If you are an Existing User, please enter your Username & Password below

Forgot Password?

Are you a New User? Click here to enrol

close

Click here to visit old website
Co-Sponsors

SOURCE OF INFORMATION : MSEI
PERIOD COVERED : 20-MAY-2010 TO 29-APR-2025

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

STOCK BROKERS: PENALTY IMPOSED

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person COMPOSITE SECURITIES LTD.  
  TRANSFERRED TRADES TO ITS OWN ‘ERROR’ ACCOUNT IN BACK-OFFICE AFTER TRADING HOURS  PENALTY IMPOSED RS.59,360

21-MAR-2013
2 
History of entity/person CREDO SECURITIES PVT.LTD.  
  REPORTED WRONG/FALSE REPORT OF CLIENT MARGIN COLLECTION  PENALTY IMPOSED RS.14,311

20-MAY-2013
3 
History of entity/person MARIGOLD VANIJYA PVT.LTD.  
  REPORTED WRONG/FALSE REPORT OF CLIENT MARGIN COLLECTION  PENALTY IMPOSED RS.1,10,321

SUSPENDED FROM MEMBERSHIP FROM 04-OCT-2012 TO 08-OCT-2012

21-AUG-2012
4 
History of entity/person MAUZAMPURIA SECURITIES BROKING PVT.LTD.  
  DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT’S FUNDS & OWN FUNDS  PENALTY IMPOSED RS.10,000

16-JUL-2013
5 
History of entity/person MICRO FOREX EQUITY & DERIVATIVES PVT.LTD.  
  SUBMITTED WRONG/FALSE REPORTING OF CLIENT MARGIN COLLECTION

DID NOT SETTLE CLIENT ACCOUNTS

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT’S FUNDS & OWN FUNDS

DID NOT ADHERE TO SETTLEMENT CRITERIA

DID NOT MAINTAIN CLIENTS’ LEDGERS PROPERLY

DID NOT MAINTAIN BANK BOOKS PROPERLY

DID NOT SUBMIT OR SUBMITTED INCOMPLETE DOCUMENTS

ISSUED CONTRACT NOTES WITH FORMAT RELATED DISCREPANCIES

DID NOT INTIMATE DEDICATED EMAIL ID FOR CORRESPONDENCE BETWEEN MEMBER & EXCHANGE IN RELATION TO INVESTOR GRIEVANCE

DELAYED IN INTIMATING DETAILS OF DESIGNATED DIRECTOR TO FINANCIAL INTELLIGENCE UNIT (FIU)

DID NOT UPLOAD “KNOW YOUR CLIENT” DOCUMENTS TO KRA

DISCREPANCIES IN CLIENT REGISTRATION DOCUMENTS

DID NOT MAINTAIN ORDER BOOK  		PENALTY IMPOSED RS.45,90,761

SUSPENDED FROM MEMBERSHIP FROM 16-NOV-2015 TO 16-NOV-2015

18-AUG-2015
6 
History of entity/person SWASTIKA INVESTMART LTD.  
  REPORTED WRONG/FALSE REPORT OF CLIENT MARGIN COLLECTION  PENALTY IMPOSED RS.2,275

ADVISED TO COMPLY WITH SEBI CIRCULARS AND EXCHANGE ON MARGIN REPORTING IN FUTURE

21-AUG-2012
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

This website is not comprehensive and is being updated on a regular basis. Users are requested to carefully look at the formats and the information about the coverage period that appears on search results pages.

DISCLAIMER BY NSE

NSE is the co-sponsor of this website and supportive of the initiative taken for protection of interest of investors by Praxis Consulting & Information Services Pvt.Ltd. (PRAXIS), the creator of this website. However, NSE bear no responsibility for the views/information that is available on this website and as responsibility of the contents of this website solely rests with PRAXIS. NSE shall not be responsible for, and expressly disclaims all liability for, damages of any kind arising out of use, reference to or reliance on any information available on this website. Investors/visitors of this website are also advised to read through the other general disclaimer(s) and terms and conditions available on this website before using the website.

Site designed and maintained by watchoutinvestors.com
© PRIME DATABASE GROUP 2004-2025
No part of this site may be reproduced without the explicit permission of the owners.

top