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SOURCE OF INFORMATION : INTER-CONNECTED STOCK EXCHANGE LISTS
PERIOD COVERED : 17-APR-2004 TO 31-MAR-2025

STOCK BROKERS: FAILED TO MAINTAIN THE REQUIRED BASE MINIMUM CAPITAL (BMC) WITH THE EXCHANGE

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
21
History of entity/person N.K.GUPTA & CO.  
History of entity/person N.K.GUPTA
  		FAILED TO MAINTAIN THE REQUIRED BASE MINIMUM CAPITAL (BMC) WITH THE EXCHANGE   DECLARED DEFAULTER BY STOCK EXCHANGE

07-DEC-2006 		 
22
History of entity/person NETWORK STOCKVEST PVT.LTD.  
History of entity/person ARTI GUPTA

History of entity/person SALESH GUPTA
  		FAILED TO MAINTAIN THE REQUIRED BASE MINIMUM CAPITAL (BMC) WITH THE EXCHANGE   DECLARED DEFAULTER BY STOCK EXCHANGE

25-MAY-2013 		 
23
History of entity/person NICE STOCK & SECURITIES PVT.LTD.  
History of entity/person ANIL KUMAR

History of entity/person RAMAWATAR RAJGARHIA
  		FAILED TO MAINTAIN THE REQUIRED BASE MINIMUM CAPITAL (BMC) WITH THE EXCHANGE   DECLARED DEFAULTER BY STOCK EXCHANGE

08-DEC-2009 		 
24
History of entity/person NITIN S.THAKUR,M/S  
  FAILED TO MAINTAIN THE REQUIRED BASE MINIMUM CAPITAL (BMC) WITH THE EXCHANGE   DECLARED DEFAULTER BY STOCK EXCHANGE

08-DEC-2009 		 
25
History of entity/person ORCHID STOCKS & SECURITIES  
History of entity/person SANJAY AGARWAL
  		FAILED TO MAINTAIN THE REQUIRED BASE MINIMUM CAPITAL (BMC) WITH THE EXCHANGE   DECLARED DEFAULTER BY STOCK EXCHANGE

25-MAY-2013 		 
26
History of entity/person PAYAL INVESTMENT  
History of entity/person PRATIMA NANJI DAMA
  		FAILED TO MAINTAIN THE REQUIRED BASE MINIMUM CAPITAL (BMC) WITH THE EXCHANGE   DECLARED DEFAULTER BY STOCK EXCHANGE

08-DEC-2009 		 
27
History of entity/person RAJSONS STOCK & SECURITIES PVT.LTD.  
History of entity/person RAVI BHATIA
  		FAILED TO MAINTAIN THE REQUIRED BASE MINIMUM CAPITAL (BMC) WITH THE EXCHANGE   DECLARED DEFAULTER BY STOCK EXCHANGE

08-DEC-2009 		 
28
History of entity/person SANMATI SECURITIES  
History of entity/person MANOJ KUMAR GANGWAL
  		FAILED TO MAINTAIN THE REQUIRED BASE MINIMUM CAPITAL (BMC) WITH THE EXCHANGE   DECLARED DEFAULTER BY STOCK EXCHANGE

25-MAY-2013 		 
29
History of entity/person SHANTI CREDIT & HOLDINGS PVT.LTD.  
History of entity/person HITESH GANDHI

History of entity/person VIKAS GANDHI
  		FAILED TO MAINTAIN THE REQUIRED BASE MINIMUM CAPITAL (BMC) WITH THE EXCHANGE   DECLARED DEFAULTER BY STOCK EXCHANGE

08-DEC-2009 		 
30
History of entity/person SHIBY SECURITIES  
History of entity/person SHIBY THOMAS
  		FAILED TO MAINTAIN THE REQUIRED BASE MINIMUM CAPITAL (BMC) WITH THE EXCHANGE   DECLARED DEFAULTER BY STOCK EXCHANGE

08-DEC-2009 		 
31
History of entity/person SHREE SHYAM STOCK BROKING PVT.LTD.  
History of entity/person JYOTI KEJRIWAL

History of entity/person TIKAM CHAND CHANGOLWALA
  		FAILED TO MAINTAIN THE REQUIRED BASE MINIMUM CAPITAL (BMC) WITH THE EXCHANGE   DECLARED DEFAULTER BY STOCK EXCHANGE

25-MAY-2013 		 
32
History of entity/person SHREERAM SECURITIES  
History of entity/person SANGEETA THARD
  		FAILED TO MAINTAIN THE REQUIRED BASE MINIMUM CAPITAL (BMC) WITH THE EXCHANGE   DECLARED DEFAULTER BY STOCK EXCHANGE

25-MAY-2013 		 
33
History of entity/person SHUBHAM SHARES BROKING  
History of entity/person RAHUL LAXMICHAND DEDHIA
  		FAILED TO MAINTAIN THE REQUIRED BASE MINIMUM CAPITAL (BMC) WITH THE EXCHANGE   DECLARED DEFAULTER BY STOCK EXCHANGE

07-DEC-2006 		 
34
History of entity/person SIM SECURITIES  
History of entity/person RAVINDER SINGH LAMBA
  		FAILED TO MAINTAIN THE REQUIRED BASE MINIMUM CAPITAL (BMC) WITH THE EXCHANGE   DECLARED DEFAULTER BY STOCK EXCHANGE

07-DEC-2006 		 
35
History of entity/person SKC SECURITIES  
History of entity/person PRERNA CHOUDHARY
  		FAILED TO MAINTAIN THE REQUIRED BASE MINIMUM CAPITAL (BMC) WITH THE EXCHANGE   DECLARED DEFAULTER BY STOCK EXCHANGE

08-DEC-2009 		 
36
History of entity/person SUNIDHI TRADERS  
History of entity/person JYOTHI P.MEGHJI
  		FAILED TO MAINTAIN THE REQUIRED BASE MINIMUM CAPITAL (BMC) WITH THE EXCHANGE   DECLARED DEFAULTER BY STOCK EXCHANGE

25-MAY-2013 		 
37
History of entity/person SURESH KUMAR SARAF,M/S  
History of entity/person SURESH KUMAR SARAF
  		FAILED TO MAINTAIN THE REQUIRED BASE MINIMUM CAPITAL (BMC) WITH THE EXCHANGE   DECLARED DEFAULTER BY STOCK EXCHANGE

25-MAY-2013 		 
38
History of entity/person TIDA GELA SECURITIES  
History of entity/person JUHEE BAJAJ
  		FAILED TO MAINTAIN THE REQUIRED BASE MINIMUM CAPITAL (BMC) WITH THE EXCHANGE   DECLARED DEFAULTER BY STOCK EXCHANGE

25-MAY-2013 		 
39
History of entity/person TRUST CONSULTANCY INC.  
History of entity/person JAYSUKH J.RUDANI
  		FAILED TO MAINTAIN THE REQUIRED BASE MINIMUM CAPITAL (BMC) WITH THE EXCHANGE   DECLARED DEFAULTER BY STOCK EXCHANGE

08-DEC-2009 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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