| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1921 |
|
SUSHIL KUMAR AGRAWAL,M/S
(Member : JSE)
|
|
|
|
SUSHIL KUMAR AGRAWAL
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 1922 |
|
|
SUSHIL KUMAR GOENKA,M/S
(Member : UPSE)
|
|
|
|
SUSHIL KUMAR GOENKA
|
|
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
|
|
| 1923 |
|
|
SUSHIL KUMAR MAHESHWARI,M/S
(Member : CSE)
|
|
|
|
SUSHIL KUMAR MAHESHWARI
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 1924 |
|
|
SUSHIL KUMAR,M/S
(Member : BHSE)
|
|
|
|
SUSHIL KUMAR
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 1925 |
|
|
SUSHILA N.RUNGTA,M/S
(Member : BSE)
|
|
|
|
SUSHILA NIRMAL KUMAR RUNGTA
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT MAINTAIN CLIENT AGREEMENTS
INDULGED IN OFF-THE-FLOOR TRANSACTIONS
INDULGED IN GALA TRANSACTIONS
ISSUED FICTITIOUS CONTRACT NOTES
DID NOT APPLY FOR REGISTRATION OF CIS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 15-SEP-2003 TO 15-SEP-2004
25-AUG-2003
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PERIOD OF SUSPENSION TO ONE MONTH W.E.F.15/11/2005
|
| 1926 |
|
|
SUSHIM KUMAR PODDAR,M/S
(Member : CSE)
|
|
|
|
SUSHIM KUMAR PODDAR
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-SEP-2009 TO 01-MAR-2010
10-AUG-2009
|
|
| 1927 |
|
|
SUVIGYA JAIN,M/S
(Member : OTC)
|
|
|
|
SUVIGYA JAIN
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 1928 |
|
|
SVS SECURITIES PVT.LTD.
(PAN:AABCS5982K)
(Member : BSE/NSE/OTC)
|
|
|
|
RESHAD CHESSON
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE WHILE DEALING WITH HIS CLIENTS IN SCRIP OF MAZDA FABRICS PROCESSORS LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 22-FEB-2007 TO 28-FEB-2007
02-FEB-2007
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
10-NOV-2008
|
SAT: SINCE APPLICANT FILED APPLICATION WITH SEBI TO PASS CONSENT ORDER TO DISPOSE OFF ORDER DATED 02/02/2007, ORDER ACCORDINGLY DISPOSED OFF WITH NO ORDER AS TO COSTS
SAT: ORDER DISPOSED OFF AS APPLICANT DEPOSITED RS.10,00,000 TOWARDS SETTLEMENT CHARGES AS PER CONSENT ORDER DATED 10/11/2008 WITH NO ORDER AS TO COSTS
|
| 1929 |
|
|
SWADHA SECURITIES LTD.
(Member : CSE)
|
|
|
ACTED IN CONCERT WITH OTHER BROKERS/CLIENTS TO DEPRESS MARKET PRICE OF THE SECURITIES BY MATCHING BUY AND SELL ORDERS IN CASE OF M.P.INVESTMENT & FINANCIAL CONSULTANCY SERVICES LTD.
UNDERTOOK TRANSACTIONS IN LARGE SCALE WITH SOLE OBJECT OF GENERATING BROKERAGE THUS VIOLATING CODE OF CONDUCT OF STOCK BROKER REGULATIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 18-JAN-2006 TO 17-FEB-2006
28-DEC-2005
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PERIOD OF SUSPENSION FROM ONE MONTH TO ONE WEEK
|
| 1930 |
|
|
SWADHA SECURITIES LTD.
(Member : CSE)
|
|
|
|
NARESH KUMAR JALAN
|
|
IRREGULARITIES IN DEALING IN SCRIP OF OFFSHORE FINVEST LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-JAN-2005 TO 26-JUL-2005
27-JAN-2005
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PERIOD OF SUSPENSION FROM 6 MONTHS TO 7 DAYS
|
| 1931 |
|
|
SWAGATH SECURITIES PVT.LTD.
(Member : BGSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF HOME TRADE LTD.
DEFAULTED IN VERIFYING FINANCIAL CAPABILITIES AND NET WORTH OF CLIENTS
DID NOT ADHERE TO "KNOW YOUR CLIENT" DIRECTIVES/INSTRUCTIONS/GUIDELINES
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 21-DEC-2005 TO 20-MAR-2006
30-NOV-2005
|
|
| 1932 |
|
|
SWAN SECURITIES PVT.LTD.
(PAN:AAACS6741B)
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF AND SYNCHRONIZED TRADES IN VARIOUS SCRIPS
INDULEGD IN TRANSFER OF TRADES PUNCHED BY ONE CLIENT TO ANOTHER CLIENT BY CHANGING CLIENT CODE AT BACK OFFICE
DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSE A (5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992
INDULGED IN MIS-UTILIZATION OF CLIENT SECURITIES AND THIRD PARTY SHARES
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
DID NOT ISSUE CONTRACT NOTES IN SPECIFIED FORMAT
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-JAN-2014 TO 23-APR-2014
03-JAN-2014
|
|
| 1933 |
|
|
SWARAJ SECURITIES PVT.LTD.
(Member : COCSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-MAR-2010
08-MAR-2010
|
|
| 1934 |
|
|
SWARAN LAL AHUJA,M/S
(Member : COCSE)
|
|
|
|
SWARAN LAL AHUJA
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-MAR-2010
08-MAR-2010
|
|
| 1935 |
|
|
SWELL 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
|
| 1936 |
|
|
SYNERGY SECURITIES 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
|
| 1937 |
|
|
SYNERGY STOCK BROKING PVT.LTD.
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-MAR-2010
08-MAR-2010
|
|
| 1938 |
|
|
T.A.ANTONY,M/S
(Member : COCSE)
|
|
|
|
T.A.ANTONY
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-MAR-2010
08-MAR-2010
|
|
| 1939 |
|
|
T.CHINTHA DEVI,M/S
(Member : COCSE)
|
|
|
|
T.CHINTHA DEVI
|
|
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
|
|
| 1940 |
|
|
T.G.FINANCIAL CONSULTANTS PVT.LTD.
(Member : UPSE)
|
|
|
|
MADHU DUBEY
|
|
DID NOT HAVE PRE-PRINTED SERIAL NUMBERS ON CONTRACT NOTES
DID NOT RECORD TIME OF PLACEMENT OF ORDERS ON CONTRACT NOTES
DID NOT RECORD TIME OF EXECUTION OF ORDER ON CONTRACT NOTES
DID NOT COLLECT MARGINS FROM CLIENTS
DID NOT ENTER INTO AGREEMENT WITH CLIENTS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
TRANSFERRED SECURITIES WITHOUT OBTAINING WRITTEN CONSENT OF CLIENTS
DEFAULTED IN MAINTENANCE OF SAUDA BOOK
ALLEGED NON-COMPLIANCE OF REQUIREMENTS OF UNIQUE CLIENT CODE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 21-SEP-2006 TO 20-OCT-2006
31-AUG-2006
|
|
| 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 97 of 107
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