(SEBI) Public Notice to Stock Brokers
Total Page:16
File Type:pdf, Size:1020Kb
SECURITIES AND EXCHANGE BOARD OF INDIA (SEBI) Public Notice to Stock Brokers – Action for Default in Payment of Fees In terms of Regulation 27 (vii) of SEBI (Stock Brokers and Sub-brokers) Regulations, 1992 (‘the Regulations’), a stock broker is liable for any action as specified in the SEBI (Procedure for Holding Enquiry by Enquiry Officer and Impose Penalty) Regulations, 2002 (‘Enquiry Regulations) {read with SEBI (Intermediaries Regulations, 2008)} including suspension or cancellation of its certificate of registration as stock broker, if he fails to pay fee as per Schedule III of the Regulations. SEBI, vide its order dated August 02, 2005, had appointed Enquiry Officers under Enquiry Regulations, to conduct summary proceedings against certain stock brokers affiliated to various stock exchanges, for their alleged failure to pay registration fee to SEBI. It has been noted that the Enquiry Officers were unable to serve the show cause notice to the below mentioned stock brokers through the stock exchanges to which they were affiliated, as the notices were returned undelivered with remarks like ‘returned undelivered’, ‘whereabouts not known’, ‘left’ etc. Sr. Name of Broker SEBI Regn.No. Stock Outstanding Dues as No. Exchange on October 30, 2009 as per Schedule III of SEBI(Stock Brokers & Sub Brokers) Regulations, 1992 Principal Interest (Rs.) (Rs.) 1. Ajnee Finance Pvt. Ltd. INB010995031 BSE 30000 35480 Chandrakant S Desai (Erstwhile Broker) 187090 305392 2. Alpic Securities Ltd. INB010718537 BSE (-)12050 156144 3. Bharatendu Inv. & Fin. Serv. P Ltd INB010960839 BSE 69530 100006 4. Bhupendra Talakchand Mehta INB010433827 BSE 35000 47684 5. Dundee Securities Company Pvt. Ltd INB011095636 BSE 25000 19062 6. Indo Shares & Fintrade Ltd INB010722436 BSE 891269 2381569 7. Jagdish Panalal Gandhi INB010009714 BSE 40000 55845 8. Kamal Binani INB010560214 BSE 641189 1172501 9. Kirti Jethalal Shah INB010012711 BSE 554086 1990590 10. Mukesh Manshukhlal Kothari INB010015816 BSE 875900 1420309 11. N.H. Securities Pvt. Ltd INB010547636 BSE 1977350 3219735 12. P R Shah Share & Stock Broker INB010947538 BSE 3367530 5423083 P.R.Shah (Erstwhile Broker) 450395 735193 13. Radheshyam Chiranjilal Goenka INB010021419 BSE 792930 1284874 14. Raman V Dalal INB010023211 BSE 754620 1222340 15. Shah Suresh Damji INB010026619 BSE 344100 552236 Sr. Name of Broker SEBI Regn.No. Stock Outstanding Dues as No. Exchange on October 30, 2009 as per Schedule III of SEBI(Stock Brokers & Sub Brokers) Regulations, 1992 Principal Interest (Rs.) (Rs.) 16. Shailesh Harinarayan Bajaj INB010028617 BSE 1952504 3472069 17. Sharad Loknath Tibrewala INB010547226 BSE 38509 1514249 18. T. H. Vakil Shares & Securities Pvt. Ltd. INB011047538 BSE 282795 502975 19. Triumph Securities Ltd. INB010980535 BSE 0 501436 20. C.J. Bose INB 090621314 CoSE 35000 44084 21. Fancy Jacob INB 090293517 CoSE 20817 24532 22. Fazalul Haque A.S INB 090968512 CoSE 30000 35480 M.R. Karunakara Panikkar (Erstwhile INB090280510 -4807 0 broker) 23. George T Samuel INB 090725418 CoSE 30000 41926 Anita Dinesh (Erstwhile broker) INB090462527 19516 31857 24. Gulab Chand Kothari INB 090689012 CoSE 9489 6332 25. Jacob Mathew Kuruvnakunnel INB 090266211 CoSE 25624 28779 P Upendranath Mallia (Erstwhile broker) INB090276319 527 860 26. Job Chacko INB 090267817 CoSE 21491 25631 27. Jos Chakkunny Chungath INB 090273312 CoSE 20519 24046 28. K R Sivakumar INB 090273615 CoSE 20692 24328 29. Mukesh M Chandan INB090602313 CoSE 25000 28710 30. Praman Capital Market Services Ltd. INB090702331 CoSE 25000 27697 Jude M Cherian (Erstwhile broker) INB090689110 5000 8162 Rameshwar Singh (Erstwhile broker) INB090299913 20023 32684 31. Roche Kurian INB090295212 CoSE 30000 39522 32. Rosamma Thomas INB090297014 CoSE 25000 31360 33. Satish C T INB090287719 CoSE 20769 24454 34. Jyoti Chawla INB090620510 CoSE 15000 12403 Niti Shah (Erstwhile broker) INB090302117 10000 16323 35. S Ramachandran INB090521136 CoSE 30000 39522 36. Sajida B INB090689913 CoSE 35000 44084 37. P S Nair INB090521813 CoSE 35000 47684 38. Khyati Shares & Stock Brokers Ltd. INB090702439 CoSE 25000 27760 Ramesh N Rughani (Erstwhile broker) INB090618914 5000 8162 39. Thomas George INB090690119 CoSE 40000 52245 Koruthu V V (Erstwhile broker) INB090275212 5000 8162 40. Tony Joseph Xaviour INB090274516 CoSE 30155 39775 41. Varghese Devassy Pynadath INB091038316 CoSE 30000 31130 42. A.S. Merchant INB090300217 CoSE 30000 39522 43. Shreekumari Menon INB090520734 CoSE 30000 39522 44. Springfield Securities Ltd INB090786435 CoSE 25000 33764 P V V Raghu (Erstwhile broker) INB090702910 10000 16323 45. Swaran Lal Ahuja INB090688512 CoSE 20000 27760 Pradeep Ratanshi (Erstwhile broker) INB090284516 1 2 Sr. Name of Broker SEBI Regn.No. Stock Outstanding Dues as No. Exchange on October 30, 2009 as per Schedule III of SEBI(Stock Brokers & Sub Brokers) Regulations, 1992 Principal Interest (Rs.) (Rs.) 46. Swaraj Securities Pvt. Ltd INB091052630 CoSE 5000 1355 O P V Paulose (Erstwhile broker) INB090288718 (-) 8 0 47. T.A. Antony INB090286417 CoSE 11039 16733 48. T. Govindan Kutty Nair INB090690315 CoSE 35000 44084 B M Antony (Erstwhile broker) INB090302616 10000 16323 49. Thomas Chenan INB090679511 CoSE 0 6360 50. Suresh A INB090283713 CoSE 30000 39522 51. A K Stock Broking Services Pvt Ltd. INB030946535 CSE 1280840 2041614 Kunj Behari Tibrawalla (Erstwhile INB030059710 249180 406744 broker) 52. Ajit Kumar Jain INB030046713 CSE 591330 955797 53. Amal Chand Laha INB030052717 CSE 194865 308636 54. Anand Jhawar INB030049319 CSE 763600 1236998 55. Arun Kumar Tulsyan INB030491415 CSE 35000 47684 56. Ashok Kumar Rateria INB030077017 CSE 1771350 2881978 57. Bafna Securities Pvt. Ltd. INB030910933 CSE 696425 1038043 Hanuman Mal Bafna (Erstwhile broker) INB030035117 176310 287796 58. Bal Binod Bajoria INB030665117 CSE 566670 911944 59. Ballabh Das Dwarkani INB030513119 CSE 35000 47684 60. Bijay Kumar Daga INB030658212 CSE 31940 47250 61. Birendra Kumar Roy INB030447623 CSE 59100 87023 62. Chhagan Lal Binani INB030046116 CSE 446970 720154 63. Classic Share & Stock Broking Services INB030567339 CSE 89950 135878 Ltd. 64. D P Poddar INB030053217 CSE 431660 695163 65. Debi Dutt Ladia INB030035411 CSE 176470 278609 66. Excellent Stock Broking Services INB031017339 CSE 1077120 1724044 67. Gobindlall Bangur INB030514822 CSE 35000 47684 68. Goldy Securities Pvt. Ltd. INB031077234 CSE 5000 2188 Vickers Ballas Stock Broking India Pvt. INB030684430 (-)114888 (-)33575 Ltd. (Erstwhile broker) 69. Gopi Krishna Muskara INB030049015 CSE 276670 442168 70. Gouranga Mitra INB030930915 CSE 234000 372073 71. Hanuman Prasad Saraf INB030483912 CSE 35000 47684 72. Hari Ram Khandelwal INB030484519 CSE 35000 47684 73. Hari Ram Sharma INB030484813 CSE 35000 47684 74. Heera Chand Singhi INB030036615 CSE 150860 236805 75. Ishwari Prasad Poddar INB030920611 CSE 30000 39078 76. Jaikishan Daga INB030050719 CSE 311263 498636 77. Jamnadas L Sonpal INB030665411 CSE 35000 52245 78. Jatan Devi Nahata INB030795910 CSE 5000 20337 Sr. Name of Broker SEBI Regn.No. Stock Outstanding Dues as No. Exchange on October 30, 2009 as per Schedule III of SEBI(Stock Brokers & Sub Brokers) Regulations, 1992 Principal Interest (Rs.) (Rs.) 79. K L Rajgarhia INB030556116 CSE 30000 45181 80. Kamal Kumar Neogi INB030485910 CSE 35000 47684 81. Krishan Kumar Jalan INB030514519 CSE 339090 544058 82. M P Kanodia INB030054617 CSE 5000 1512 83. Mahadeo Agarwal INB030552012 CSE 60530 96017 84. Shyama Prasad Murarka INB030066615 CSE 2190420 3566038 85. Sree Gopal Nathany INB030489916 CSE 35000 47684 86. Suman K Trivedi INB030485215 CSE 35000 47684 87. Sunder Lal Gupta INB030076713 CSE 35000 47684 88. Sunil Kumar Sarkar INB030489113 CSE 35000 47684 89. Mahesh Prahladka INB030070112 CSE 294195 470775 90. Mahesh Chandra Kapur INB030058212 CSE 1346170 2187944 91. Manoj Kumar Jain INB030056811 CSE 241718 385115 92. Mohan Swaroop Chaturvedi INB030487213 CSE 35000 47684 93. Mukesh Babu INB031073019 CSE 30000 26626 Manick Chand Parakh (Erstwhile broker) INB030487918 25000 40808 94. Mukul Bhattacharjee INB030936018 CSE 592400 881455 95. Murari Lal Binnani INB030063716 CSE 253525 404388 96. Nand Kishore Poddar INB030510513 CSE 35000 47684 97. Nandlal Tantia INB030666018 CSE 35000 52245 98. Narendra M Patel INB030665910 CSE 35000 52245 99. Narsing Dass Bangur INB030515028 CSE 529300 854544 100. Nawal Kishore Kejriwal INB030512414 CSE 4000 13875 101. Om Prakash Tantia INB030667419 CSE 35000 52245 102. Paramount Stock & Share Broking Ser. INB030795233 CSE 30000 41926 Ltd. INB030487810 Purushottam Lal Dhanuka (Erstwhile 20000 32647 broker) 103. Pradeep Kumar Kapoor INB030079015 CSE 1259470 2046421 104. Pramod Kumar Goenka INB030883734 CSE 35000 50088 105. Prem Lal Roy INB030043618 CSE 52240 75825 106. Prithvinath Chaturvedi INB030051013 CSE 80985 125717 107. Prudential Stock Broking Serv. Ltd. INB030684332 CSE 1890010 3080231 108. Purushottam Das Jalan INB030060513 CSE 1238060 2011473 109. R Narasimhan INB030078418 CSE 332740 533693 110. Raj Kumar Shroff INB030707017 CSE 30000 44084 Rameshwar Lal Shroff (Erstwhile broker) INB030514216 15000 24485 111. Ram Ratan Sonihalia INB030666312 CSE 30000 44084 112. Ratan Prakash Gupta INB030074911 CSE 44710 63533 113. Sajan Kumar Nathany INB030487017 CSE 35000 47684 Sr. Name of Broker SEBI Regn.No. Stock Outstanding Dues as No. Exchange on October 30, 2009 as per Schedule III of SEBI(Stock Brokers & Sub Brokers) Regulations, 1992 Principal Interest (Rs.) (Rs.) 114. Sam Finvest Pvt. Ltd. INB031121636 CSE 45680 47346 Shankar Lal Dhanuka