| S.No. |
Name of the Intermediaries |
Action Taken |
|
Merchant Banker Category I |
|
|
1
|
Efcon Securities Ltd. |
Cancellation of registration |
|
2
|
Exx-on Financial Services Ltd. |
Cancellation of registration |
|
3
|
Global Portfolio Services Ltd. |
Cancellation of registration |
|
4
|
Mudra Ispat Ltd. |
Cancellation of registration |
|
5
|
Orient Fincorp Ltd. |
Cancellation of registration |
|
6
|
Pamvi Finance Ltd. |
Cancellation of registration |
|
7
|
Raunaq Finance Ltd. |
Cancellation of registration |
|
8
|
Sanmac Motor Finance Ltd. |
Cancellation of registration |
|
9
|
Ushakiran Finance Ltd. |
Cancellation of registration |
|
10
|
Windsor Capital Markets Ltd. |
Cancellation of registration |
|
11
|
CIL Securities Limited |
Warning |
|
12
|
Kerala State Indl Dev Corp. |
Warning |
|
12
|
Merbanc Financial Services Ltd |
Warning |
|
14
|
Lazard Credit Capital Limited |
Warning |
|
15
|
Dharani Finance |
Warning |
|
16
|
Punjab Financial Corporation |
Warning |
|
17
|
Delhi Financial Corporation |
Warning |
|
18
|
Om Sindhoori Capital |
Warning |
|
19
|
Keynote Corporate Services Ltd. |
Warning |
|
20
|
Madhusudan Leasing Ltd. |
Warning |
|
21
|
Mideast Portfolio Management Ser Ltd. |
Warning |
|
22
|
Gujrat State Investment Limited |
Warning |
|
23
|
SIDBI |
Warning |
|
24
|
Integrated Advisory Services Ltd, |
Warning |
|
25
|
First Financial Services Limited |
Suspended |
|
26
|
Hindustan Stockland Limited |
Suspended |
|
27
|
Marg Securities Limited |
Suspended |
|
28
|
Bhagwandas Gordhandas Financial Pvt. Ltd. |
Suspended |
|
29
|
CRB Capital Markets Ltd. |
Prohibitive Action |
|
30
|
Global Finance Corporation Ltd. |
Prohibitive Action |
|
Brokers |
|
|
31
|
S.V. Vakharia |
Suspended |
|
32
|
S. Bhaskaran |
Reg. Cancelled |
|
33
|
Maria Louis Arulraj |
Reg. Cancelled |
|
34
|
C.I. Gandhi |
Suspended |
|
35
|
Pramod Gupta |
Suspended |
|
36
|
Sareen & Co |
Suspended |
|
37
|
Yash Pal Mendiratta |
Suspended |
|
38
|
Arvind K. Jain |
Suspended |
|
39
|
Shaloo Gupta |
Suspended |
|
40
|
Raj Kishore Gupta |
Suspended |
|
41
|
Siya Sharan Singhal |
Suspended |
|
42
|
Ajay R Vakharia |
Suspended |
|
43
|
S I Agarwal |
Suspended |
|
44
|
Ajay R Vakharia |
Suspended |
|
45
|
Libra management Services Limited |
Suspended |
|
46
|
Vipul Securities Limited |
Suspended |
|
47
|
Hoffland Finance Limited |
Suspended |
|
48
|
Hofflane Share Shoppe Limited |
Suspended |
|
49
|
Rajesh Kasat |
Suspended |
|
50
|
Jitendra Wagh |
Suspended |
|
51
|
Vardi Rathod |
Suspended |
|
52
|
Paresh Mehta |
Suspended |
|
53
|
Prabhod Arthawardhini |
Suspended |
|
54
|
Kunal Securities Private Limited |
Suspended |
|
55
|
Rachana Consultant |
Suspended |
|
56
|
S T Shah |
Suspended |
|
57
|
Clever Investment |
Suspended |
|
58
|
Rajesh Parikh |
Suspended |
|
59
|
Mayfair Investment and Consultancy Services |
Suspended |
|
60
|
RBM Investment |
Suspended |
|
61
|
Elite Securities |
Suspended |
|
62
|
Bindu Patni |
Suspended |
|
63
|
Janvi Securities |
Suspended |
|
64
|
Pratik Investment |
Suspended |
|
65
|
H A Shah |
Suspended |
|
66
|
Ramesh Biyani |
Suspended |
|
67
|
Ashok Poddar |
Suspended |
|
68
|
Vinod Kumar Kandoi |
Suspended |
|
69
|
Prudential Stock Broking Services Limited |
Suspended |
|
70
|
Sonthalia & Co. |
Suspended |
|
71
|
Loknath Saraf |
Suspended |
|
72
|
Subhash & Co. |
Suspended |
|
73
|
S D Jhaveri |
Suspended |
|
74
|
S D Jhaveri |
Suspended |
|
75
|
Laxmi & Co. |
Suspended |
|
76
|
Mohini & Co. |
Suspended |
|
77
|
R K Damani |
Suspended |
|
78
|
Mangal Jain |
Registration Cancelled |
|
Individuals |
|
|
79
|
Mahendra Shah |
Prohibitive Action taken |
|
80
|
Dr. Rakesh Shah |
Prohibitive Action taken |
|
81
|
Bhartiben Shah |
Prohibitive Action taken |
|
82
|
Dr. Subodh Chandra Bhagat |
Prohibitive Action taken |
|
83
|
Rashmikant B Shah |
Prohibitive Action taken |
|
84
|
Amar N Joshi |
Prohibitive Action taken |
|
85
|
Madhav S Madivale |
Prohibitive Action taken |
|
86
|
Deepak M Kataria |
Prohibitive Action taken |
|
87
|
Harkrishnadas R Sharma |
Prohibitive Action taken |
|
88
|
Praful R Ranadive |
Prohibitive Action taken |
|
89
|
Ila A Agarwal |
Prohibitive Action taken |
|
90
|
Baldeao R Khurana |
Prohibitive Action taken |
|
91
|
Praful R Bhansali |
Prohibitive Action taken |
|
92
|
K R Maithil |
Prohibitive Action taken |
|
93
|
N K Maithil |
Prohibitive Action taken |
|
94
|
SS Sokhi |
Prohibitive Action taken |
|
95
|
C S Shetty |
Prohibitive Action taken |
|
96
|
Swadesh Bhardwaja |
Prohibitive Action taken |
|
97
|
P C Soni |
Prohibitive Action taken |
|
98
|
P K Jain |
Prohibitive Action taken |
|
99
|
R K Navendar |
Prohibitive Action taken |
|
100
|
K S V Raaman |
Prohibitive Action taken |
|
101
|
Srinivasan |
Prohibitive Action taken |
|
102
|
A K Sharma |
Prohibitive Action taken |
|
103
|
O P Tushir |
Prohibitive Action taken |
|
104
|
R S Hooda |
Prohibitive Action taken |
|
105
|
V Shanker |
Prohibitive Action taken |
|
106
|
Dipesh P Seth |
Prohibitive Action taken |
|
107
|
H C Chugh |
Prohibitive Action taken |
|
108
|
Naresh Chatly |
Prohibitive Action taken |
|
109
|
W R Chatly |
Prohibitive Action taken |
|
110
|
Deepak Relan |
Prohibitive Action taken |
|
111
|
Umesh Munjal |
Prohibitive Action taken |
|
112
|
Pushpa Devi |
Prohibitive Action taken |
|
113
|
Samita Chatly |
Prohibitive Action taken |
|
114
|
G Vittal |
Prohibitive Action taken |
|
115
|
K Thipperswamy |
Prohibitive Action taken |
|
116
|
G Vijaya Laxmi |
Prohibitive Action taken |
|
117
|
R R Kumar |
Prohibitive Action taken |
|
118
|
B N Jaishima |
Prohibitive Action taken |
|
119
|
Dinesh Kumar Agarwal |
Prohibitive Action taken |
|
120
|
Ripjit Singh Brar |
Prohibitive Action taken |
|
121
|
M S Jagannathan |
Prohibitive Action taken |
|
122
|
Harpeet Sandhu |
Prohibitive Action taken |
|
123
|
Gurpreet Kaur Dhillon |
Prohibitive Action taken |
|
124
|
Harmal Singh |
Prohibitive Action taken |
|
125
|
Sukhdev Singh Dhillon |
Prohibitive Action taken |
|
Others |
|
|
126
|
Hoffland Finance Ltd. |
Regn. Cancelled |
|
127
|
CRB Custodian Services Ltd. (Debenture Trustee) |
Prohibitive Action taken |
|
128
|
CRB Custodian Services Ltd. (RTI/STA) |
Prohibitive Action taken |
|
129
|
Rich Paints Ltd. and its Directors |
Issue proceeds refunded |
|
130
|
Okara Agro Industries Ltd. |
Company asked not to file fresh documents for six months |
|
131
|
Highway Users Centre (India) Ltd. |
Issues withdrawn |
|
132
|
Caldyn Aircon Ltd. |
Refund of applilcation monies |
|
133
|
JVG Finance Ltd. |
Refund of subscription money |
|
134
|
Pushya Developers Ltd. |
Refund of applilcation monies |
|
135
|
Revati Fiscal Services Ltd. |
Refund of applilcation monies |
|
136
|
United Western Bank Ltd. |
Suspended |
|
137
|
Punjab National Bank |
Suspended MI Road, Jaipur Branch |
|
138
|
CRB Custodian Services Ltd. |
U/s 11 (B) of the SEBI Act |
|
139
|
CRB Share Custodian Services Ltd. |
U/s 11 (B) of the SEBI Act |
|
140
|
Global Finance Corporation |
U/s 11 (B) of the SEBI Act |
|
141
|
Ruchi Infrstructure |
Suspension Activities |
|
142
|
Sofr Track Technology Exports Ltd. |
Suspension Activities |
|
143
|
Sanz Financial Services Limited |
Issue Proceed refunded |
|
144
|
Rich Paints Limited |
Issue Proceed refunded |
|
145
|
Boom Secusrities Limited |
Issue Proceed refunded |