| S.No. |
ENTITY |
PERSON |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ACTION FINANCIAL SERVICES (INDIA) LTD.
|
|
|
DECLARED DEFAULTER AND/OR EXPELLED BY OTHER STOCK EXCHANGE
|
DECLARED DEFAULTER BY STOCK EXCHANGE FROM 22-JAN-2021
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 22-JAN-2021
22-JAN-2021
|
|
| 2 |
|
|
ALLIED FINANCIAL SERVICES 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 04-NOV-2019
06-NOV-2019
|
|
| 3 |
|
|
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
|
|
| 4 |
|
|
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
|
|
| 5 |
|
|
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
|
|
| 6 |
|
|
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
|
|
| 7 |
|
|
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
|
|
| 8 |
|
|
BEZEL STOCKBROKERS PVT.LTD.
|
|
|
DECLARED DEFAULTER AND/OR EXPELLED BY OTHER STOCK EXCHANGE
|
DECLARED DEFAULTER BY STOCK EXCHANGE FROM 24-MAR-2021
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 24-MAR-2021
25-MAR-2021
|
|
| 9 |
|
|
BMA WEALTH CREATORS LTD.
|
|
|
EXPELLED FROM MEMBERSHIP
|
DECLARED DEFAULTER BY STOCK EXCHANGE
17-FEB-2020
|
|
| 10 |
|
|
C.M.GOENKA STOCK BROKERS PVT.LTD.
|
|
|
DECLARED DEFAULTER AND/OR EXPELLED BY OTHER STOCK EXCHANGE
|
DECLARED DEFAULTER BY STOCK EXCHANGE FROM 15-FEB-2022
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 15-FEB-2022
15-FEB-2022
|
|
| 11 |
|
|
CPR CAPITAL SERVICES 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 05-NOV-2019
06-NOV-2019
|
|
| 12 |
|
|
DESTINY SECURITIES LTD.
|
|
|
DECLARED DEFAULTER AND/OR EXPELLED BY OTHER STOCK EXCHANGE
|
DECLARED DEFAULTER BY STOCK EXCHANGE FROM 14-JUL-2021
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 14-JUL-2021
14-JUL-2021
|
|
| 13 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT IMPLEMENT CLAIM VALUES DECIDED IN IGRC
|
DECLARED DEFAULTER BY STOCK EXCHANGE FROM 31-DEC-2015
01-JAN-2016
|
|
| 14 |
|
|
F6 FINSERVE PVT.LTD.
|
|
|
DID NOT DEPOSIT ADMISSIBLE CLAIM AMOUNT DECIDED IN IGRC
DID NOT REPLY TO THE FORWARDED COMPLAINTS
DID NOT REPLY TO THE SHOW CAUSE NOTICE
|
DECLARED DEFAULTER BY STOCK EXCHANGE FROM 03-APR-2018
03-APR-2018
|
|
| 15 |
|
|
FAIRWEALTH SECURITIES 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 14-JAN-2020
16-JAN-2020
|
|
| 16 |
|
|
GROVALUE SECURITIES 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 30-APR-2020
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 30-APR-2020
04-MAY-2020
|
|
| 17 |
|
|
KARVY STOCK BROKING 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 24-NOV-2020
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 24-NOV-2020
24-NOV-2020
|
|
| 18 |
|
|
KAYNET CAPITAL LTD.
|
|
|
FAILED TO REDRESS INVESTOR'S COMPLAINTS
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-JUL-2020
31-JUL-2020
|
|
| 19 |
|
|
KSBL SECURITIES LTD.
|
|
|
DID NOT ADHERE TO SEBI DIRECTIVES/INSTRUCTIONS/GUIDELINES AND PROVISIONS OF RULES, BYE LAWS AND REGULATION OF BSE
|
DECLARED DEFAULTER BY STOCK EXCHANGE
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE
03-MAR-2020
|
|
| 20 |
|
|
MAXGROWTH CAPITAL 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 23-OCT-2024
23-OCT-2024
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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