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

1901

SURENDRA NATH SHARMA,M/S

(Member : UPSE)

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SURENDRA NATH SHARMA

DID NOT PAY FEES TO SEBI

SUSPENDED REGISTRATION AS STOCK BROKER FROM 08-OCT-2010 TILL REGISTRATION FEE DEPOSITED

17-SEP-2010

1902

SURENDRA R.SHAH,M/S

(Member : PSE)

SURENDRA RASIKLAL SHAH

DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK

DEFICIENCIES IN CLIENT DATABASE

DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE

SUSPENDED REGISTRATION AS STOCK BROKER FROM 18-JAN-2005 TO 27-JAN-2005

28-DEC-2004

1903

SURESH A.,M/S

(Member : COCSE)

SURESH A.

DID NOT PAY FEES TO SEBI

SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-MAR-2010

08-MAR-2010

1904

SURESH CHAND KOTHARI,M/S

(Member : JSE)

SURESH CHAND KOTHARI

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

1905

SURESH CHANDRA AGARWAL,M/S

(Member : MPSE)

SURESH C.AGARWAL

DID NOT PRODUCE BOOKS OF ACCOUNTS TO SEBI FOR INSPECTION

SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-JAN-1999 TO 06-JUL-1999

30-DEC-1998

1906

SURESH GUPTA,M/S

(Member : JSE)

SURESH GUPTA

DID NOT PAY FEES TO SEBI

SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010

29-OCT-2009

1907

SURESH KUMAR AGARWAL,M/S

(Member : UPSE)

SURESH KUMAR AGARWAL

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

1908

SURESH KUMAR ALMAL,M/S

(Member : CSE)

SURESH KUMAR ALMAL

DID NOT ISSUE CONTRACT NOTES

ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-JUL-2006 TO 19-AUG-2006

29-JUN-2006

1909

SURESH KUMAR GUPTA,M/S

(Member : OTC)

SURESH KUMAR GUPTA

DID NOT PAY FEES TO SEBI

SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010

29-OCT-2009

1910

SURESH KUMAR KHANDELWAL,M/S

(Member : JSE)

SURESH KUMAR KHANDELWAL

DID NOT PAY FEES TO SEBI

SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010

29-OCT-2009

1911

SURESH KUMAR,M/S

(Member : UPSE)

SURESH KUMAR

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

1912

SURINDER SECURITIES PVT.LTD.

(Member : UPSE)

DID NOT ISSUE CONTRACT NOTES

INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS

DID NOT MAINTAIN CLIENT REGISTRATION FORMS

DID NOT MAINTAIN CLIENT AGREEMENTS

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

SUSPENDED REGISTRATION AS STOCK BROKER FROM 03-JUN-2003 TO 02-OCT-2003

13-MAY-2003

1913

SURINDER SINGH MEHTA,M/S

(Member : JSE)

SURINDER SINGH MEHTA

DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE

DEFAULTED IN MAINTENANCE OF BAD DELIVERY REGISTER

DID NOT RECTIFY BAD DELIVERIES IN TIME

MISUTILIZED EXCHANGE MECHANISM FOR SECURING PAYMENT

DID NOT ROUTE CLIENT'S MONEY THROUGH SEPARATE BANK ACCOUNT

DID NOT AFFIX BROKER NOTE STAMPS

SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-JUN-1998 TO 23-JUL-1998

11-JUN-1998

1914

SURJA NATH NANDY,M/S

(Member : CSE)

SURJA NATH NANDY

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

1915

SURLUX STOCKS & 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

1916