| S.No. |
ENTITY |
PERSON |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 61 |
|
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
|
|
| 62 |
|
|
ANAND SHARES CONSULTANCY
|
|
|
|
RAMESH KUMAR THAKKAR
|
|
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
|
CANCELLED STOCK BROKER MEMBERSHIP
08-AUG-2019
|
|
| 63 |
|
|
ANDHRA BANK
|
|
|
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
|
CANCELLED STOCK BROKER MEMBERSHIP
25-MAR-2022
|
|
| 64 |
|
|
ANEMONE ENTERPRISES PVT.LTD.
|
|
|
NOT AVAILABLE
|
TRADING RIGHTS WITHDRAWN
26-MAR-2024
|
|
| 65 |
|
|
ANGEL BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,474
04-SEP-2020
|
|
| 66 |
|
|
ANGEL BROKING PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.6,54,754
30-JAN-2014
|
APPEAL DISMISSED AND IMPUGNED ARBITRATION AWARD CONFIRMED. PARTIES SHALL BE BEAR THEIR OWN COSTS
|
| 67 |
|
|
ANGEL BROKING PVT.LTD.
|
|
|
DID NOT PAY BROKERAGE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.31,542
29-JUN-2012
|
|
| 68 |
|
|
ANGEL BROKING PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.13,080
13-JUL-2012
|
|
| 69 |
|
|
ANGEL BROKING PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.78,430
15-FEB-2012
|
|
| 70 |
|
|
ANGEL BROKING PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,57,164
20-MAR-2012
|
|
| 71 |
|
|
ANGEL BROKING PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.9,000
27-MAR-2012
|
|
| 72 |
|
|
ANGEL BROKING PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.61,983
07-MAR-2014
|
|
| 73 |
|
|
ANGEL BROKING PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.70,434
13-APR-2009
|
|
| 74 |
|
|
ANGEL BROKING PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.71,000
18-FEB-2014
|
|
| 75 |
|
|
ANGEL BROKING PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.86,400
16-APR-2009
|
|
| 76 |
|
|
ANGEL BROKING PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.94,743
24-NOV-2017
|
|
| 77 |
|
|
ANIL R.GUDHKA
|
|
|
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
|
CANCELLED STOCK BROKER MEMBERSHIP
11-JAN-2021
|
BSE VIDE ITS NOTICE DATED 06/04/2022 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
|
| 78 |
|
|
ANIL R.GUDHKA,M/S
|
|
|
|
ANIL R.GUDHKA
|
|
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
|
CANCELLED STOCK BROKER MEMBERSHIP
11-JAN-2021
|
BSE VIDE ITS NOTICE DATED 06/04/2022 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
|
| 79 |
|
|
ANJYKO INVESTMENT PVT.LTD.
|
|
|
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
|
CANCELLED STOCK BROKER MEMBERSHIP
08-JAN-2020
|
BSE VIDE ITS NOTICE DATED 21/05/2021 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEB
|
| 80 |
|
|
ANMOL SHARE BROKING LTD.
|
|
|
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
|
CANCELLED STOCK BROKER MEMBERSHIP
04-MAY-2021
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 4 of 113 |
