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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
PERIOD COVERED : 01-JAN-1997 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: STOCK EXCHANGE ADVISED TO DEBIT MEMBER’S DEPOSIT

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person ABHIPRA CAPITAL LTD.  

(Member : OTC)
  DID NOT EXERCISE DUE CARE AND DILIGENCE

DID NOT REDRESS INVESTOR COMPLAINTS

ALLOWED TERMINALS TO UNREGISTERED SUB-BROKERS

NON-COOPERATION WITH SEBI IN INVESTIGATIONS

VIOLATED SEBI CODE OF CONDUCT

DID NOT MAKE PAYMENTS TO CLIENTS IN TIME  		DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 17-AUG-2007 PENDING COMPLETION OF ENQUIRY PROCEEDINGS

STOCK EXCHANGE ADVISED TO DEBIT MEMBER’S DEPOSIT

17-AUG-2007

REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,00,000, ADMINISTRATION CHARGES RS.1,00,000 VIDE CONSENT ORDER)

08-APR-2009 		INTERIM ORDER DATED 17/08/2007 MODIFIED TO THE EXTENT THAT ABHIPRA CAPITAL LTD. ALLOWED TO OPEN NEW TRADING ACCOUNTS AS WELL AS DIRECTED TO SUBMIT DOCUMENTARY EVIDENCE FOR SETTLEMENT OF THE DUES OF JOHARI'S WITHIN 30 DAYS

INTERIM ORDER DATED 29/10/2007 MODIFIED BY LIFTING 30 DAYS TIME STIPULATED THEREIN FOR SETTLING THE DUES OF JOHARI’S.SAME AS ABOVE 10 MATTER SETTLED THROUGH ARBITRATION AWARD AND BY CONSENT ORDER DATED 8.04.2009

COMPANY VIDE DD NO.501444 DATED 07/03/2009 AND 501397 DATED 06/03/2009 DRAWN ON ICICI BANK LTD. HAS PAID RS.10 LACS TOWARDS SETTLEMENT CHARGES AND RS.1 LAC TOWARDS ADMINISTRATIVE CHARGES RESPECTIVELY
2 
History of entity/person ABHIPRA CAPITAL LTD.  

(Member : BSE)
  DID NOT EXERCISE DUE CARE AND DILIGENCE

DID NOT REDRESS INVESTOR COMPLAINTS

ALLOWED TERMINALS TO UNREGISTERED SUB-BROKERS

NON-COOPERATION WITH SEBI IN INVESTIGATIONS

VIOLATED SEBI CODE OF CONDUCT

DID NOT MAKE PAYMENTS TO CLIENTS IN TIME  		DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 17-AUG-2007 PENDING COMPLETION OF ENQUIRY PROCEEDINGS

STOCK EXCHANGE ADVISED TO DEBIT MEMBER’S DEPOSIT

17-AUG-2007

REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,00,000, ADMINISTRATION CHARGES RS.1,00,000 VIDE CONSENT ORDER)

08-APR-2009 		INTERIM ORDER DATED 17/08/2007 MODIFIED TO THE EXTENT THAT ABHIPRA CAPITAL LIMITED ALLOWED TO OPEN NEW TRADING ACCOUNTS AS WELL AS DIRECTED TO SUBMIT DOCUMENTARY EVIDENCE FOR SETTLEMENT OF THE DUES OF JOHARI’S WITHIN 30 DAYS

INTERIM ORDER DATED 29/10/2007 MODIFIED BY LIFTING 30 DAYS TIME STIPULATED THEREIN FOR SETTLING THE DUES OF JOHARI’S.SAME AS ABOVE 10 MATTER SETTLED THROUGH ARBITRATION AWARD AND BY CONSENT ORDER DATED 8.04.2009

COMPANY VIDE DD NO.501444 DATED 07/03/2009 AND 501397 DATED 06/03/2009 DRAWN ON ICICI BANK LTD. HAS PAID RS.10 LACS TOWARDS SETTLEMENT CHARGES AND RS.1 LAC TOWARDS ADMINISTRATIVE CHARGES RESPECTIVELY
3 
History of entity/person ABHIPRA CAPITAL LTD.  

(Member : NSE)
  DID NOT EXERCISE DUE CARE AND DILIGENCE

DID NOT REDRESS INVESTOR COMPLAINTS

ALLOWED TERMINALS TO UNREGISTERED SUB-BROKERS

NON-COOPERATION WITH SEBI IN INVESTIGATIONS

VIOLATED SEBI CODE OF CONDUCT

DID NOT MAKE PAYMENTS TO CLIENTS IN TIME  		DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 17-AUG-2007 PENDING COMPLETION OF ENQUIRY PROCEEDINGS

STOCK EXCHANGE ADVISED TO DEBIT MEMBER’S DEPOSIT

17-AUG-2007

REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,00,000, ADMINISTRATION CHARGES RS.1,00,000 VIDE CONSENT ORDER)

08-APR-2009 		INTERIM ORDER DATED 17/08/2007 MODIFIED TO THE EXTENT THAT ABHIPRA CAPITAL LIMITED ALLOWED TO OPEN NEW TRADING ACCOUNTS AS WELL AS DIRECTED TO SUBMIT DOCUMENTARY EVIDENCE FOR SETTLEMENT OF THE DUES OF JOHARI’S WITHIN 30 DAYS

INTERIM ORDER DATED 29/10/2007 MODIFIED BY LIFTING 30 DAYS TIME STIPULATED THEREIN FOR SETTLING THE DUES OF JOHARI’S.SAME AS ABOVE 10 MATTER SETTLED THROUGH ARBITRATION AWARD AND BY CONSENT ORDER DATED 8.04.2009

COMPANY VIDE DD NO.501444 DATED 07/03/2009 AND 501397 DATED 06/03/2009 DRAWN ON ICICI BANK LTD. HAS PAID RS.10 LACS TOWARDS SETTLEMENT CHARGES AND RS.1 LAC TOWARDS ADMINISTRATIVE CHARGES RESPECTIVELY
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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