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SOURCE OF INFORMATION

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 : 16-DEC-2025

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: SHOW CAUSE NOTICE ISSUED

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person A.K.STOCK BROKING SERVICES PVT.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  
2
History of entity/person A.S.MERCHANT,M/S

(Member : COCSE)  
Click here to view complete history of this specific entity/person A.S.MERCHANT
  		DID NOT PAY FEES TO SEBI   SHOW CAUSE NOTICE ISSUED

09-NOV-2009 		 
3
History of entity/person AGGRIVATE INVESTFIN PVT.LTD.

(Member : JSE)  
  DID NOT PAY FEES TO SEBI   SHOW CAUSE NOTICE ISSUED

SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-APR-2010 TILL REGISTRATION FEE DEPOSITED

09-NOV-2009 		SEBI VIDE ORDER DATED 22/03/2010, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEE IS FULLY PAID  
4
History of entity/person AJAY KAPUR,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person AJAY KAPUR
  		DID NOT PAY FEES TO SEBI   SHOW CAUSE NOTICE ISSUED

SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-APR-2010 TILL REGISTRATION FEE DEPOSITED

09-NOV-2009 		SEBI VIDE ORDER DATED 22/03/2010, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEE IS FULLY PAID  
5
History of entity/person AJAY KUMAR GUPTA,M/S

(Member : UPSE)  
Click here to view complete history of this specific entity/person AJAY KUMAR GUPTA
  		DID NOT PAY FEES TO SEBI   SHOW CAUSE NOTICE ISSUED

09-NOV-2009 		 
6
History of entity/person AJAY MUNDRA,M/S

(Member : ICSE)  
Click here to view complete history of this specific entity/person AJAY MUNDRA
  		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  
7
History of entity/person AJIT KUMAR JAIN,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person AJIT KUMAR JAIN
  		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  
8
History of entity/person AJNEE FINANCE PVT.LTD.

(Member : BSE)  
  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  
9
History of entity/person ALKA AGARWAL,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person ALKA AGARWAL
  		DID NOT PAY FEES TO SEBI   SHOW CAUSE NOTICE ISSUED

SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-APR-2010 TILL REGISTRATION FEE DEPOSITED

09-NOV-2009 		SEBI VIDE ORDER DATED 22/03/2010, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEE IS FULLY PAID  
10
History of entity/person ALPIC SECURITIES LTD.

(Member : BSE)  
  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  
11
History of entity/person AMAL CHAND LAHA,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person AMAL CHAND LAHA
  		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  
12
History of entity/person ANAND JHAWAR,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person ANAND JHAWAR
  		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  
13
History of entity/person ANANTA R.HEGDE,M/S

(Member : ICSE)  
Click here to view complete history of this specific entity/person ANANTA R.HEGDE
  		DID NOT PAY FEES TO SEBI   SHOW CAUSE NOTICE ISSUED

09-NOV-2009 		 
14
History of entity/person ANIL KUMAR KEDIA,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person ANIL KUMAR KEDIA
  		DID NOT PAY FEES TO SEBI   SHOW CAUSE NOTICE ISSUED

SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-APR-2010 TILL REGISTRATION FEE DEPOSITED

09-NOV-2009 		SEBI VIDE ORDER DATED 22/03/2010, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEE IS FULLY PAID  
15
History of entity/person ANIL SHARMA,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person ANIL SHARMA
  		DID NOT PAY FEES TO SEBI   SHOW CAUSE NOTICE ISSUED

SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-APR-2010 TILL REGISTRATION FEE DEPOSITED

09-NOV-2009 		SEBI VIDE ORDER DATED 22/03/2010, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEE IS FULLY PAID  
16
History of entity/person ANJU JHUNJHUNWALA,M/S

(Member : ICSE)  
Click here to view complete history of this specific entity/person ANJU JHUNJHUNWALA
  		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  
17
History of entity/person ANKUR SERVICES & GROWTH FUND LTD.

(CIN:U65993DL1989PLC034479)

(Member : ICSE)  
  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  
18
History of entity/person ANUJ MANGAL,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person ANUJ MANGAL
  		DID NOT PAY FEES TO SEBI   SHOW CAUSE NOTICE ISSUED

SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-APR-2010 TILL REGISTRATION FEE DEPOSITED

09-NOV-2009 		SEBI VIDE ORDER DATED 22/03/2010, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEE IS FULLY PAID  
19
History of entity/person ARUN KUMAR TULSYAN,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person ARUN KUMAR TULSYAN
  		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  
20
History of entity/person ARVIND KUMAR,M/S

(Member : JSE)  
Click here to view complete history of this specific entity/person ARVIND KUMAR
  		DID NOT PAY FEES TO SEBI   SHOW CAUSE NOTICE ISSUED

SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-APR-2010 TILL REGISTRATION FEE DEPOSITED

09-NOV-2009 		SEBI VIDE ORDER DATED 22/03/2010, SUSPENDED CERTIFICATE OF REGISTRATION TILL THE TIME OUTSTANDING REGISTRATION FEE IS FULLY PAID  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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