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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: DID NOT ADHERE TO PROVISION REGULATION OF SEBI

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
21
History of entity/person ALASRI INVESTMENTS

(Member : CMBSE)  
Click here to view complete history of this specific entity/person A.S.SHRIRAM
  		DECLARED DEFAULTER BY THE EXCHANGE

DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992   		CANCELLED REGISTRATION AS STOCK BROKER FROM 24-JUN-2004

24-JUN-2004 		 
22
History of entity/person ALBA CAPITAL MARKETS PVT.LTD.

(Member : NSE)  
  DID NOT PAY FEES TO SEBI

DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   		CANCELLED REGISTRATION AS STOCK BROKER FROM 21-FEB-2008

21-FEB-2008 		 
23
History of entity/person ALEMBIC SECURITIES PVT.LTD.

(CIN:U67120MH1995PTC092560)

(Member : NSE)  
  DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002

22-OCT-2002 		 
24
History of entity/person ALEYSON SECURITIES

(Member : COCSE)  
Click here to view complete history of this specific entity/person K.GEORGE RAJAN
  		DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 16-FEB-2005

16-FEB-2005 		 
25
History of entity/person AL-FALAH INVESTMENTS LTD.

(Member : OTC)  
  DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 03-SEP-2004

03-SEP-2004 		 
26
History of entity/person AL-FALAH INVESTMENTS LTD.

(Member : NSE)  
  DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED   CANCELLED REGISTRATION AS STOCK BROKER FROM 03-JAN-2003

03-JAN-2003 		SAT: DIRECTED SEBI TO CONSIDER APPLICATION FOR FRESH REGISTRATION AS A STOCK BROKER UPON RESTORATION OF MEMBERSHIP BY NSE  
27
History of entity/person ALMEIDA & CO.STOCK BROKERS LTD.

(CIN:L67120MH1995PLC089028)

(Member : NSE)  
  DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 03-SEP-2004

03-SEP-2004 		 
28
History of entity/person AMBADY & AMBADY

(Member : COCSE)  
Click here to view complete history of this specific entity/person BIJU AMBADY
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 29-OCT-2004

29-OCT-2004 		 
29
History of entity/person AMI SECURITIES LTD.

(Member : NSE)  
  DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 03-SEP-2004

03-SEP-2004 		 
30
History of entity/person AMIT FINANCIAL SERVICES PVT.LTD.

(Member : NSE)  
  DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 05-NOV-2012

05-NOV-2012 		 
31
History of entity/person AMRUTHA CONSULTANTS

(Member : MNGSE)  
Click here to view complete history of this specific entity/person I.KRISHNA BHAT
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 16-JUL-2004

16-JUL-2004 		 
32
History of entity/person ANAND M.FATEHPURIA,M/S

(Member : MNGSE)  
Click here to view complete history of this specific entity/person ANAND M.FATEHPURIA
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 16-JUL-2004

16-JUL-2004 		 
33
History of entity/person ANAND STOCK PVT.LTD.

(Member : NSE)  
  DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002

22-OCT-2002 		 
34
History of entity/person ANGEL FINANCIAL CONSULTANTS PVT.LTD.

(Member : OTC)  
  DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 03-SEP-2004

03-SEP-2004 		 
35
History of entity/person ANIL BAGLA,M/S

(Member : UPSE)  
Click here to view complete history of this specific entity/person ANIL BAGLA
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 29-SEP-2004

29-SEP-2004 		 
36
History of entity/person ANIL K.SETH,M/S

(Member : MNGSE)  
Click here to view complete history of this specific entity/person ANIL K.SETH
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 16-JUL-2004

16-JUL-2004 		 
37
History of entity/person ARCHANA & CO.

(Member : BGSE)  
Click here to view complete history of this specific entity/person C.R.THIMMAIAH
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 26-JUN-2003

26-JUN-2003 		 
38
History of entity/person ARIHANT EXIM SCRIP PVT.LTD.

(CIN:U51109WB1991PTC053673)

(Member : CSE)  
  DECLARED DEFAULTER AND NOT RE-ADMITTED WITHIN A PERIOD OF SIX MONTHS   CANCELLED REGISTRATION AS STOCK BROKER FROM 30-JUL-2002

30-JUL-2002 		 
39
History of entity/person ARUN GOEL & CO.

(Member : UPSE)  
Click here to view complete history of this specific entity/person ARUN KUMAR GOEL
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 14-JAN-2005

14-JAN-2005 		 
40
History of entity/person ARUN KUMAR AGGARWAL,M/S

(Member : OTC)  
Click here to view complete history of this specific entity/person ARUN KUMAR AGGARWAL
  		DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED

DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992   		CANCELLED REGISTRATION AS STOCK BROKER FROM 22-JUN-2004

22-JUN-2004 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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