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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: FAILED TO ENTER INTO AGREEMENT WITH SUB-BROKERS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person ASIT C.MEHTA INVESTMENT INTERMEDIATES LTD.  

(Member : OTC)
  ALLEGED FAILURE TO ENTER INTO TRIPARTITE AGREEMENTS WITH SUB-BROKER & CLIENT TRADING THROUGH SUCH SUB BROKER  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)

27-AUG-2008
2 
History of entity/person ASIT C.MEHTA INVESTMENT INTERMEDIATES LTD.  

(Member : NSE)
  ALLEGED FAILURE TO ENTER INTO TRIPARTITE AGREEMENTS WITH SUB-BROKER & CLIENT TRADING THROUGH SUCH SUB BROKER  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)

27-AUG-2008
3 
History of entity/person ASIT C.MEHTA INVESTMENT INTERMEDIATES LTD.  

(Member : BSE)
  ALLEGED FAILURE TO ENTER INTO TRIPARTITE AGREEMENTS WITH SUB-BROKER & CLIENT TRADING THROUGH SUCH SUB BROKER  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)

27-AUG-2008
4 
History of entity/person SUBHASH KARKHANIS SHARE & STOCK BROKERS PVT.LTD.  

(Member : BSE)
  COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE

DID NOT ENTER INTO AGREEMENT WITH SUB-BROKERS

DEFAULTED IN MAINTENANCE OF SAUDA BOOK  		SUSPENDED REGISTRATION AS STOCK BROKER FROM 17-DEC-2001 TO 16-MAR-2002

19-DEC-2001
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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