| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 161 |
|
ARUN ANAND,M/S
(Member : JSE)
|
|
|
|
ARUN ANAND
|
|
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
|
|
| 162 |
|
|
ARUN BHARTIYA,M/S
(Member : UPSE)
|
|
|
|
ARUN BHARTIYA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 163 |
|
|
ARUN GOEL & CO.
(Member : UPSE)
|
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
MISUSED DEBIT NOTE FACILITY IN STOCK EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 09-FEB-1999 TO 08-MAY-1999
05-FEB-1999
|
|
| 164 |
|
|
ARUN JASWANTLAL ACHARYA,M/S
(Member : ICSE)
|
|
|
|
ARUN JASWANTLAL ACHARYA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 165 |
|
|
ARUN KUMAR JAIN,M/S
(Member : JSE)
|
|
|
|
ARUN KUMAR JAIN
|
|
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
|
|
| 166 |
|
|
ARUN KUMAR TULSYAN,M/S
(Member : CSE)
|
|
|
|
ARUN KUMAR TULSYAN
|
|
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
|
| 167 |
|
|
ARUN KUMAR,M/S
(Member : BHSE)
|
|
|
|
ARUN KUMAR
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 168 |
|
|
ARUN PORECHA,M/S
(Member : BSE)
|
|
|
|
ARUN PORECHA
|
|
|
SAMIR PORECHA
|
|
|
SUDHIR PORECHA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH STRUCTURED TRANSACTIONS/CROSS DEALS IN SCRIP OF MOBILE TELECOMMUNICATIONS LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, NOT EXERCISED DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLIED WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF MOBILE TELECOMMUNICATIONS LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-SEP-2009 TO 29-OCT-2009
09-SEP-2009
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 09/09/2009 SET ASIDE WITH PARTIES TO BEAR THEIR OWN COSTS
|
| 169 |
|
|
ARUNA FINSTOCK SERVICES 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
|
|
| 170 |
|
|
ARUNA GOYAL,M/S
(Member : GSE)
|
|
|
|
ARUNA GOYAL
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-MAR-2007 TO 06-SEP-2007
07-MAR-2007
|
|
| 171 |
|
|
ARUNIMA INVESTMENT PVT.LTD.
(Member : NSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 09-APR-2010
09-APR-2010
|
PROCEEDINGS INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF VIDE ORDER DATED 09/04/2010, AS BROKER HAS ALREADY SURRENDERED CERTIFICATE OF REGISTRATION
|
| 172 |
|
|
ARVIND B.PATEL,M/S
(Member : ICSE)
|
|
|
|
ARVIND B.PATEL
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 173 |
|
|
ARVIND KUMAR GUPTA,M/S
(Member : JSE)
|
|
|
|
ARVIND KUMAR GUPTA
|
|
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
|
|
| 174 |
|
|
ARVIND KUMAR,M/S
(Member : JSE)
|
|
|
|
ARVIND KUMAR
|
|
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
|
| 175 |
|
|
ARVIND RASIKLAL SHAH,M/S
(Member : PSE)
|
|
|
|
ARVIND RASIKLAL SHAH
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 10/08/2009
|
| 176 |
|
|
ARVIND SECURITIES LTD.
(Member : NSE)
|
|
|
DID NOT EXERCISE DUE SKILL AND DILIGENCE IN MATTER OF MARUTI ORGANICS LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF MARUTI ORGANICS LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 14-AUG-2002 TO 21-AUG-2002
14-AUG-2002
|
|
| 177 |
|
|
ARVINDBHAI BABABHAI PATEL,M/S
(Member : ASE)
|
|
|
|
ARVINDBHAI BABABHAI PATEL
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 178 |
|
|
ARVINDKUMAR BABULAL ALMAL,M/S
(Member : ASE)
|
|
|
|
ARVINDKUMAR BABULAL ALMAL
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 179 |
|
|
ASERA SECURITIES PVT.LTD.
(Member : MDSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 180 |
|
|
ASHARS HOLDING 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
|
|
| 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 9 of 107
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