| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1881 |
|
SUDIP KOHLI,M/S
(Member : DSE)
|
|
|
|
SUDIP KOHLI
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 1882 |
|
|
SUKESH JAIN INVESTMENTS & FINANCIAL CONS.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
|
|
| 1883 |
|
|
SUMAN K.TRIVEDI,M/S
(Member : CSE)
|
|
|
|
SUMAN K.TRIVEDI
|
|
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
|
| 1884 |
|
|
SUMEDHA FISCAL SERVICES LTD.
(Member : NSE)
|
|
|
|
BHAVANI SHANKAR RATHI
|
|
|
BIJAY MUMURIA
|
|
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK AND DOCUMENT REGISTER
DID NOT ISSUE CONTRACT NOTES
DID NOT MAINTAIN CLIENT AGREEMENTS
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT COLLECT MARGINS FROM CLIENTS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 09-JUN-2003 TO 08-OCT-2003
19-MAY-2003
|
SAT: IMPUGNED ORDER MODIFIED AND PENALTY REDUCED FROM SUSPENSION OF 4 MONTHS TO STRONG WARNING,APPEAL DISPOSED OFF WITH NO ORDER AS TO COSTS
|
| 1885 |
|
|
SUMITI BEDI,M/S
(Member : BHSE)
|
|
|
|
SUMITI BEDI
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 1886 |
|
|
SUN & HILLS FINANCIAL SERVICES PVT.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
|
| 1887 |
|
|
SUNDER LAL GUPTA,M/S
(Member : CSE)
|
|
|
|
SUNDER LAL GUPTA
|
|
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
|
| 1888 |
|
|
SUNIL BROS.
(Member : UPSE)
|
|
|
|
SUNIL KUMAR GUPTA
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 11-MAR-2005 TO 10-MAR-2006
18-FEB-2005
|
|
| 1889 |
|
|
SUNIL GUPTA & CO.
(Member : LSE)
|
|
|
|
SUNIL GUPTA
|
|
DID NOT EXERCISE DUE SKILL AND DILIGENCE
INDULGED IN MANIPULATIVE TRANSACTIONS IN SCRIP OF SHIVALIK LOHA MILLS LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 10-AUG-2002 TO 09-FEB-2003
27-JUL-2002
|
|
| 1890 |
|
|
SUNIL INVESTMENTS
(Member : BGSE)
|
|
|
|
JUHARMAL
|
|
IRREGULARITIES IN DEALING IN SCRIP OF PROSOFT SYSTEMS LTD.
DEFAULTED IN MAINTENANCE OF RECORD OF PLACEMENT OF ORDERS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 09-SEP-2004 TO 08-DEC-2004
19-AUG-2004
|
|
| 1891 |
|
|
SUNIL KUMAR PRABHAKAR,M/S
(Member : BHSE)
|
|
|
|
SUNIL KUMAR PRABHAKAR
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 1892 |
|
|
SUNIL KUMAR SARAF,M/S
(Member : GSE)
|
|
|
|
SUNIL KUMAR SARAF
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-MAR-2007 TO 06-SEP-2007
07-MAR-2007
|
|
| 1893 |
|
|
SUNIL KUMAR SARKAR,M/S
(Member : CSE)
|
|
|
|
SUNIL KUMAR SARKAR
|
|
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
|
| 1894 |
|
|
SUNIL O.G.,M/S
(Member : COCSE)
|
|
|
|
SUNIL O.G.
|
|
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
|
|
| 1895 |
|
|
SUNITA RANI UPPAL,M/S
(Member : LSE)
|
|
|
|
SUNITA RANI UPPAL
|
|
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
|
|
| 1896 |
|
|
SUNITA RELAN,M/S
(Member : LSE)
|
|
|
|
SUNITA RELAN
|
|
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
|
|
| 1897 |
|
|
SURAJ GLOBAL CAPITAL LTD.
(Member : CSE)
|
|
|
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
|
| 1898 |
|
|
SURE CAPITAL PVT.LTD.
(CIN:U67120PN1999PTC014178)
(Member : PSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 1899 |
|
|
SURENDRA KUMAR JAIN,M/S
(Member : GSE)
|
|
|
|
SURENDRA KUMAR JAIN
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 1900 |
|
|
SURENDRA KUMAR RUNGTA,M/S
(Member : MGSE)
|
|
|
|
SURENDRA KUMAR RUNGTA
|
|
DID NOT ISSUE CONTRACT NOTES
DID NOT REPORT DEALS DONE ON BSE AND NSE TO THE EXCHANGE
DID NOT MAINTAIN SEPARATE CLIENT ACCOUNT
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 10-JUN-1999 TO 09-DEC-1999
10-JUN-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 95 of 107
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