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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: DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
21
History of entity/person STEEL CITY COMMODITIES PVT.LTD.

(PAN:AAHCS4125L)

(Member : NSEL)  
  NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER   DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 22-DEC-2023 TO 05-JAN-2024

RESTRAINED FROM EXECUTING TRADES IN PROPRIETARY ACCOUNT

22-DEC-2023 		SAT: SAT VIDE ITS ORDER DATED 05/01/2024 STAYED THE EFFECT AND OPERATION OF IMPUGNED ORDER TILL FURTHER ORDERS

SAT: SAT VIDE ITS ORDER DATED 20/06/2024 STAYED THE IMPUGNED ORDER 22/12/2023  
22
History of entity/person VRISE SECURITIES PVT.LTD.

(CIN:119551
PAN:AABCV7112L)

(Member : BSE/NSE)  
  DID NOT UPLOAD AND REPORT PRO-ACCOUNT CTCL TERMINALS

NON-COOPERATION WITH SEBI IN INVESTIGATIONS   		DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 08-JAN-2020 TO 07-JUL-2020

08-JAN-2020 		 
23
History of entity/person YOKE SECURITIES LTD.

(Member : BSE/NSE)  
  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF PYRAMID SAIMIRA THEATRE LTD.   DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 12-NOV-2021 TO 11-MAR-2022

12-NOV-2021 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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