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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
161
History of entity/person HEXAGON CAPITAL MARKETS LTD.

(Member : BGSE)  
  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  
162
History of entity/person HIMGIRI FINCAP LTD.

(CIN:L74899DL1994PLC057992)

(Member : LSE)  
  DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

28-OCT-2009 		 
163
History of entity/person HI-RISE INVESTMENT

(Member : MGSE)  
Click here to view complete history of this specific entity/person DEEPAK AGARWALA
  		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STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION  
164
History of entity/person HOME TRADE LTD.

(PAN:AABFH8408A)

(Member : BSE)  
  DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

27-APR-2010 		PROCEEDINGS DROPPED AS CERTIFICATE OF REGISTRATION ALREADY CANCELLED  
165
History of entity/person I.V.SHARE & STOCK BROKERS LTD.

(Member : LSE)  
  DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

28-OCT-2009 		 
166
History of entity/person IFCI FINANCIAL SERVICES LTD.

(PAN:AAACI0567P)

(Member : NSE)  
  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  
167
History of entity/person IGNATIUS KULIRANI & CO.

(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  
168
History of entity/person IL&FS INVESTSMART SECURITIES 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  
169
History of entity/person INANI SECURITIES 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  
170
History of entity/person INCREMENTAL SECURITIES PVT.LTD.

(Member : LSE)  
  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  
171
History of entity/person INDSEC SECURITIES & FINANCE LTD.

(Member : BSE/NSE)  
  ALLEGED IRREGULARITIES IN DEALINGS IN SCRIP OF DSQ INDUSTRIES LTD.   INITIATED ENQUIRY PROCEEDINGS

17-MAY-2005 		NOT FOUND GUILTY  
172
History of entity/person INTERNATIONAL CREDITS 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  
173
History of entity/person INVESTMENT GUIDE

(Member : MGSE)  
Click here to view complete history of this specific entity/person LATA DOKANIA
  		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  
174
History of entity/person ISF SECURITIES LTD.

(PAN:AAACI1667E)

(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  
175
History of entity/person ISUKAPALLI SECURITIES PVT.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  
176
History of entity/person J.N.GUPTA & CO.

(Member : PSE)  
Click here to view complete history of this specific entity/person J.N.GUPTA
  		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  
177
History of entity/person JAGDISH PANNALAL GANDHI,M/S

(Member : BSE)  
Click here to view complete history of this specific entity/person JAGDISH PANNALAL GANDHI
  		DID NOT PAY FEES TO SEBI   INITIATED ENQUIRY PROCEEDINGS

24-DEC-2009 		PROCEEDINGS INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AS THE SAID BROKER IS NOT ALIVE  
178
History of entity/person JAGDISH PRASAD MUNDHRA,M/S

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

07-MAY-2009 		PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 07/05/2009  
179
History of entity/person JAI MATA DEE & CO.

(Member : MGSE)  
Click here to view complete history of this specific entity/person RAKESH KUMAR SINGH
  		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  
180
History of entity/person JAJU SECURITIES

(Member : HSE)  
Click here to view complete history of this specific entity/person RAJGOPAL JAJU
  		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  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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