| S.No. |
ENTITY |
PERSON |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 101 |
|
ASHIKA STOCK BROKING LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,18,626
08-FEB-2010
|
|
| 102 |
|
|
ASHUTOSH KUMAR AGRAWAL
|
|
|
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
|
CANCELLED STOCK BROKER MEMBERSHIP
28-JUL-2021
|
BSE VIDE ITS NOTICE DATED 08/08/2022 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
|
| 103 |
|
|
ASIT C.MEHTA INVESTMENT INTERMEDIATES LTD.
|
|
|
NOT AVAILABLE
|
IMPOSED PENALTY Rs.6,57,000
26-JUL-2021
|
SAT: SAT VIDE ITS ORDER DATED 26/07/2021 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 30/04/2021. DIRECTED RESPONDENT TO ISSUE SHOW CAUSE NOTICE AND PROCEED FROM THERE ONWARDS IN ACCORDANCE WITH LAW
|
| 104 |
|
|
ASL CAPITAL HOLDINGS PVT.LTD.
|
|
|
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
|
CANCELLED STOCK BROKER MEMBERSHIP
26-JUL-2024
|
BSE VIDE ITS NOTICE DATED 26/07/2024 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
|
| 105 |
|
|
ASMAH SHARES & STOCK BROKERS PVT.LTD.
|
|
|
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
|
CANCELLED STOCK BROKER MEMBERSHIP
16-JUN-2017
|
|
| 106 |
|
|
ASMAH SHARES & STOCK BROKERS PVT.LTD.
|
|
|
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
|
CANCELLED STOCK BROKER MEMBERSHIP
22-DEC-2016
|
|
| 107 |
|
|
ASSET ALLIANCE SECURITIES PVT.LTD.
|
|
|
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
|
CANCELLED STOCK BROKER MEMBERSHIP
11-DEC-2024
|
BSE VIDE ITS NOTICE DATED 20/01/2025 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
|
| 108 |
|
|
ASTHVINAYAK STOCK BROKING PVT.LTD.
|
|
|
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
|
CANCELLED STOCK BROKER MEMBERSHIP
21-SEP-2020
|
|
| 109 |
|
|
ASTITVA CAPITAL MARKET PVT.LTD.
|
|
|
DID NOT ADHERE TO THE REGULATORY PROVISIONS OF THE STOCK EXCHANGE
|
DEACTIVATE TRADING TERMINALS FROM 09-JUN-2020
09-JUN-2020
|
BSE VIDE ITS NOTICE DATED 06/08/2020 REACTIVATED TRADING TERMINALS IN ALL SEGMENTS OF EXCHANGE WITH IMMEDIATE EFFECT
|
| 110 |
|
|
ASTITVA CAPITAL MARKET PVT.LTD.
|
|
|
DECLARED DEFAULTER AND/OR EXPELLED BY OTHER STOCK EXCHANGE
|
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 23-MAY-2025
23-MAY-2025
|
|
| 111 |
|
|
ASTUTE INVESTMENT MANAGEMENT PVT.LTD.
|
|
|
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
|
CANCELLED STOCK BROKER MEMBERSHIP
18-DEC-2023
|
BSE VIDE ITS NOTICE DATED 07/02/2024 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
|
| 112 |
|
|
ATLAS INTEGRATED FINANCE LTD.
|
|
|
DID NOT ADHERE TO SEBI DIRECTIVES/INSTRUCTIONS/GUIDELINES AND PROVISIONS OF RULES, BYE LAWS AND REGULATION OF BSE
|
CANCELLED STOCK BROKER MEMBERSHIP
10-JAN-2023
|
BSE VIDE ITS NOTICE DATED 20/03/2023 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
|
| 113 |
|
|
AUTUS SECURITIES PVT.LTD.
|
|
|
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
|
CANCELLED STOCK BROKER MEMBERSHIP
26-MAR-2024
|
BSE VIDE ITS NOTICE DATED 26/03/2024 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
|
| 114 |
|
|
AVANCE INDICES PVT.LTD.
|
|
|
NOT AVAILABLE
|
TRADING RIGHTS WITHDRAWN
26-MAR-2024
|
|
| 115 |
|
|
AVIS TIE-UP PVT.LTD.
|
|
|
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
|
CANCELLED STOCK BROKER MEMBERSHIP
11-JUN-2024
|
BSE VIDE ITS NOTICE DATED 30/07/2024 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
|
| 116 |
|
|
AXIS SECURITIES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
28-MAR-2017
|
DIRECTED TO REVERSE THE DEBIT OF RS.3,71,805.00 ON ACCOUNT OF PURCHASE PRICE OF SHARES OF SBL
|
| 117 |
|
|
B.LODHA SECURITIES LTD.
|
|
|
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
|
CANCELLED STOCK BROKER MEMBERSHIP
26-APR-2024
|
BSE VIDE ITS NOTICE DATED 26/04/2024 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
|
| 118 |
|
|
BAKSHU SECURITIES & BROKER PVT.LTD.
|
|
|
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
|
CANCELLED STOCK BROKER MEMBERSHIP
03-MAY-2023
|
BSE VIDE ITS NOTICE DATED 18/09/2023 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
|
| 119 |
|
|
BALANCE EQUITY BROKING (INDIA) 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 31-OCT-2023
31-OCT-2023
|
|
| 120 |
|
|
BALANCE EQUITY BROKING (INDIA) PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,15,465
16-MAR-2009
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 6 of 113 |
