| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1961 |
|
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
|
|
| 1962 |
|
|
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
|
|
| 1963 |
|
|
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
|
|
| 1964 |
|
|
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
|
|
| 1965 |
|
|
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
|
|
| 1966 |
|
|
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
|
|
| 1967 |
|
|
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
|
|
| 1968 |
|
|
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
|
|
| 1969 |
|
|
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
|
|
| 1970 |
|
|
TINNA CAPITAL SERVICES LTD.
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-MAR-2010
08-MAR-2010
|
|
| 1971 |
|
|
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
|
|
| 1972 |
|
|
TITAN STOCK BROKING PVT.LTD.
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRADES/MATCHING ORDERS IN SCRIP OF DSQ INDUSTRIES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 05-MAR-2007 TO 04-SEP-2007
12-FEB-2007
|
|
| 1973 |
|
|
TJ STOCK BROKING SERVICES PVT.LTD.
(Member : BSE)
|
|
|
MANIPULATION IN SCRIP OF AMARA RAJA BATTERIES LIMITED DURING THE PERIOD AUGUST 2000 TO MARCH 2001
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-JUN-2002 TO 26-JUL-2002
14-JUN-2002
|
SAT: APPEAL DISMISSED
|
| 1974 |
|
|
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
|
|
| 1975 |
|
|
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
|
|
| 1976 |
|
|
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
|
| 1977 |
|
|
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
|
|
| 1978 |
|
|
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
|
| 1979 |
|
|
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
|
| 1980 |
|
|
TRIMITI INVESTMENTS & FINANCIAL SERVICES PVT.LTD.
(Member : PSE)
|
|
|
DEFAULTED IN MAINTENANCE OF BOOKS/DOCUMENTS
DEALT WITH UN-REGISTERED SUB-BROKERS
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
INDULGED IN UNAUTHORISED FUND-BASED ACTIVITIES
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 13-AUG-1999 TO 12-OCT-1999
06-AUG-1999
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 99 of 107
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