| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1861 |
|
SRIM SECURITIES 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
|
|
| 1862 |
|
|
SRISTHI EQUITIES BROKERS 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
|
| 1863 |
|
|
SS CORPORATE SECURITIES LTD.
(PAN:AABCS3726M)
(Member : NSE)
|
|
|
|
D.D.SINGHAL
|
|
|
MANJIT JAJU
|
|
|
PRADEEP MAHESHWARI
|
|
|
SHANKAR SOMANI
|
|
|
SUNIL K.GUPTA
|
|
INDULGED IN MANIPULATIVE TRANSACTIONS IN SCRIP OF GLOBAL TRUST BANK LTD.
VIOLATED REGULATIONS 4(A), 4(B), 4(C) AND 4(D) OF SEBI (PFUTP) REGULATIONS, 1995
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 13-OCT-2004 TO 12-JAN-2005
21-SEP-2004
|
SAT: IMPUGNED ORDER SET ASIDE WITH NO ORDER AS TO COSTS
|
| 1864 |
|
|
STAR SHARE & STOCK BROKERS LTD.
(PAN:AAACS9106Q)
(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
DEFAULTED IN PAY-IN OBLIGATIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 05-DEC-1998 TO 16-SEP-1999
26-AUG-1999
|
|
| 1865 |
|
|
SUBH STOCK BROKING PVT.LTD.
(PAN:AAHCS7985C)
(Member : CSE)
|
|
|
|
PAWAN KAYAN
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF RADIANT FINANCIAL SERVICES LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF RADIANT FINANCIAL SERVICES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 19-NOV-2009 TO 18-FEB-2010
28-OCT-2009
|
|
| 1866 |
|
|
SUBH STOCK BROKING PVT.LTD.
(PAN:AAHCS7985C)
(Member : CSE)
|
|
|
|
PAWAN KAYAN
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF TOPLIGHT COMMERCIAL LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLIED WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS IN MATTER OF TOPLIGHT COMMERCIAL LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-NOV-2009 TO 26-DEC-2009
27-NOV-2009
|
|
| 1867 |
|
|
SUBHASH BAHETI & CO.
(Member : CSE)
|
|
|
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DEFICIENCIES IN MEMBER-CLIENT AGREEMENTS
DEFICIENCIES IN REGISTRATION FORMS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-JUN-2006 TO 15-JUN-2006
11-MAY-2006
|
|
| 1868 |
|
|
SUBHASH CHANDRA PACHISIA,M/S
(Member : CSE)
|
|
|
|
SUBHASH CHANDRA PACHISIA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 1869 |
|
|
SUBHASH GANGWAL,M/S
(Member : ICSE)
|
|
|
|
SUBHASH GANGWAL
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 1870 |
|
|
SUBHASH KARKHANIS SHARE & STOCK BROKERS PVT.LTD.
(Member : BSE)
|
|
|
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT ENTER INTO AGREEMENT WITH SUB-BROKERS
DEFAULTED IN MAINTENANCE OF SAUDA BOOK
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 17-DEC-2001 TO 16-MAR-2002
19-DEC-2001
|
|
| 1871 |
|
|
SUBHASH KARKHANIS SHARE & STOCK BROKERS PVT.LTD.
(Member : BSE)
|
|
|
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
|
|
| 1872 |
|
|
SUBHKAM SECURITIES PVT.LTD.
(PAN:AADCS4498N)
(Member : BSE)
|
|
|
MANIPULATION IN SCRIP OF AMARA RAJA BATTERIES LIMITED DURING THE PERIOD AUGUST 2000 TO MARCH 2001
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 26-AUG-2002 TO 01-SEP-2002
13-AUG-2002
|
SAT: ORDER NOT SUSTAINED AND APPEAL ALLOWED
|
| 1873 |
|
|
SUBHKAM SECURITIES PVT.LTD.
(PAN:AADCS4498N)
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSE A(2) AND A(3) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF MASCON GLOBAL LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 23-MAR-2012 TO 05-APR-2012
02-MAR-2012
|
SAT: APPEAL ALLOWED WITH NO ORDER AS TO COSTS
|
| 1874 |
|
|
SUBRATA NAYOK,M/S
(Member : ICSE)
|
|
|
|
SUBRATA NAYOK
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 1875 |
|
|
SUCHITRA NATHANY,M/S
(Member : CSE)
|
|
|
|
SUCHITRA NATHANY
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 1876 |
|
|
SUDHA SOMAN,M/S
(Member : COCSE)
|
|
|
|
SUDHA SOMAN
|
|
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
|
|
| 1877 |
|
|
SUDHIR KUMAR GUPTA,M/S
(Member : BHSE)
|
|
|
|
SUDHIR KUMAR GUPTA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 1878 |
|
|
SUDHIR KUMAR JAIN,M/S
(Member : BHSE)
|
|
|
|
SUDHIR KUMAR JAIN
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 1879 |
|
|
SUDHIR PRASAD,M/S
(Member : JSE)
|
|
|
|
SUDHIR PRASAD
|
|
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
|
| 1880 |
|
|
SUDHIR RATHI
(Member : PSE)
|
|
|
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
INDULGED IN OFF-THE-FLOOR TRANSACTIONS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-FEB-1999 TO 11-AUG-1999
05-FEB-1999
|
|
| 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 94 of 107
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