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SOURCE OF INFORMATION

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 : 03-JUL-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.

UN-AUTHORISED SUB-BROKERS: ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person A TO Z CONSULTANTS PVT.LTD.

(PAN:AAACA4696F)  
  ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

ALLEGED INDULGENCE IN PRICE MANIPULATION THROUGH IRREGULAR TRANSACTIONS IN SCRIP OF KARISHMA FLORICULTURE LTD.   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)

09-OCT-2009 		 
2
History of entity/person A.M.INVESTMENT

(Sub-Broker of UNITY FIN-CAP PVT.LTD., Member : NSE)  
  DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER   DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-JUL-2003

07-JUL-2003 		 
3
History of entity/person AAYPEE FIN STOCK PVT.LTD.

(Sub-Broker of SHRI PARASRAM HOLDINGS PVT.LTD., Member : NSE)  
  DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER   DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-JUL-2003

07-JUL-2003 		 
4
History of entity/person AEE BEE STOCKS PVT.LTD.

(Sub-Broker of KUMAR SHARE BROKERS LTD., Member : NSE)  
  DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER   DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-JUL-2003

07-JUL-2003 		 
5
History of entity/person AGARWAL INVESTMENTS

(Sub-Broker of BHAGWANDAS BHOGILAL & CO., Member : BSE)  
  DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER   DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-JUL-2003

07-JUL-2003 		 
6
History of entity/person AGARWAL SECURITIES  
  ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

ALLEGED INDULGENCE IN PRICE MANIPULATION THROUGH IRREGULAR TRANSACTIONS IN SCRIP OF KARISHMA FLORICULTURE LTD.   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)

27-OCT-2009 		 
7
History of entity/person AGBROS CAPITAL PVT.LTD.

(CIN:U67190MH1995PTC087585)  
  ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

ALLEGED INDULGENCE IN PRICE MANIPULATION THROUGH IRREGULAR TRANSACTIONS IN SCRIP OF KARISHMA FLORICULTURE LTD.   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)

27-OCT-2009 		 
8
History of entity/person AJAMERU SECURITIES

(Sub-Broker of B.LODHA SECURITIES LTD., Member : BSE)  
  DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER   DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-JUL-2003

07-JUL-2003 		 
9
History of entity/person AMIT BANSAL,M/S  
Click here to view complete history of this specific entity/person AMIT BANSAL
  		INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SHAMKEN MULTIFAB LTD.

ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION   		DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-DEC-2014 TO 08-DEC-2015

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-DEC-2014 TO 08-DEC-2015

09-DEC-2014 		 
10
History of entity/person APPOLLO SINDHOORI CAPITAL INVESTMENT LTD.

(Along with : PATNI SHARES & DERIVATIVES CO.)  
  ALLEGED NOT RESPONDING TO LETTERS/SUMMONS ISSUED BY SEBI

ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION   		DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-JUL-2007 TO 05-JUL-2009

06-JUL-2007 		 
11
History of entity/person AYUSH & CO.  
  CREATED ARTIFICIAL INCREASE IN PRICE IN SCRIP OF GCCL INFRASTRUCTURE & PROJECTS LTD.

DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER   		DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-OCT-2002 TO 19-OCT-2003

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-OCT-2002 TO 19-OCT-2003

14-OCT-2002 		 
12
History of entity/person B.L.INVESTMENT

(Sub-Broker of ULTRACARE SECURITIES PVT.LTD, Member : DSE)  
  DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER   DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-JUL-2003

07-JUL-2003 		 
13
History of entity/person BALACHANDRA HEGDE,M/S

(Sub-Broker of ALACRITY SECURITIES LTD., Member : NSE)  
Click here to view complete history of this specific entity/person BALACHANDRA HEGDE
  		DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER   DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-JUL-2003

07-JUL-2003 		 
14
History of entity/person BAPNA INVESTMENTS & CONSULTANCY SERIVCES PVT.LTD.

(Sub-Broker of PRAMODKUMAR JAIN SECURITIES PVT.LTD., Member : BSE)  
  DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER   DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-JUL-2003

07-JUL-2003 		 
15
History of entity/person BHARAT H.BHAVSAR,M/S  
Click here to view complete history of this specific entity/person BHARAT H.BHAVSAR
  		ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION   IMPOSED PENALTY RS.15,000

05-JAN-2009 		 
16
History of entity/person BHUPALI SECURITIES  
Click here to view complete history of this specific entity/person SAGAR KAJBAJE
Click here to view complete history of this specific entity/person SMITA KAJBAJE
  		ACTED AS SUB-BROKER TO DANGI FINANCE & MANAGEMENT CONSULTANCY LTD. AND LIBORD SECURITIES LTD. WITHOUT SEBI REGISTRATION

MADE FALSE REPRESENTATION IN NEWSPAPERS TO MISLEAD/INDUCE INVESTORS   		DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 26-AUG-2003 TO 25-AUG-2006

26-AUG-2003 		 
17
History of entity/person CAPITAL STOCKS & SHARES  
  ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,10,000 VIDE CONSENT ORDER)

10-NOV-2009 		 
18
History of entity/person CHITHRA JAGANNATHAN,M/S

(Sub-Broker of RAJNARAYAN CAPITAL MARKET SERVICES LTD., Member : CMBSE)  
Click here to view complete history of this specific entity/person CHITHRA JAGANNATHAN
  		DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER   DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-JUL-2003

07-JUL-2003 		 
19
History of entity/person CHITRAL VINIMAY PVT.LTD.

(Sub-Broker of GATEWAY FINANCIAL SERVICES LTD., Member : NSE)  
  DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER   DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-JUL-2003

07-JUL-2003 		 
20
History of entity/person DHANLAXMI CAPITAL SERVICES

(Sub-Broker of S.S.KANTILAL ISHWARLAL SECURITIES PVT.LTD., Member : BSE)  
  DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER   DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-JUL-2003

07-JUL-2003 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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