KUMAR JAIN
|
|
DID NOT PRODUCE BOOKS OF ACCOUNTS TO SEBI FOR INSPECTION
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-JAN-1999 TO 06-JUL-1999
05-JAN-1999
|
|
| 1757 |
|
|
SHARAD KUMAR JAIN,M/S
(Member : JSE)
|
|
|
|
SHARAD KUMAR JAIN
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 1758 |
|
|
SHARAN FINCAPS LTD.
(Member : LSE)
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KARISHMA FLORICULTURE LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 23-JAN-2009 TO 06-FEB-2009
02-JAN-2009
|
|
| 1759 |
|
|
SHAREDEAL FINANCIAL CONSULTANTS PVT.LTD.
(Member : BSE)
|
|
|
MANIPULATION IN SCRIP OF AMARA RAJA BATTERIES LIMITED DURING THE PERIOD AUGUST 2000 TO MARCH 2001
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-OCT-2002 TO 30-JUN-2003
17-SEP-2002
|
SAT: APPEAL DISMISSED
|
| 1760 |
|
|
SHASHI GUPTA,M/S
(Member : JSE)
|
|
|
|
SHASHI GUPTA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 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 88 of 107
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