| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1821 |
|
SHYAM SUNDAR DAMANI,M/S
(Member : ICSE)
|
|
|
|
SHYAM SUNDAR DAMANI
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 1822 |
|
|
SHYAM SUNDER CHIRIPAL,M/S
(Member : CSE)
|
|
|
|
SHYAM SUNDER CHIRIPAL
|
|
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
|
| 1823 |
|
|
SHYAM SUNDER MUNDRA,M/S
(Member : JSE)
|
|
|
|
SHYAM SUNDER MUNDRA
|
|
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
|
|
| 1824 |
|
|
SHYAMA PRASAD MURARKA,M/S
(PAN:AFCPM6318J)
(Member : CSE)
|
|
|
|
SHYAMA PRASAD MURARKA
PAN:AFCPM6318J
|
|
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 16/10/2015 DIRECTED CALCUTTA STOCK EXCHANGE LTD. TO REMIT RS.77, 29,736 (INCLUSIVE RS.1, 000.00 TOWARDS ADMINISTRATION CHARGES) WITHIN A WEEK FROM THE DATE OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 16/10/2015 DIRECTED NSDL TO ATTACH 1. ALL DEMAT ACCOUNT/S BY WHATEVER NAME CALLED OF THE DEFAULTER, EITHER SINGLY OR JOINTLY WITH ANY OF OTHER PERSONS AND 2. ALL FUNDS/FOLIOS/SCHEMES HELD BY WHATEVER NAME CALLED OF THE DEFAULTER, EITHER SINGLY OR JOINTLY WITH ANY OF OTHER PERSONS
SEBI VIDE ITS NOTICE DATED 16/10/2015 DIRECTED ALL THE BANKS IN INDIA TO ATTACH 1. ALL ACCOUNT/S BY WHATEVER NAME CALLED INCLUDING LOCKERS OF THE DEFAULTER, EITHER SINGLY OR JOINTLY WITH ANY OF OTHER PERSONS AND 2. ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE TO DEFAULTER OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR OR ON ACCOUNT OF THE DEFAULTER
SEBI VIDE ITS ORDER DATED 26/07/2022 A) PROHIBITED FROM DISPOSING, TRANSFERRING, ALIENATING OR CHARGING IN RESPECT OF ALL THE IMMOVABLE AND MOVABLE PROPERTIES LISTED IN THE ORDER B) PROHIBITED FROM TAKING ANY BENEFIT UNDER SUCH DISPOSAL, TRANSFER, ALIENATION OR CHARGE IN RESPECT OF THE PROPERTIES LISTED IN ORDER C) DIRECTED TO FURNISH ALL MOVABLE AND IMMOVABLE PROPERTIES HELD BY DEFAULTERS AND CHARGES, IF ANY, DULY CERTIFIED BY BOARD OF DIRECTORS WITHIN TWO WEEKS FROM DATE OF THIS ORDER AT SEBI, EASTERN REGIONAL OFFICE, KOLKATA D) DIRECTED INSPECTORS GENERAL OF REGISTRATION OF ALL THE STATES AND UNION TERRITORIES AND CONCERNED TEHSILDARS, DISTRICT REGISTRARS AND SUB-REGISTRARS OF THE RESPECTIVE AREAS WHERE THE PROPERTIES ARE LOCATED E) NOT TO ACT UPON ANY DOCUMENTS PURPORTING TO BE DEALING WITH TRANSFER, MORTGAGE, CHARGE, LEASE OR CREATION OR ALTERATION OF ANY INTEREST IN ANY OF THE PROPERTIES OWNED/HELD BY THE DEFAULTERS, IF PRESENTED FOR REGISTRATION
|
| 1825 |
|
|
SHYAMLAL SULTANIA,M/S
(Member : CSE)
|
|
|
|
SHYAMLAL SULTANIA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF G.R.INDUSTRIES & FINANCE LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 06-APR-2011 TO 05-MAY-2011
16-MAR-2011
|
|
| 1826 |
|
|
SIBAR FINANCIAL 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
|
|
| 1827 |
|
|
SIKKIM INVESTMENTS 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
|
|
| 1828 |
|
|
SINCERE COMMODITIES & DERIVETIVES MARKETS LTD.
(PAN:AAICS3108G)
(Member : NSEL)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-OCT-2023 TO 19-JAN-2024
20-OCT-2023
|
|
| 1829 |
|
|
SINGHANIA BROTHERS PVT.LTD.
(Member : CSE)
|
|
|
DID NOT ISSUE CONTRACT NOTES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 23-JUL-1999 TO 22-AUG-1999
20-JUL-1999
|
|
| 1830 |
|
|
SINGHI FINLEASE PVT.LTD.
(Member : BGSE)
|
|
|
|
DINESH SINGH
|
|
DID NOT RECORD TIME OF PLACEMENT OF ORDERS ON CONTRACT NOTES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
INDULGED IN FUNDS LENDING/BORROWING NOT RELATED TO/CONSEQUENTIAL TO/CONNECTED TO SECURITIES MARKET
DID NOT COLLECT MARGINS FROM CLIENTS
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 02-NOV-2006 TO 01-DEC-2006
12-OCT-2006
|
|
| 1831 |
|
|
SIVAANAND SECURITIES PVT.LTD.
(Member : ICSE)
|
|
|
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
|
| 1832 |
|
|
SKC SHARE & STOCK BROKING SERVICES PVT.LTD.
(Member : CSE)
|
|
|
INDULGED IN OFF-MARKET TRANSACTIONS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
INDULGED IN UNAUTHORISED FUND-BASED ACTIVITIES
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 03-SEP-2003 TO 02-SEP-2004
13-AUG-2003
|
|
| 1833 |
|
|
SLA SECURITIES LTD.
(Member : CSE)
|
|
|
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
|
SAT: ORDER DATED 07/12/2009 SET ASIDE AND REMITTED CASE BACK TO RESPONDENT BOARD. DIRECTED CALCUTTA STOCK EXCHANGE TO RESTORE CERTIFICATE OF REGISTRATION, VIDE ORDER DATED 31/03/2010. NO ORDER AS TO COSTS
SEBI VIDE ORDER DATED 07/01/2015, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEES (AS ON THE DATED OF PAYMENT) ARE FULLY PAID
SEBI VIDE ITS NOTICE DATED 28/07/2015 CLOSED RECOVERY CERTIFICATE AS ENTIRE DUES OF HAS BEEN RECOVERED
SAT: SAT VIDE ITS ORDER DATED 18/07/2017 ALLOWED THE APPEAL AND MISC APPLICATIONS TO BE WITHDRAWN WITH LIBERTY TO FILE FRESH APPEALS AND MISC.APPLICATIONS WITHIN A PERIOD OF SIX WEEKS FROM THE DATE OF THIS ORDER. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 07/05/2018 CONDONED THE DELAY OF 913 DAYS IN FILING OF APPEAL. APPEAL DISMISSED. NO COSTS
|
| 1834 |
|
|
SMART CAPITAL SERVICES LTD.
(Member : OTC)
|
|
|
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
|
| 1835 |
|
|
SMIFS SECURITIES LTD.
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS IN SCRIP OF DSQ INDUSTRIES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 08-MAR-2007 TO 07-SEP-2007
15-FEB-2007
|
SAT: IMPUGNED ORDER SHALL REMAIN STAYED DURING PENDENCY OF THE APPEAL
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 15/02/2007 SET ASIDE WITH NO ORDER AS TO COSTS
|
| 1836 |
|
|
SMITHA GOPINATHAN,M/S
(Member : COCSE)
|
|
|
|
SMITHA GOPINATHAN
|
|
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
|
|
| 1837 |
|
|
SNEHA PARIJA,M/S
(Member : BHSE)
|
|
|
|
SNEHA PARIJA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 1838 |
|
|
SOHAN LAL VERMA,M/S
(Member : LSE)
|
|
|
|
SOHAN LAL VERMA
|
|
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
|
|
| 1839 |
|
|
SOM DATT OVERSEAS LTD.
(Member : CSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 1840 |
|
|
SOMANI STOCK BROKING PVT.LTD.
(Member : CSE)
|
|
|
DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
DID NOT MAINTAIN CLIENT AGREEMENTS
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT COLLECT MARGINS FROM CLIENTS
EXECUTED NEGOTIATED DEALS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 14-OCT-2002 TO 13-APR-2003
17-OCT-2002
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 92 of 107
|
