| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1781 |
|
SHOBHA KHINVASARA,M/S
(Member : JSE)
|
|
|
|
SHOBHA KHINVASARA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 1782 |
|
|
SHOBHAN LAL JAIN,M/S
(Member : JSE)
|
|
|
|
SHOBHAN LAL JAIN
|
|
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
|
| 1783 |
|
|
SHRAVAN KUMAR BAGLA,M/S
(Member : CSE)
|
|
|
|
SHRAVAN KUMAR BAGLA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 1784 |
|
|
SHREE BAHUBALI COMMODITIES PVT.LTD.
(PAN:AABCD1752A)
(Member : NSEL)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-NOV-2023 TO 29-FEB-2024
30-NOV-2023
|
SAT: SAT VIDE ITS ORDER DATED 11/12/2023 STAYED THE EFFECT AND OPERATION OF IMPUGNED ORDER
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
|
| 1785 |
|
|
SHREE BEESAT INVESTMENTS PVT.LTD.
(Member : JSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 1786 |
|
|
SHREE CHAMUNDI STOCKS
(Member : BGSE)
|
|
|
|
M.S.CHANDRASHEKHAR
|
|
ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION
DID NOT ISSUE CONTRACT NOTES
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS AND/OR DOCUMENTS
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT RECTIFY BAD DELIVERIES IN TIME
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-1998 TO 19-FEB-1999
16-NOV-1998
|
|
| 1787 |
|
|
SHREE HARIVANSHA SECURITIES PVT.LTD.
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF SPANCO TELESYSTEMS & SOLUTIONS LTD.
VIOLATED REGULATION 4(B) AND (C) OF SEBI PFUTP, REGULATIONS 1995
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 05-APR-2007 TO 11-APR-2007
15-MAR-2007
|
|
| 1788 |
|
|
SHREE HARIVANSHA SECURITIES PVT.LTD.
(Member : CSE)
|
|
|
INDULGED IN OFF-MARKET TRANSACTIONS
INDULGED IN UNAUTHORISED FUND-BASED ACTIVITIES
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 02-APR-2004 TO 01-OCT-2004
12-MAR-2004
|
SAT: PERIOD OF PENALTY REDUCED FROM 6 MONTHS TO 4 MONTHS APPEAL DISPOSED OFF WITHOUT COSTS
|
| 1789 |
|
|
SHREE INVESTMENTS
(Member : COCSE)
|
|
|
|
RAJESH KEJARIWAL
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-MAR-2007 TO 06-SEP-2007
07-MAR-2007
|
|
| 1790 |
|
|
SHREE KRISHNA & CO.
(Member : NSE)
|
|
|
IN THE CASE OF WIPRO LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-MAY-2002 TO 19-JUN-2002
15-JUL-2002
|
|
| 1791 |
|
|
SHREE KRISHNA BAGLA,M/S
(Member : CSE)
|
|
|
|
SHREE KRISHNA BAGLA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 1792 |
|
|
SHREE KUMAR BANGUR,M/S
(Member : CSE)
|
|
|
|
SHREE KUMAR BANGUR
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 1793 |
|
|
SHREE KUMAR MAJEJI,M/S
(Member : CSE)
|
|
|
|
SHREE KUMAR MAJEJI
|
|
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
|
| 1794 |
|
|
SHREE NARAYAN BAGLA,M/S
(Member : CSE)
|
|
|
|
SHREE NARAYAN BAGLA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 1795 |
|
|
SHREE NARAYAN JALAN,M/S
(Member : CSE)
|
|
|
|
SHREE NARAYAN JALAN
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 1796 |
|
|
SHREE TULSHI STOCKS
(Member : COCSE)
|
|
|
|
CHHANGANLAL JAIN
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-MAR-2007 TO 06-SEP-2007
07-MAR-2007
|
|
| 1797 |
|
|
SHREE TULSHI STOCKS
(Member : COCSE)
|
|
|
|
CHHANGANLAL JAIN
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 10-MAY-1999 TO 09-NOV-1999
10-MAY-1999
|
|
| 1798 |
|
|
SHREE VRAJ HOLDINGS 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
|
SAT: SAT VIDE ITS ORDER DATED 18/12/2024 DISPOSED OF THE APPEAL WITH LIBERTY TO APPELLANT TO REOPEN THE APPEAL IF REFUND IS RECEIVED WITHIN REASONABLE TIME
|
| 1799 |
|
|
SHREE YADUGIRI INVESTMENTS
(Member : BGSE)
|
|
|
ACTED AS SUB-BROKER OF COMPOSITE INVESTMENTS PVT.LTD.WITHOUT SEBI REGISTRATION
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT COLLECT MARGINS FROM CLIENTS
DID NOT FURNISH AUDITOR'S CERTIFICATE ON QUARTERLY BASIS REGARDING COLLECTION OF MINIMUM MARGIN FROM CLIENTS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 18-OCT-2006 TO 01-NOV-2006
27-SEP-2006
|
|
| 1800 |
|
|
SHREEHARI HIRA STOCK BROKING PVT.LTD.
(PAN:AAJCS0518D)
(Member : BSE)
|
|
|
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO 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 STOCKNET INTERNATIONAL LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 31-MAY-2012 TO 30-JUL-2012
10-MAY-2012
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 90 of 107
|
