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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.

SUB-BROKERS: DEFAULTED/FAILED TO COLLECT MARGINS/BMC FROM CLIENTS/SUB-BROKERS

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

(Sub-Broker of SURESH RATHI SECURITIES PVT.LTD., Member : NSE)  
  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SPECULATIVE TRANSACTIONS DONE BY THE CLIENTS WITHOUT ANY INTENTION OF GIVING OR TAKING DELIVERY OF SHARES OF MOREPEN HOTELS LTD.

DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE IN MATTER OF MOREPEN HOTELS LTD.

DID NOT COLLECT MARGINS FROM CLIENTS   		SUSPENDED REGISTRATION AS SUB-BROKER FROM 17-JAN-2006 TO 16-MAR-2006

27-DEC-2005 		 
22
History of entity/person Y.SATEESH KUMAR,M/S.

(Sub-Broker of HSE SECURITIES LTD., Member : NSE)  
Click here to view complete history of this specific entity/person Y.SATEESH KUMAR
  		INDULGED IN INDIRECT FUNDING TO CLIENTS

DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK

DID NOT COLLECT MARGINS FROM CLIENTS

DID NOT MAINTAIN CLIENT DATABASE

DID NOT MAKE PAYMENTS TO CLIENTS IN TIME

DID NOT DELIVER SECURITIES TO CLIENTS IN TIME   		IMPOSED PENALTY RS.75,000

21-SEP-2006 		 
23
History of entity/person YASH STOCKBROKERS PVT.LTD.

(Sub-Broker of J.G.A.SHAH SHARE BROKERS PVT.LTD., Member : BSE)  
  DID NOT COLLECT MARGINS FROM CLIENTS

DISPARITIES IN DATES IN CLIENT REGISTRATION FORMS   		SUSPENDED REGISTRATION AS SUB-BROKER FROM 11-JAN-2006 TO 10-MAR-2006

21-DEC-2005 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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