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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.

STOCK BROKERS: CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
21
History of entity/person ARUNA AGGARWAL,M/S

(Member : LSE)  
  DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

13-OCT-1999 		 
22
History of entity/person ASE CAPITAL MARKETS LTD.

(CIN:U67120GJ2000PLC037431
PAN:AADCA4629D)

(Member : BSE)  
  DEALT WITH UN-REGISTERED SUB-BROKERS   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

20-FEB-2002 		 
23
History of entity/person ATUL M.CHOKSHI,M/S

(Member : ASE)  
Click here to view complete history of this specific entity/person ATUL MANHARLAL CHOKSHI
  		DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

20-FEB-2002 		 
24
History of entity/person ATUL M.CHOKSHI,M/S

(Member : ASE)  
Click here to view complete history of this specific entity/person ATUL MANHARLAL CHOKSHI
  		DEALT WITH UN-REGISTERED SUB-BROKERS

DID NOT CHARGE MINIMUM BROKERAGE

USED ACCOUNT OF SUB-BROKER TO GENERATE ADDITIONAL PROFIT   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

12-AUG-1999 		 
25
History of entity/person AVENUE STOCK BROKERS (INDIA) PVT.LTD.

(Member : NSE)  
  DID NOT TRANSFER SECURITIES FROM POOL ACCOUNT TO CLIENTS' ACCOUNT IN TIME   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

02-JAN-2007 		 
26
History of entity/person B.M.GANDHI SECURITIES PVT.LTD.

(PAN:AABCB3557B)

(Member : BSE)  
  DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE IN MATTER OF SAWACA BUSINESS MACHINES LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

15-OCT-2004 		 
27
History of entity/person B.M.GANDHI SECURITIES PVT.LTD.

(PAN:AABCB3557B)

(Member : BSE)  
  IN THE CASE OF DSQ BIOTECH LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

15-JUL-2002 		 
28
History of entity/person B.N.MEHTA & CO.

(Member : VSE)  
Click here to view complete history of this specific entity/person B.N.MEHTA
  		TRADED ON EXCHANGE WITHOUT VALID CERTIFICATE OF REGISTRATION   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

29-APR-1998 		 
29
History of entity/person BAKLIWAL INVESTMENTS

(Member : NSE)  
  DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS

COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES

DELAYED PAYMENT OF CONSOLIDATED STAMP DUTY

DID INTER-CLIENT ADJUSTMENT OF BALANCES

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DID NOT COLLECT MARGINS FROM CLIENTS   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

18-MAY-2004 		 
30
History of entity/person BAMA SECURITIES LTD.

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

DID NOT MAINTAIN CLIENT REGISTRATION FORMS   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

04-JUN-2004 		 
31
History of entity/person BASDEO GOENKA

(Member : CSE)  
Click here to view complete history of this specific entity/person BANWARILAL GOENKA
  		DID NOT MAINTAIN SEPARATE CLIENT ACCOUNT

DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

19-FEB-2002 		 
32
History of entity/person BEDI & CO.

(Member : LSE)  
Click here to view complete history of this specific entity/person RAJAN BEDI
  		DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

08-OCT-1999 		 
33
History of entity/person BGSE FINANCIALS LTD.

(Member : BSE/NSE)  
  DEALT WITH UN-REGISTERED SUB-BROKERS

DID NOT FURNISH AUDITOR'S CERTIFICATE ON QUARTERLY BASIS REGARDING COLLECTION OF MINIMUM MARGIN FROM CLIENTS

CONTRACT NOTES NOT SIGNED BY AUTHORISED REPRESENTATIVES

PERMITTED TURNOVER LIMITS ABOVE THE LIMITS PRESCRIBED BY BSE AND NSE

PERMITTED USE OF BMC DEPOSITED WITH THE PROMOTING STOCK EXCHANGE FOR FIXING GROSS EXPOSURE LIMIT AND TURNOVER LIMIT   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

24-JAN-2006 		 
34
History of entity/person BHAGWANDAS BHOGILAL & CO.

(Member : BSE)  
Click here to view complete history of this specific entity/person VIPUL BHAGWANDAS SHAH

PAN:AARPS0651B
Click here to view complete history of this specific entity/person VISHAL SHAH
  		DID NOT EXERCISE DUE SKILL AND DILIGENCE   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

12-JAN-2009 		 
35
History of entity/person BHARAT BHUSHAN & CO.

(Member : DSE)  
  DID NOT FULFILL UNDERWRITING OBLIGATION IN PUBLIC ISSUE OF KANAN STEELS LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

21-NOV-2000 		 
36
History of entity/person BHARAT BHUSHAN & CO.

(Member : DSE)  
Click here to view complete history of this specific entity/person VIJAY BHUSHAN
  		DID NOT EXERCISE DUE CARE AND SKILL IN DEALING WITH CLIENTS   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

05-FEB-2007 		 
37
History of entity/person BHARAT BHUSHAN EQUITY TRADERS LTD.

(PAN:AAACB5382M)

(Member : NSE)  
Click here to view complete history of this specific entity/person BAJRANG PRASAD
Click here to view complete history of this specific entity/person SHANKER SINGAL
  		DID NOT EXERCISE DUE CARE AND SKILL IN DEALING WITH CLIENTS   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

05-FEB-2007 		 
38
History of entity/person BHAVESH RAMESHCHANDRA MEHTA,M/S

(Sub-Broker of SKSE SECURITIES LTD., Member : BSE,Member : SKSE)  
Click here to view complete history of this specific entity/person BHAVESH RAMESHCHANDRA MEHTA
  		DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE EXECUTING TRANSACTIONS IN SCRIP OF DATABASE FINANCE LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

13-JAN-2009 		 
39
History of entity/person BHH SECURITIES PVT.LTD.

(PAN:AAACB6431H)

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

DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER

DID NOT DELIVER SECURITIES TO CLIENTS IN TIME

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DID NOT MAINTAIN CLIENT REGISTRATION FORMS

DEALT WITH UN-REGISTERED SUB-BROKERS   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

14-JAN-2003 		 
40
History of entity/person BHOJWANI SECURITIES PVT.LTD.

(CIN:U65993MH1993PTC070873
PAN:AAACB4604N)

(Member : PSE)  
  INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

13-AUG-1997 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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