| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1881 |
|
THARAKAN & THARAKAN,M/S
(Member : COCSE)
|
|
|
|
P.G.ABRAHAM THARAKAN
|
|
DID NOT PAY FEES TO SEBI
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 17-JAN-2008
17-JAN-2008
|
|
| 1882 |
|
|
THOMAS & LEA,M/S
(Member : COCSE)
|
|
|
|
ALEYAMMA THOMAS
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-MAY-2007 TO 29-NOV-2007
09-MAY-2007
|
|
| 1883 |
|
|
THOMAS CHENAN,M/S
(Member : COCSE)
|
|
|
|
THOMAS CHENAN
|
|
DID NOT PAY FEES TO SEBI
|
SHOW CAUSE NOTICE ISSUED
09-NOV-2009
|
|
| 1884 |
|
|
THOMAS CHERIAN,M/S
(Member : COCSE)
|
|
|
|
THOMAS CHERIAN
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-MAR-2010
08-MAR-2010
|
|
| 1885 |
|
|
THOMAS GEORGE,M/S
(Member : COCSE)
|
|
|
|
THOMAS GEORGE
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-MAR-2010
08-MAR-2010
|
|
| 1886 |
|
|
THOMAS GEORGE,M/S
(Member : COCSE)
|
|
|
|
THOMAS GEORGE
|
|
DID NOT PAY FEES TO SEBI
|
SHOW CAUSE NOTICE ISSUED
09-NOV-2009
|
|
| 1887 |
|
|
THOMAS JOHN K.,M/S
(Member : COCSE)
|
|
|
|
THOMAS JOHN K.
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 1888 |
|
|
THOMAS MATHEW,M/S
(Member : BHSE)
|
|
|
|
THOMAS MATHEW
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 1889 |
|
|
THOMAS OOMMEN,M/S
(Member : COCSE)
|
|
|
|
THOMAS OOMMEN
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
15-JUL-2010
|
PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 15/07/2010
|
| 1890 |
|
|
THOMAS P.MATHEW,M/S
(Member : COCSE)
|
|
|
|
THOMAS P.MATHEW
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 1891 |
|
|
THOMPSON & CO.
(Member : COCSE)
|
|
|
|
ANNIE THOMPSON
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 13-NOV-2007 TO 12-APR-2008
23-OCT-2007
|
|
| 1892 |
|
|
THOMSUN STOCK & SECURITIES
(Member : COCSE)
|
|
|
|
K.V.ABRAHAM
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-MAR-2007 TO 06-SEP-2007
07-MAR-2007
|
|
| 1893 |
|
|
THOPPIL & CO.
(Member : COCSE)
|
|
|
|
JOSE JOSEPH
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-MAR-2007 TO 06-SEP-2007
07-MAR-2007
|
|
| 1894 |
|
|
TIME CAPITAL LTD.
(Member : NSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
NOTICE ISSUED FOR PAYMENT OF FEES ALONG WITH INTEREST DUE THERE ON
21-MAR-2006
|
SAT: ACTION OF SEBI NOT ADJUSTING EXCESS PAYMENT, SET ASIDE
SAT: ORDER DATED 21/03/2006 MODIFIED TO EXTENT THAT PARTIES IN MAIN APPEAL WOULD BEAR THEIR OWN COSTS
|
| 1895 |
|
|
TIMEGUARD MANAGEMENT & FINANCIAL SERVICES LTD.
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-MAR-2010
08-MAR-2010
|
|
| 1896 |
|
|
TINNA CAPITAL SERVICES LTD.
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-MAR-2010
08-MAR-2010
|
|
| 1897 |
|
|
TIRUPATHI SECURITIES
(Member : HSE)
|
|
|
|
G.SUDHIR KUMAR
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
23-APR-2009
|
PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION
|
| 1898 |
|
|
TITAN STOCK BROKING PVT.LTD.
(Member : CSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 1899 |
|
|
TOM JACOB,M/S
(Member : COCSE)
|
|
|
|
TOM JACOB
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
22-MAR-2010
|
PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 22/03/2010
|
| 1900 |
|
|
TOM MATHEW K.,M/S
(Member : COCSE)
|
|
|
|
TOM MATHEW K.
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-MAR-2010
08-MAR-2010
|
|
| 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 95 of 104
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