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Regulatory Actions Covered By This Website

REGULATORY ACTIONS IN CHRONOLOGICAL ORDER

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.

PERSON

S.
No.
DATE OF ORDER PERSON ENTITY COMPETENT AUTHORITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 02-APR-2026
History of entity/person   ARVIND KUMAR SRIVASTAVA 
History of entity/person 4A SECURITIES LTD.
 
NSE  DID NOT ADHERE TO NSEIL RULES 1 AND 2 OF CHAPTER IV

DEFAULTED UNDER CHAPTER XII OF BYELAWS OF NSE 
DISQUALIFIED FROM HOLDING OFFICE OF DIRECTOR/PARTNER IN ANY COMPANY/FIRM

02-APR-2026
 
2 02-APR-2026
History of entity/person   KAPIL KUMAR 
History of entity/person 4A SECURITIES LTD.
 
NSE  DID NOT ADHERE TO NSEIL RULES 1 AND 2 OF CHAPTER IV

DEFAULTED UNDER CHAPTER XII OF BYELAWS OF NSE 
DISQUALIFIED FROM HOLDING OFFICE OF DIRECTOR/PARTNER IN ANY COMPANY/FIRM

02-APR-2026
 
3 02-APR-2026
History of entity/person   KUNDAN MENDA 
History of entity/person 4A SECURITIES LTD.
 
NSE  DID NOT ADHERE TO NSEIL RULES 1 AND 2 OF CHAPTER IV

DEFAULTED UNDER CHAPTER XII OF BYELAWS OF NSE 
DISQUALIFIED FROM HOLDING OFFICE OF DIRECTOR/PARTNER IN ANY COMPANY/FIRM

02-APR-2026
 
4 02-APR-2026
History of entity/person   MOHAMMAD NAEEM 
History of entity/person 4A SECURITIES LTD.
 
NSE  DID NOT ADHERE TO NSEIL RULES 1 AND 2 OF CHAPTER IV

DEFAULTED UNDER CHAPTER XII OF BYELAWS OF NSE 
DISQUALIFIED FROM HOLDING OFFICE OF DIRECTOR/PARTNER IN ANY COMPANY/FIRM

02-APR-2026
 
5 02-APR-2026
History of entity/person   SHYORAJ SINGH BHATI 
History of entity/person 4A SECURITIES LTD.
 
NSE  DID NOT ADHERE TO NSEIL RULES 1 AND 2 OF CHAPTER IV

DEFAULTED UNDER CHAPTER XII OF BYELAWS OF NSE 
DISQUALIFIED FROM HOLDING OFFICE OF DIRECTOR/PARTNER IN ANY COMPANY/FIRM

02-APR-2026
 
6 02-APR-2026
History of entity/person   SNEHA LALWANI 
History of entity/person SNEHA LALWANI,M/S
 
NSE  NO LONGER AFFILIATED AS AUTHORISED PERSON  CANCELLED REGISTRATION AS AUTHORISED PERSON

02-APR-2026
 
7 23-MAR-2026
History of entity/person   AGAST MISHRA 
History of entity/person TRDEZ INVESTMENT PVT.LTD.
 
NSE  DECLARED DEFAULTER BY OTHER STOCK EXCHANGE  DISQUALIFIED FROM HOLDING OFFICE OF DIRECTOR/PARTNER IN ANY COMPANY/FIRM FROM 23-MAR-2026

23-MAR-2026
 
8 23-MAR-2026
History of entity/person   CHETAN DHAR 
History of entity/person TRDEZ INVESTMENT PVT.LTD.
 
NSE  DECLARED DEFAULTER BY OTHER STOCK EXCHANGE  DISQUALIFIED FROM HOLDING OFFICE OF DIRECTOR/PARTNER IN ANY COMPANY/FIRM FROM 23-MAR-2026

23-MAR-2026
 
9 23-MAR-2026
History of entity/person   GAURAV SUKHDEVE 
History of entity/person TRDEZ INVESTMENT PVT.LTD.
 
NSE  DECLARED DEFAULTER BY OTHER STOCK EXCHANGE  DISQUALIFIED FROM HOLDING OFFICE OF DIRECTOR/PARTNER IN ANY COMPANY/FIRM FROM 23-MAR-2026

23-MAR-2026
 
10 23-MAR-2026
History of entity/person   PRASAD KULKARNI 
History of entity/person TRDEZ INVESTMENT PVT.LTD.
 
NSE  DECLARED DEFAULTER BY OTHER STOCK EXCHANGE  DISQUALIFIED FROM HOLDING OFFICE OF DIRECTOR/PARTNER IN ANY COMPANY/FIRM FROM 23-MAR-2026

23-MAR-2026
 
11 23-MAR-2026
History of entity/person   RAHUL KALOKHE 
History of entity/person TRDEZ INVESTMENT PVT.LTD.
 
NSE  DECLARED DEFAULTER BY OTHER STOCK EXCHANGE  DISQUALIFIED FROM HOLDING OFFICE OF DIRECTOR/PARTNER IN ANY COMPANY/FIRM FROM 23-MAR-2026

23-MAR-2026
 
12 23-MAR-2026
History of entity/person   SACHIN KHADTARE 
History of entity/person TRDEZ INVESTMENT PVT.LTD.
 
NSE  DECLARED DEFAULTER BY OTHER STOCK EXCHANGE  DISQUALIFIED FROM HOLDING OFFICE OF DIRECTOR/PARTNER IN ANY COMPANY/FIRM FROM 23-MAR-2026

23-MAR-2026
 
13 23-MAR-2026
History of entity/person   YAYATI MISHRA 
History of entity/person TRDEZ INVESTMENT PVT.LTD.
 
NSE  DECLARED DEFAULTER BY OTHER STOCK EXCHANGE  DISQUALIFIED FROM HOLDING OFFICE OF DIRECTOR/PARTNER IN ANY COMPANY/FIRM FROM 23-MAR-2026

23-MAR-2026
 
14 23-MAY-2025
History of entity/person   AMAN NIKUNJ SHAH 
History of entity/person AMAN NIKUNJ SHAH,M/S
 
NSE  NO LONGER AFFILIATED AS AUTHORISED PERSON  CANCELLED REGISTRATION AS AUTHORISED PERSON

23-MAY-2025
 
15 23-MAY-2025
History of entity/person   AMIT KUMAR DINESH 
History of entity/person AMIT KUMAR,M/S
 
NSE  NO LONGER AFFILIATED AS AUTHORISED PERSON  CANCELLED REGISTRATION AS AUTHORISED PERSON

23-MAY-2025
 
16 23-MAY-2025
History of entity/person   DEEPAK JOSHI 
History of entity/person DEEPAK JOSHI,M/S
 
NSE  NO LONGER AFFILIATED AS AUTHORISED PERSON  CANCELLED REGISTRATION AS AUTHORISED PERSON

23-MAY-2025
 
17 23-MAY-2025
History of entity/person   DEVIKA PAL 
History of entity/person DEVIKA PAL,M/S
 
NSE  NO LONGER AFFILIATED AS AUTHORISED PERSON  CANCELLED REGISTRATION AS AUTHORISED PERSON

23-MAY-2025
 
18 23-MAY-2025
History of entity/person   HEMANT KUMAR GUPTA 
History of entity/person ASTITVA CAPITAL MARKET PVT.LTD.
 
NSE  VIOLATED BYE LAWS AND REGULATIONS OF NATIONAL STOCK EXCHANGE OF INDIA LTD.  DISQUALIFIED FROM HOLDING OFFICE OF DIRECTOR/PARTNER IN ANY COMPANY/FIRM

23-MAY-2025
 
19 23-MAY-2025
History of entity/person   JIGAR NAYANKUMAR SHETH 
History of entity/person SIMANDHAR BROKING LTD.
 
NSE  VIOLATED BYE LAWS AND REGULATIONS OF NATIONAL STOCK EXCHANGE OF INDIA LTD.  DISQUALIFIED FROM HOLDING OFFICE OF DIRECTOR/PARTNER IN ANY COMPANY/FIRM

23-MAY-2025
 
20 23-MAY-2025
History of entity/person   NEELU JHAWAR 
History of entity/person NEELU JHAWAR,M/S
 
NSE  NO LONGER AFFILIATED AS AUTHORISED PERSON  CANCELLED REGISTRATION AS AUTHORISED PERSON

23-MAY-2025
 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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