| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1761 |
|
SHASHIKANT ADHIKARI,M/S
(Member : MPSE)
|
|
|
|
SHASHIKANT ADHIKARI
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 1762 |
|
|
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
|
|
| 1763 |
|
|
SHASHIKANT VORA,M/S
(Member : OTC)
|
|
|
|
SHASHIKANT VORA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 1764 |
|
|
SHEFALI KHAJANCHI,M/S
(Member : MPSE)
|
|
|
|
SHEFALI KHAJANCHI
|
|
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-MAY-2004
29-OCT-2003
|
|
| 1765 |
|
|
SHEKHAR AGRAWAL,M/S
(Member : MGSE)
|
|
|
|
SHEKHAR AGRAWAL
|
|
DID NOT PRODUCE BOOKS OF ACCOUNTS TO SEBI FOR INSPECTION
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 17-JUN-1999 TO 16-DEC-1999
15-JUN-1999
|
|
| 1766 |
|
|
SHEKHAR BHUWANIA,M/S
(Member : ICSE)
|
|
|
|
SHEKHAR BHUWANIA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 1767 |
|
|
SHELL SHARE BROKERS 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
|
|
| 1768 |
|
|
SHETH SECURITIES PVT.LTD.
(Member : NSE)
|
|
|
MANIPULATION IN SCRIP OF AMARA RAJA BATTERIES LIMITED DURING THE PERIOD AUGUST 2000 TO MARCH 2001
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-JUN-2002 TO 26-JUN-2004
14-JUN-2002
|
|
| 1769 |
|
|
SHEWRAM BERIWALA,M/S
(Member : CSE)
|
|
|
|
SHEWRAM BERIWALA
|
|
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
|
| 1770 |
|
|
SHIKAGO TRADE PVT.LTD.
(PAN:AABCS1065K)
(Member : NSEL)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 28-AUG-2023 TO 27-NOV-2023
28-AUG-2023
|
SAT: SAT VIDE ITS ORDER DATED 17/10/2023 STAYED THE EFFECT AND OPERATION OF IMPUGNED ORDER
SAT: SAT VIDE ITS ORDER DATED 30/10/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 06/12/2023 CONDONED THE DELAY IN FILING OF REPLY AND REPLY AND REJOINDER TAKEN ON RECORD. EXEMPTION APPLICATIONS, IF ANY ALLOWED
SAT: SAT VIDE ITS ORDER DATED 12/12/2023 DISPOSED OF THE GROUP OF APPEALS BY DIRECTING SEBI TO CONSIDER AND COME OUT WITH A SCHEME UNDER SETTLEMENT REGULATIONS PREFERABLY WITHIN THREE MONTHS FROM DATE OF THIS ORDER. IN THE EVENT, SCHEME NOT FRAMED UNDER SETTLEMENT REGULATIONS BY SEBI THEN SAID DECISION TO BE COMMUNICATED TO ALL APPELLANTS
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
|
| 1771 |
|
|
SHIKHA GROWTH FUND LTD.
(Member : OTC)
|
|
|
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
|
| 1772 |
|
|
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
|
| 1773 |
|
|
SHILPA STOCK BROKER PVT.LTD.
(PAN:AAECS9799R)
(Member : BSE)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
ACTED IN CONCERT WITH THEIR SUB-BROKER/CLIENTS TO CREATE ARTIFICIAL MARKET/PRICE RISE IN SCRIP OF V.B.DESAI FINANCIAL SERVICES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-JAN-2006 TO 18-FEB-2006
30-DEC-2005
|
|
| 1774 |
|
|
SHIV NARAYAN RATHI,M/S
(Member : CSE)
|
|
|
|
SHIV NARAYAN RATHI
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 1775 |
|
|
SHIVA KUMAR SARAF,M/S
(Member : CSE)
|
|
|
|
SHIVA KUMAR SARAF
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 1776 |
|
|
SHIVAM STOCK BROKING PVT.LTD.
(PAN:AAECS6632B)
(Member : CSE)
|
|
|
INDULGED IN OFF-MARKET TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 03-SEP-2003 TO 02-SEP-2004
13-AUG-2003
|
|
| 1777 |
|
|
SHIVAM STOCK BROKING PVT.LTD.
(PAN:AAECS6632B)
(Member : CSE)
|
|
|
DID NOT EXERCISE DUE SKILL AND DILIGENCE
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PRIME CAPITAL MARKET LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-SEP-2005 TO 28-SEP-2007
17-MAY-2007
|
|
| 1778 |
|
|
SHIVRAJ HOLDINGS PVT.LTD.
(Member : OTC)
|
|
|
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
|
| 1779 |
|
|
SHIVRANJANI SECURITIES CO.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
|
|
| 1780 |
|
|
SHOBHA INVESTMENTS
(Member : PSE)
|
|
|
|
AJAY SHAH
|
|
INVOLVED IN CREATION OF FALSE MARKET, CIRCULAR TRADING AND PRICE MANIPULATION IN SCRIP OF HOME TRADE LTD.
DID NOT EXERCISE DUE CARE & DILIGENCE WHILE EXECUTING SUBSTANTIAL TRANSACTIONS IN HOME TRADE LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 26-DEC-2007 TO 25-JUN-2009
05-DEC-2007
|
SAT: DIRECTED TO STAY IMPUGNED ORDER DURING PENDENCY OF THE APPEAL
SAT: APPEAL DISMISSED WITH NO ORDER AS TO COSTS
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 89 of 107
|
