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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 : 04-NOV-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: SUSPENDED REGISTRATION AS STOCK BROKER

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1841
History of entity/person SOMAYAJULU & CO.LTD.

(Member : NSE)  
  INDULGED IN PRICE MANIPULATION IN SCRIP OF MARUTI ORGANICS LTD.

DID NOT EXERCISE DUE CARE AND DILIGENCE IN SCRIP OF MARUTI ORGANICS LTD.   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-SEP-2002 TO 07-OCT-2002

16-SEP-2002 		SAT: APPEAL DISMISSED  
1842
History of entity/person SONAL TRIKAMLAL MARFATIA,M/S

(Member : ASE)  
Click here to view complete history of this specific entity/person SONAL TRIKAMLAL MARFATIA
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010

10-AUG-2009 		 
1843
History of entity/person SONI SECURITIES LTD.

(Member : NSE)  
Click here to view complete history of this specific entity/person ANITA CHOUDHARY
Click here to view complete history of this specific entity/person B.K.SONI
  		DID NOT EXERCISE DUE SKILL AND DILIGENCE AND ALSO LACK OF VISION WHILE DEALING ON BEHALF OF CDP FINCAP & LEASING PVT.LTD.   SUSPENDED REGISTRATION AS STOCK BROKER FROM 26-JUL-2004 TO 25-AUG-2004

05-JUL-2004 		 
1844
History of entity/person SONTHALIA & CO.

(Member : CSE)  
  INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   SUSPENDED REGISTRATION AS STOCK BROKER FROM 23-OCT-1998 TO 22-JAN-1999

25-SEP-1998 		 
1845
History of entity/person SONY P.PANAKKAL,M/S

(Member : COCSE)  
Click here to view complete history of this specific entity/person SONY P.PANAKKAL
  		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 		 
1846
History of entity/person SONY SECURITIES LTD.

(Member : NSE)  
  ACTED IN CONCERT WITH OTHER BROKERS TO CORNER A VERY LARGE QUANTITY OF SHARES OF BPL, VIDEOCON AND STERLITE

INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF BPL LTD., VIDEOCON INTERNATIONAL LTD. AND STERLITE INDUSTRIES LTD.

DID NOT COLLECT MARGINS FROM CLIENTS

DID NOT REPORT SPOT TRANSACTIONS TO THE EXCHANGE

DEFAULTED IN PAY-IN OBLIGATIONS   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 11-JUN-1998 TO 10-JUN-2000

05-AUG-1999 		 
1847
History of entity/person SOUNDCRAFT MARKETING PROJECTS & FINANCE 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  
1848
History of entity/person SOUTH EASTERN SECURITIES & SERVICES PVT.LTD.

(Member : CMBSE)  
  DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010

29-OCT-2009 		 
1849
History of entity/person SPA STOCK & SECURITIES PVT.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 		 
1850
History of entity/person SPADE FINANCIAL 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  
1851
History of entity/person SPARTEK FINANCIERS & INVESTMENT PVT.LTD.

(PAN:AADCS6113Q)

(Member : CSE)  
Click here to view complete history of this specific entity/person BINOD KUMAR SINGH
  		INDULGED IN CROSS DEALS IN SCRIP OF OFFSHORE FINVEST LTD.   SUSPENDED REGISTRATION AS STOCK BROKER FROM 11-OCT-2004 TO 25-OCT-2004

20-SEP-2004 		 
1852
History of entity/person SPICA FINSTOCK LTD.

(Member : ASE)  
  COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 23-JUN-2003 TO 22-SEP-2003

30-MAY-2003 		 
1853
History of entity/person SPICA FINSTOCK 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 		 
1854
History of entity/person SPRINGFIELDS SECURITIES LTD.

(Member : HSE/COCSE)  
  IRREGULARITIES IN DEALING IN SCRIP OF VIDEOCON INTERNATIONAL LTD.   SUSPENDED REGISTRATION AS STOCK BROKER FROM 03-APR-2003 TO 02-MAY-2003

13-MAR-2003 		COMPANY HAS COMPLETED PERIOD OF SUSPENSION  
1855
History of entity/person SPRINGFIELDS SECURITIES LTD.

(Member : COCSE)  
  DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-MAR-2010

08-MAR-2010 		COMPANY HAS COMPLETED PERIOD OF SUSPENSION  
1856
History of entity/person SREE GOPAL NATHANY,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person SREE GOPAL NATHANY
  		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  
1857
History of entity/person SREEKUMARI MENON,M/S

(Member : COCSE)  
Click here to view complete history of this specific entity/person SREEKUMARI MENON
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-MAR-2010

08-MAR-2010 		 
1858
History of entity/person SREEYEM SHARES & SECURITIES PVT.LTD.

(Member : COCSE)  
  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 		 
1859
History of entity/person SREYAS INVESTMENTS CO.

(Member : COCSE)  
Click here to view complete history of this specific entity/person LEELA SUKUMARAN
  		DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-MAR-2007 TO 06-SEP-2007

07-MAR-2007 		 
1860
History of entity/person SRI VENKATRAM SECURITIES PVT.LTD.

(Member : CMBSE)  
  DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010

29-OCT-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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