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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: ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION

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

(Member : BGSE)
  ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION  WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

02-DEC-2009
2 
History of entity/person SHRADDHA STOCK BROKING PVT.LTD.  

(Member : CSE)
History of entity/person SURESH KUMAR SARAF
  		ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION  WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

02-DEC-2009
3 
History of entity/person SHREE CHAMUNDI STOCKS  

(Member : BGSE)
History of entity/person M.S.CHANDRASHEKHAR
  		ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION

DID NOT ISSUE CONTRACT NOTES

DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS

DID NOT MAKE PAYMENTS TO CLIENTS IN TIME

DID NOT RECTIFY BAD DELIVERIES IN TIME  		SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-1998 TO 19-FEB-1999

16-NOV-1998
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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