| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1901 |
|
TONY JOSEPH XAVIOUR,M/S
(Member : COCSE)
|
|
|
|
TONY JOSEPH XAVIOUR
|
|
DID NOT PAY FEES TO SEBI
|
SHOW CAUSE NOTICE ISSUED
09-NOV-2009
|
|
| 1902 |
|
|
TONY JOSEPH XAVIOUR,M/S
(Member : COCSE)
|
|
|
|
TONY JOSEPH XAVIOUR
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-MAR-2010
08-MAR-2010
|
|
| 1903 |
|
|
TOPAZ SECURITIES LTD.
(Member : NSE)
|
|
|
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
|
| 1904 |
|
|
TOURISM FINANCE CORP.OF INDIA LTD.
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-MAR-2010
08-MAR-2010
|
|
| 1905 |
|
|
TRANS ASIA STOCKS & SHARES
(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
|
| 1906 |
|
|
TRANS SCAN SECURITIES PVT.LTD.
(PAN:AAACT9239M)
(Member : OTC)
|
|
|
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
|
| 1907 |
|
|
TRANSCORP SECURITIES LTD.
(Member : NSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
28-OCT-2009
|
|
| 1908 |
|
|
TRANSWORLD 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
|
| 1909 |
|
|
TRANSWORLD SECURITIES LTD.
(Member : OTC)
|
|
|
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
|
| 1910 |
|
|
TRIAL INVESTMENTS & FINANCE PVT.LTD.
(Member : NSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 10-FEB-2010
10-FEB-2010
|
|
| 1911 |
|
|
TRILOCHANA K.DOSHI,M/S
(Member : BSE)
|
|
|
|
TRILOCHANA K.DOSHI
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
13-NOV-2009
|
PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 13/11/2009
|
| 1912 |
|
|
TRIMITI INVESTMENTS & FINANCIAL SERVICES PVT.LTD.
(Member : PSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 1913 |
|
|
TRINITY SUB-SURFACE CONSULTANTS PVT.LTD.
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-MAR-2010
08-MAR-2010
|
|
| 1914 |
|
|
TRISHUL & CO.
(Member : MGSE)
|
|
|
|
SACHCHIDANAND MISHRA
|
|
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
|
| 1915 |
|
|
TRIUMPH RETAIL BROKING SERVICES 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
|
|
| 1916 |
|
|
TRIUMPH SECURITIES LTD.
(PAN:AAACT2152P)
(Member : BSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SHOW CAUSE NOTICE ISSUED
09-NOV-2009
|
CERTIFICATE OF REGISTRATION CANCELLED W.E.F 10/06/2010, VIDE ORDER DATED 20/05/2010.
|
| 1917 |
|
|
TROPICAL SECURITIES & INVESTMENTS PVT.LTD.
(PAN:AAACT1670N)
(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
|
|
| 1918 |
|
|
TRUE TONE DISTRIBUTORS PVT.LTD.
(Member : ICSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
09-JUN-2009
|
PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 09/06/2009
|
| 1919 |
|
|
TULSI RAM AGARWAL,M/S
(Member : BHSE)
|
|
|
|
TULSI RAM AGARWAL
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 1920 |
|
|
TUSHTI SECURITIES PVT.LTD.
(Member : ASE)
|
|
|
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. |
| |
|
|
| Page 96 of 104
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