| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 161 |
|
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
|
| 162 |
|
|
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
|
| 163 |
|
|
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
|
|
| 164 |
|
|
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
|
|
| 165 |
|
|
ARYAMAN FINANCIAL SERVICES LTD.
(PAN:AABCA1376P)
(Member : COCSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 17-JAN-2008
17-JAN-2008
|
|
| 166 |
|
|
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
|
|
| 167 |
|
|
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
|
|
| 168 |
|
|
ASHIKA STOCK BROKING LTD.
(PAN:AACCA7156Q)
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 15-SEP-2009 TO 14-MAR-2010
15-SEP-2009
|
PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 15/09/2009
|
| 169 |
|
|
ASHIKA STOCKS & SECURITIES PVT.LTD.
(Member : BHSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 170 |
|
|
ASHISH FISCAL SERVICES 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
|
|
| 171 |
|
|
ASHISH KUMAR KUNDRA,M/S
(Member : OTC)
|
|
|
|
ASHISH KUMAR KUNDRA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 172 |
|
|
ASHOK ADVANI,M/S
(Member : JSE)
|
|
|
|
ASHOK ADVANI
|
|
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
|
|
| 173 |
|
|
ASHOK AGARWAL,M/S
(Member : JSE)
|
|
|
|
ASHOK AGARWAL
|
|
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 |
|
|
ASHOK C.SHAH,M/S
(Member : COCSE)
|
|
|
|
ASHOK C.SHAH
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-MAR-2007 TO 06-SEP-2007
07-MAR-2007
|
|
| 175 |
|
|
ASHOK DOLIA,M/S
(Member : MDSE)
|
|
|
|
ASHOK DOLIA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 176 |
|
|
ASHOK K.BABU,M/S
(Member : BGSE)
|
|
|
|
ASHOK K.BABU
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 177 |
|
|
ASHOK KRISHNAN,M/S
(Member : OTC)
|
|
|
|
ASHOK KRISHNAN
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 178 |
|
|
ASHOK KUMAR AGRAWAL,M/S
(Member : ICSE)
|
|
|
|
ASHOK KUMAR AGRAWAL
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 179 |
|
|
ASHOK KUMAR ARORA,M/S
(Member : UPSE)
|
|
|
|
ASHOK KUMAR ARORA
|
|
DID NOT PAY FEES TO SEBI
|
SHOW CAUSE NOTICE ISSUED
09-NOV-2009
|
CERTIFICATE OF REGISTRATION CANCELLED W.E.F 10/06/2010, VIDE ORDER DATED 20/05/2010.
|
| 180 |
|
|
ASHOK KUMAR RATERIA,M/S
(Member : CSE)
|
|
|
|
ASHOK KUMAR RATERIA
|
|
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
|
| 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 104
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