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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 : 02-MAR-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: SHOW CAUSE NOTICE ISSUED

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
161
History of entity/person RAJENDRA KUMAR AGARWAL,M/S

(Member : OTC)  
Click here to view complete history of this specific entity/person RAJENDRA KUMAR AGARWAL
  		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  
162
History of entity/person RAJESH AGARWAL,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person RAJESH AGARWAL
  		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  
163
History of entity/person RAJESH GOYAL,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person RAJESH GOYAL
  		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  
164
History of entity/person RAJESH SINGH PANGTEY,M/S

(Member : ICSE)  
Click here to view complete history of this specific entity/person RAJESH SINGH PANGTEY
  		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  
165
History of entity/person RAJKUMAR CHAINRAI BASANTANI,M/S

(PAN:AESPB2834F)

(Member : NSE)  
Click here to view complete history of this specific entity/person RAJKUMAR C.BASANTANI

PAN:AESPB2834F
  		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

SEBI VIDE ITS NOTICE DATED 21/07/2015 DIRECTED TO REMIT THE AMOUNT OF RS.14,04,223 INCLUDING INTEREST ACCRUED FOR THE MONTH OF JULY,2015 AND RS.1,000.00 TOWARDS ADMINISTRATION CHARGES

SEBI VIDE ITS NOTICE DATED 10/08/2015 DIRECTED TO ATTACH ALL DEMAT ACCOUNTS/S, FUNDS/FOLIOS/SCHEMES HELD BY DEFAULTER, EITHER SINGLY OR JOINTLY WITH ANY OF OTHER PERSONS AND FURTHER DIRECTED NOT TO DEBIT THE SAID ACCOUNT UNTIL FURTHER ORDERS FROM RECOVERY OFFICER OF SEBI  
166
History of entity/person RAJU K.MATHEW,M/S

(Member : ICSE)  
Click here to view complete history of this specific entity/person RAJU K.MATHEW
  		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
History of entity/person RAKESH KHURANA,M/S

(Member : OTC)  
Click here to view complete history of this specific entity/person RAKESH KHURANA
  		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  
168
History of entity/person RAKESH MISHRA,M/S

(Member : UPSE)  
Click here to view complete history of this specific entity/person RAKESH MISHRA
  		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  
169
History of entity/person RAKESH MITTAL,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person RAKESH MITTAL
  		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  
170
History of entity/person RAKESH SHARMA,M/S

(Member : UPSE)  
Click here to view complete history of this specific entity/person RAKESH SHARMA
  		DID NOT PAY FEES TO SEBI   SHOW CAUSE NOTICE ISSUED

09-NOV-2009 		 
171
History of entity/person RAM GOPAL,M/S

(Member : UPSE)  
Click here to view complete history of this specific entity/person RAM GOPAL
  		DID NOT PAY FEES TO SEBI   SHOW CAUSE NOTICE ISSUED

09-NOV-2009 		 
172
History of entity/person RAM MURTI GARG,M/S

(Member : OTC)  
Click here to view complete history of this specific entity/person RAM MURTI GARG
  		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  
173
History of entity/person RAM NIWAS RUWATIA,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person RAM NIWAS RUWATIA
  		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  
174
History of entity/person RAM RATAN SONIHALIA,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person RAM RATAN SONIHALIA
  		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  
175
History of entity/person RAMAN V.DALAL,M/S

(Member : BSE)  
Click here to view complete history of this specific entity/person RAMAN V.DALAL
  		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.  
176
History of entity/person RAMESH AGARWAL,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person RAMESH AGARWAL
  		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  
177
History of entity/person RAMESH KUMAR VIRMANI,M/S

(Member : OTC)  
Click here to view complete history of this specific entity/person RAMESH KUMAR VIRMANI
  		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  
178
History of entity/person RAMESH SARDANA,M/S

(Member : OTC)  
Click here to view complete history of this specific entity/person RAMESH SARDANA
  		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  
179
History of entity/person RANJEET HINGORANI,M/S

(Member : OTC)  
Click here to view complete history of this specific entity/person RANJEET HINGORANI
  		DID NOT PAY FEES TO SEBI   SHOW CAUSE NOTICE ISSUED

09-NOV-2009 		 
180
History of entity/person RATAN PRAKASH GUPTA,M/S

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