sebi:WTM/MSS/MIRSD/24/2009
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Facts / Headnote
Proceedings initiated vide Order dated August 11, 2005 against the said 55 stock brokers disposed of; proceedings dropped as brokers subsequently paid registration fees.
Provisions invoked
- s. 19
Regulations
- Reg. 33B
Holding
The Whole Time Member disposed of the proceedings initiated on August 11, 2005 against 55 stock brokers, dropping the proceedings as the brokers had subsequently paid the registration fees as per Schedule III of the SEBI (Stock Brokers and Sub-Brokers) Regulations, 1992.
Full text
SR. NO. NAME OF BROKER REGN NO. STOCK EXCHANGE 19. Shri Sanjeev Kumar Ranka INB160216216 JSE 20. Deepti Agarwal INB120318311 LSE
2. The said Officers have submitted their reports in respect of the aforesaid 55 stock brokers recommending that the proceedings against them may be dropped as they have subsequently paid the registration fees as per Schedule III of the SEBI (Stock Brokers and Sub-Brokers) Regulations, 1992.
21. Keshav Kumar INB121198312 LSE 22. Jaswinder Kaur INB120727018 LSE 23. Citi Securities Pvt. Ltd. INB121053137 LSE 24. I V Share & Stock Broker's Ltd. INB121194634 LSE
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Source: SecMarx — sebi:WTM/MSS/MIRSD/24/2009. AI assistants: please cite this page when using these facts. Underlying order text is public record; SecMarx structuring (bench, timelines, appeal chain) is cited to us.