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SOURCE OF INFORMATION : NATIONAL STOCK EXCHANGE OF INDIA LTD. LISTS/WEBSITE
PERIOD COVERED : 01-JAN-2000 TO 13-JUL-2026

STOCK BROKERS: COLLECTED MONEY FROM CLIENTS FOR PROMISED ASSURED RETURNS

S.No. ENTITY PERSON REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person CONCUNSMART SHARES & STOCK BROKER PVT.LTD.  
  PROMISED ASSURED RETURN TO CLIENTS/INVESTORS

DID NOT SETTLE CLIENTS FUNDS AND/OR SECURITIES

DELAY IN SETTLEMENT OF CLIENTFS FUNDS AND/OR SECURITIES

DELAY IN ISSUANCE STATEMENT OF ACCOUNT AND RETENTION STATEMENTS TO CLIENTS

INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES

INCORRECT REPORTING FOR WEEKLY MONITORING OF CLIENT FUNDS   		DIRECTED TO SUBMIT REPLY TO SHOW CAUSE NOTICE FROM 14-MAR-2022

14-MAR-2022

DIRECTED TO SUBMIT DOCUMENTARY EVIDENCE TO SATISFACTION OF STOCK EXCHANGE IN SUPPORT OF CLAIMS THAT IT IS NOT PROVIDING ASSURED RETURNS TO CLIENTS FROM 14-MAR-2022

PROHIBITED FROM REGISTERING NEW CLIENTS FROM 14-MAR-2022 		 
2
History of entity/person CONCUNSMART SHARES & STOCK BROKER PVT.LTD.  
  PROMISED ASSURED RETURN TO CLIENTS/INVESTORS  DIRECTED TO DISABLE TRADING TERMINALS FROM 17-APR-2022

17-APR-2022

PROHIBITED FROM REGISTERING NEW CLIENTS FROM 17-APR-2022

DIRECTED TO EXTEND FULL COOPERATION TO EXTERNAL AUDITORS FOR COMPLETION OF FORENSIC AUDIT FROM 17-APR-2022 		 
3
History of entity/person G.S.V.SECURITIES PVT.LTD.  
  PROMISED ASSURED RETURN TO CLIENTS/INVESTORS

ENGAGED IN BUSINESS OTHER THAN OF SECURITIES  		CEASED AND DESIST FROM OFFERING OR PROVIDING ANY ASSURED RETURN SCHEME TO CLIENTS AND TO PROVIDE EVIDENCE TO THE EXCHANGE FROM 16-MAR-2022

16-MAR-2022

PROHIBITED FROM REGISTERING NEW CLIENTS FROM 16-MAR-2022 		 
4
History of entity/person LFS BROKING PVT.LTD.  
  INDULGED IN RUNNING UNAUTHORIZED PORTFOLIO MANAGEMENT SERVICES

PROMISED ASSURED RETURN TO CLIENTS/INVESTORS  		SUSPENDED REGISTRATION AS STOCK BROKER FROM 05-NOV-2022

05-NOV-2022 		 
5
History of entity/person LFS BROKING PVT.LTD.  
  ENGAGED IN BUSINESS OTHER THAN OF SECURITIES

PROMISED ASSURED RETURN TO CLIENTS/INVESTORS  		SUSPENDED REGISTRATION AS STOCK BROKER FROM 31-JAN-2023

31-JAN-2023 		 
6
History of entity/person LSC SECURITIES LTD.  
  PROMISED ASSURED RETURN TO CLIENTS/INVESTORS

MISUTILISED CLIENTS FUNDS AND/OR SECURITIES  		DIRECTED TO STOP ONBOARDING NEW CLIENTS AND AUTHORISED PERSON FROM 21-JUN-2023 TO 20-SEP-2023

21-JUN-2023

DIRECTED TO CONDUCT CONCURRENT AUDIT AND SUBMIT A FORTNIGHTLY CERTIFICATETO CERTIFY CLIENTS ARE NOT BEING OFFERED ASSURED/FIXED RETURNS FROM 21-JUN-2023 TO 20-SEP-2023

DIRECTED TO SUBMIT DECLARATION FROM ALL ITS ACTIVE CLIENTS, UNDERTAKING THAT THE NOTICES DID NOT PROVIDE ANY ASSURED/FIXED RETURN SCHEMES TO CLIENTS DIRECTLY AND/OR THROUGH AUTHORISED PERSONS FROM 21-JUN-2023 TO 20-SEP-2023

DIRECTED TO ISSUE WEEKLY SMSS AND EMAILS TO ALL REGISTERED CLIENTS, NOT OFFERING ASSURED/FIXED RETURN SCHEMES FROM 21-JUN-2023 TO 20-SEP-2023 		 
7
History of entity/person LSC SECURITIES LTD.  
  PROMISED ASSURED RETURN TO CLIENTS/INVESTORS  RESTRAINED FROM ONBOARDING NEW CLIENTS AND AUTHORISED PERSONS FROM 21-JUN-2023

09-AUG-2023 		SAT: SAT VIDE ITS ORDER DATED 09/08/2023 ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER DATED 21/07/2023  
8
History of entity/person SPFL SECURITIES LTD.  
  PROMISED ASSURED RETURN TO CLIENTS/INVESTORS

MISUTILISED CLIENTS FUNDS AND/OR SECURITIES  		IMPOSED PENALTY FROM 23-JUN-2023 TO 22-SEP-2023Rs.10,88,300

23-JUN-2023

DIRECTED TO STOP ONBOARDING NEW CLIENTS AND AUTHORISED PERSON FROM 23-JUN-2023 TO 22-SEP-2023

DIRECTED TO CONDUCT CONCURRENT AUDIT AND SUBMIT A FORTNIGHTLY CERTIFICATETO CERTIFY CLIENTS ARE NOT BEING OFFERED ASSURED/FIXED RETURNS FROM 23-JUN-2023 TO 22-SEP-2023

DIRECTED TO SUBMIT DECLARATION FROM ALL ITS ACTIVE CLIENTS, UNDERTAKING THAT THE NOTICES DID NOT PROVIDE ANY ASSURED/FIXED RETURN SCHEMES TO CLIENTS DIRECTLY AND/OR THROUGH AUTHORISED PERSONS FROM 23-JUN-2023 TO 22-SEP-2023

DIRECTED TO ISSUE WEEKLY SMSS AND EMAILS TO ALL REGISTERED CLIENTS, NOT OFFERING ASSURED/FIXED RETURN SCHEMES FROM 23-JUN-2023 TO 22-SEP-2023 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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