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

STOCK BROKERS: DEFAULTED IN PROVIDING INFORMATION TO ARBITRAL TRIBUNAL/DID NOT CO-OPERATE WITH ARBITRAL TRIBUNAL

S.No. ENTITY PERSON REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person ECONO BROKING PVT.LTD.  
  CHARGED EXCESS BROKERAGE

PROVIDED FALSE INFORMATION  		CLAIM ADMITTED
AWARD AMOUNT: RS.7,08,000

29-SEP-2021 		 
2
History of entity/person HDFC SECURITIES LTD.  
  DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES OF ARBITRAL TRIBUNAL  DIRECTED TO DEPOSIT AMOUNT IN STOCK EXCHANGE INVESTORS PROTECTION FUND Rs.10,000
AWARD AMOUNT: RS.10,000

09-OCT-2013 		 
3
History of entity/person JUNJHARJI INVESTMENT PVT.LTD.  
  FALSE REPORTING OF MARGIN FROM CLIENTS

DID NOT CO-OPERATE IN PROVIDING DATA DURING INSPECTION

MISUTILISED CLIENTS FUNDS AND/OR SECURITIES

DID NOT RECONCILE CLIENT SECURITIES IN BENEFICIARY ACCOUNTS WITH THE BACK-OFFICE RECORDS

DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES

SUBMITTED INCORRECT DATA TOWARDS CLIENT LEVEL HOLDING STATEMENT

DID NOT ISSUE STATEMENT OF ACCOUNT AND RETENTION STATEMENTS TO CLIENTS

FUNDED CLIENTS HAVING DEBIT BALANCES BY PROVIDING FURTHER EXPOSURE

SUBMITTED INCORRECT DATA IN RESPECT OF WEEKLY MONITORING OF CLIENT FUNDS

OPERATED TRADING TERMINAL WITHOUT HOLDING VALID CERTIFICATE/REGISTRATION  		IMPOSED PENALTY FROM 14-SEP-2022 TO 15-SEP-2022Rs.44,79,300

24-AUG-2022

SUSPENDED REGISTRATION AS STOCK BROKER FROM 14-SEP-2022 TO 15-SEP-2022 		NSE VIDE ITS ORDER DATED 15/03/2023 UPHELD EARLIER ORDER DATED 24/08/2022  
4
History of entity/person KUMAR SHARE BROKERS LTD.  
  DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS TO ARBITRAL TRIBUNAL  CLAIM ADMITTED
AWARD AMOUNT: RS.5,000

12-OCT-2015 		 
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 2004-2026
No part of this site may be reproduced without the explicit permission of the owners.

top