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SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
UPDATED TILL : 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.

SUB-BROKERS: COMMITTED IRREGULARITIES IN MAINTENANCE OF CLIENT REGISTRATION/DATABASE

S.No. ENTITY DIRECTORS/ PERSONS  REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
61
History of entity/person YASH STOCKBROKERS PVT.LTD.  

(Sub-Broker of J.G.A.SHAH SHARE BROKERS PVT.LTD. , Member : BSE)
  DID NOT COLLECT MARGINS FROM CLIENTS

DISPARITIES IN DATES IN CLIENT REGISTRATION FORMS  		SUSPENDED REGISTRATION AS SUB-BROKER FROM 11-JAN-2006 TO 10-MAR-2006

21-DEC-2005 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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