| S.No. |
ENTITY |
PERSON |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
ALPINE FINCAP PVT.LTD.
|
|
|
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
|
CANCELLED STOCK BROKER MEMBERSHIP
16-OCT-2020
|
|
| 42 |
|
|
AMAR ALLIANCE SECURITIES PVT.LTD.
|
|
|
NOT AVAILABLE
|
TRADING RIGHTS WITHDRAWN
26-MAR-2024
|
|
| 43 |
|
|
AMAZON STOCK SERVICES PVT.LTD.
|
|
|
NOT AVAILABLE
|
TRADING RIGHTS WITHDRAWN
26-MAR-2024
|
|
| 44 |
|
|
AMBIT WEALTH PVT.LTD.
|
|
|
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
|
CANCELLED STOCK BROKER MEMBERSHIP
13-JUN-2024
|
BSE VIDE ITS NOTICE DATED 24/07/2024 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
|
| 45 |
|
|
AMI STOCK & SHARE BROKERS PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
11-JAN-2011
|
|
| 46 |
|
|
AMIT CAPITAL & SECURITIES PVT.LTD.
|
|
|
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
|
CANCELLED STOCK BROKER MEMBERSHIP
21-JUN-2023
|
BSE VIDE ITS NOTICE DATED 21/06/2023 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
|
| 47 |
|
|
AMODINI SECURITIES PVT.LTD.
|
|
|
NOT AVAILABLE
|
TRADING RIGHTS WITHDRAWN
26-MAR-2024
|
|
| 48 |
|
|
AMRAPALI AADYA TRADING & INVESTMENT PVT.LTD.
|
|
|
DID NOT ADHERE TO SEBI DIRECTIVES/INSTRUCTIONS/GUIDELINES AND PROVISIONS OF RULES, BYE LAWS AND REGULATION OF BSE
|
DECLARED DEFAULTER BY STOCK EXCHANGE FROM 11-OCT-2017
13-OCT-2017
|
|
| 49 |
|
|
ANAGRAM STOCK BROKING LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.3,43,419
19-NOV-2007
|
|
| 50 |
|
|
ANAGRAM STOCK BROKING LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,49,357
02-NOV-2010
|
|
| 51 |
|
|
ANAGRAM STOCK BROKING LTD.
|
|
|
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.34,782
29-JUL-2008
|
|
| 52 |
|
|
ANAND RATHI FINANCIAL SERVICES LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.7,347
31-MAR-2009
|
|
| 53 |
|
|
ANAND RATHI FINANCIAL SERVICES LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.6,500
06-OCT-2010
|
|
| 54 |
|
|
ANAND RATHI FINANCIAL SERVICES LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.10,75,284
14-MAY-2009
|
|
| 55 |
|
|
ANAND RATHI FINANCIAL SERVICES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,94,899
17-MAR-2010
|
|
| 56 |
|
|
ANAND RATHI FINANCIAL SERVICES LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
AWARD AMOUNT: RS.2,757
20-FEB-2010
|
|
| 57 |
|
|
ANAND RATHI SHARE & STOCK BROKERS LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
DIRECTED TO DELIVER SHARES
AWARD AMOUNT: RS.2,20,093
21-JUN-2012
|
|
| 58 |
|
|
ANAND RATHI SHARE & STOCK BROKERS LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.53,483
31-OCT-2011
|
|
| 59 |
|
|
ANAND RATHI SHARE & STOCK BROKERS LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.6,921
02-NOV-2011
|
|
| 60 |
|
|
ANAND RATHI SHARE & STOCK BROKERS LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.3,507
02-NOV-2011
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 3 of 113 |
