| S.No. |
ENTITY |
PERSON |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
ANUGRAH STOCK & BROKING PVT.LTD.
|
|
|
DID NOT ADHERE TO SEBI DIRECTIVES/INSTRUCTIONS/GUIDELINES AND PROVISIONS OF RULES, BYE LAWS AND REGULATION OF BSE
|
DEACTIVATE TRADING TERMINALS FROM 03-AUG-2020
03-AUG-2020
|
BSE VIDE ITS NOTICE DATED 18/08/2020 RESTORED TRADING RIGHTS AND REACTIVATED TRADING TERMINALS IN ALL SEGMENTS OF EXCHANGE WITH EFFECT FROM 18/08/2020
BSE VIDE ITS NOTICE DATED 04/09/2020 WITHDREW TRADING RIGHTS AND ALSO DEACTIVATED TRADING TERMINALS IN ALL OTHER SEGMENTS W.E.F 04/09/2020 (REFER ORDER DATED 01/09/2020)
|
| 82 |
|
|
ANUGRAH STOCK & BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.93,825
09-DEC-2016
|
BSE VIDE ITS AWARD DATED 11/04/2017 CONFIRMEND ITS AWARD DATED 09/12/2016
|
| 83 |
|
|
ANUGRAH STOCK & BROKING 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 26-NOV-2020
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 26-NOV-2020
04-DEC-2020
|
|
| 84 |
|
|
ANUGRAH STOCK & BROKING PVT.LTD.
|
|
|
VIOLATED CHAPTER V OF SEBI (INTERMEDIARIES) REGULATIONS, 2008
VIOLATED REGULATION 27 OF SEBI (STOCK BROKERS) REGULATIONSN,1992
|
PROHIBITED AND/OR SUSPENDED FOR TRADING FROM 14-NOV-2020
14-NOV-2020
|
|
| 85 |
|
|
ANUGRAH STOCK & BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT RESOLVE INVESTOR'S PROBLEM
|
CLAIM ADMITTED
DIRECTED TO TRANSFER SHARES
AWARD AMOUNT: RS.80,766
26-MAY-2011
|
|
| 86 |
|
|
ANUPAM STOCK BROKING PVT.LTD.
|
|
|
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
|
CANCELLED STOCK BROKER MEMBERSHIP
11-JAN-2021
|
BSE VIDE ITS NOTICE DATED 24/05/2021 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
|
| 87 |
|
|
APEX STOCK BROKERS PVT.LTD.
|
|
|
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
|
CANCELLED STOCK BROKER MEMBERSHIP
13-JUN-2023
|
BSE VIDE ITS NOTICE DATED 03/11/2023 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
|
| 88 |
|
|
APOLLO SINDOORI CAPITAL INVESTMENTS LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,80,725
19-NOV-2009
|
|
| 89 |
|
|
ARCADIA SHARE & STOCK BROKERS PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
21-DEC-2010
|
|
| 90 |
|
|
ARCADIA SHARE & STOCK BROKERS PVT.LTD.
|
|
|
DECLARED DEFAULTER AND/OR EXPELLED BY OTHER STOCK EXCHANGE
|
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 04-JUL-2021
DECLARED DEFAULTER BY STOCK EXCHANGE FROM 04-JUL-2021
04-JUL-2021
|
|
| 91 |
|
|
ARCADIA SHARE & STOCK BROKERS PVT.LTD.
|
|
|
NOT AVAILABLE
|
TRADING RIGHTS WITHDRAWN FROM 08-FEB-2021
DEACTIVATE TRADING TERMINALS FROM 08-FEB-2021
08-FEB-2021
|
|
| 92 |
|
|
ARCADIA SHARE & STOCK BROKERS PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
14-JUN-2019
|
|
| 93 |
|
|
ARIHANT CAPITAL MARKETS LTD.
|
|
|
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.69,571
26-NOV-2007
|
|
| 94 |
|
|
ARTHA VRDDHI SECURITIES LTD.
|
|
|
DECLARED DEFAULTER AND/OR EXPELLED BY OTHER STOCK EXCHANGE
|
DECLARED DEFAULTER BY STOCK EXCHANGE FROM 26-NOV-2024
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 26-NOV-2024
27-NOV-2024
|
|
| 95 |
|
|
ARTHA VRDDHI SECURITIES LTD.
|
|
|
DID NOT ADHERE TO THE REGULATORY PROVISIONS OF THE STOCK EXCHANGE
|
DEACTIVATE TRADING TERMINALS FROM 30-JUN-2020
30-JUN-2020
|
BSE VIDE ITS CIRCULAR DATED 16/07/2020 PURSUANT TO NSE CIRCULAR DATED 16/07/2020 RESTORED TRADING RIGHTS IN ALL SEGMENTS WITH EFFECT FROM 16/07/2020 AND ALSO REACTIVATED TRADING TERMINALS IN ALL SEGMENTS WITH IMMEDIATE EFFECT
BSE VIDE ITS NOTICE DATED 04/09/2020 WITHDREW TRADING RIGHTS AND ALSO DEACTIVATED TRADING TERMINALS IN ALL OTHER SEGMENTS W.E.F 04/09/2020 (REFER ORDER DATED 01/09/2020)
|
| 96 |
|
|
ARTHAM CAPITALS PVT.LTD.
|
|
|
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
|
CANCELLED STOCK BROKER MEMBERSHIP
08-MAY-2017
|
|
| 97 |
|
|
ARTISTIC FINANCE PVT.LTD.
|
|
|
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
|
CANCELLED STOCK BROKER MEMBERSHIP
30-APR-2019
|
|
| 98 |
|
|
ARYAN SHARE & STOCK BROKERS LTD.
|
|
|
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
|
CANCELLED STOCK BROKER MEMBERSHIP
21-NOV-2022
|
BSE VIDE ITS CIRCULAR DATED 27/03/2023 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
|
| 99 |
|
|
ARYAV SECURITIES PVT.LTD.
|
|
|
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
|
CANCELLED STOCK BROKER MEMBERSHIP
25-AUG-2021
|
BSE VIDE ITS NOTICE DATED 14/01/2022 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
|
| 100 |
|
|
ASHIKA STOCK BROKING LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,18,626
08-FEB-2010
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 5 of 113 |
