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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
21
History of entity/person DHANVARSHA INVESTMENTS  
Click here to view complete history of this specific entity/person JEEV NARAIN MISHRA
  		AIDED AND ABETED ITS CLIENTS 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 		 
22
History of entity/person DIGITAL STOCKS

(Sub-Broker of SAM GLOBAL SECURITIES LTD.)  
Click here to view complete history of this specific entity/person DHEERAJ KUMAR MADAAN
  		ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

DEFRAUDED SMALL INVESTORS OF THEIR MONEY AND SHARES   		DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-OCT-2005 TILL FURTHER ORDERS

05-OCT-2005 		SEBI VIDE ORDER DATED 28/09/2007 REDUCED THE DEBARED PERIOD FOR 3 YEARS I.E. FROM 05/10/2005 TO 04/10/2008

SEBI VIDE ORDER DATED 28/09/2007 DIRECTED NSE TO SETTLE CLAIMS OF INVESTORS BY UTILISING FUNDS AND/OR SECURITIES OF DEFAULTERS  
23
History of entity/person ENDEE COMMERCIAL STOCK

(Sub-Broker of FIRST NATIONAL SECURITIES (INDIA) 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 		 
24
History of entity/person EQUIWEALTH SECURITIES

(Sub-Broker of SSKI INVESTOR SERVICES 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 		 
25
History of entity/person ESS VEE ASSOCIATES

(Sub-Broker of KOTAK SECURITIES 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 		 
26
History of entity/person FORD BROTHERS CAPITAL SERVICES LTD.

(PAN:AAACF0757E)

(Sub-Broker of AMU SHARES & SECURITIES 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 		 
27
History of entity/person FORTUNE INVESTMENT

(Sub-Broker of K.M.JAIN STOCK BROKER 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 		 
28
History of entity/person GANPATI FINSEC PVT.LTD.

(Sub-Broker of SAM GLOBAL SECURITIES LTD., Member : BSE)  
Click here to view complete history of this specific entity/person DEVENDER MITTAL
Click here to view complete history of this specific entity/person K.C.MITTAL
Click here to view complete history of this specific entity/person RITU MITTAL
  		ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION   DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-OCT-2005 TILL FURTHER ORDERS

05-OCT-2005 		SEBI VIDE ORDER DATED 28/09/2007 REDUCED THE DEBARED PERIOD FOR 3 YEARS I.E. FROM 05/10/2005 TO 04/10/2008

SEBI VIDE ORDER DATED 28/09/2007 DIRECTED CDSL TO VERIFY OWNERSHIP OF SHARES AND ENSURE TRANSFER OF SHARES IN THE RESPECTIVE DEMAT ACCOUNT  
29
History of entity/person GOPI INVESTMENT

(Sub-Broker of ACME SHARE & STOCK 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 		 
30
History of entity/person GS INVESTMENT

(Sub-Broker of NAVKAR SHARES & STOCK BROKERS 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 		 
31
History of entity/person HPG FINANCIAL SERVICES PVT.LTD.  
  ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION   IMPOSED PENALTY RS.1,00,000

31-JAN-2011 		 
32
History of entity/person HPG FINANCIAL SERVICES PVT.LTD.  
  ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION   IMPOSED PENALTY RS.5,00,000

12-MAY-2010 		SAT: APPEAL FAILED AND DISMISSED. NO ORDER AS TO COSTS  
33
History of entity/person HPG FINANCIAL SERVICES PVT.LTD.  
  ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION   IMPOSED PENALTY RS.20,000

27-JUL-2010 		 
34
History of entity/person ISHITA INVESTMENTS  
Click here to view complete history of this specific entity/person ASHISH DHIRAWANI
  		ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION   WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

29-APR-2009 		 
35
History of entity/person JATIN J.SHAH,M/S

(Sub-Broker of KIRTIKUMAR FULCHAND VORA, Member : BSE)  
Click here to view complete history of this specific entity/person JATIN J.SHAH
  		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 		 
36
History of entity/person JOGLEKAR INVESTMENTS PVT.LTD.

(CIN:U65993PN1997PTC106626)  
Click here to view complete history of this specific entity/person MADHAV PRASAD JOGLEKAR
  		ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION

INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION

DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS   		DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-OCT-2007 TILL COMPLETION OF INQUIRY

17-OCT-2007 		WITHDRAWN INTERIM ORDER DATED 17/10/2007  
37
History of entity/person KIRAN PARASRAMPURIA,M/S

(Sub-Broker of HEM SECURITIES LTD., Member : BSE)  
Click here to view complete history of this specific entity/person KIRAN PARASRAMPURIA
  		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 		 
38
History of entity/person KUBER FINSTOCK PVT.LTD.

(PAN:AACCK2685A)  
Click here to view complete history of this specific entity/person CHANDRESH P.LOTIA
Click here to view complete history of this specific entity/person JIGNESH SHETH
  		ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

ALLEGED INDULGENCE IN CREATION OF CROSS DEALS IN SCRIP OF AXEL POLYMERS LTD.   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,25,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

28-APR-2009 		 
39
History of entity/person KUNAL ASSOCIATES

(Sub-Broker of ASHVIN M.SHAH, 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 		 
40
History of entity/person KUSHMEGH INVESTMENT

(Sub-Broker of PAWAN KUMAR AGGARWAL, 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 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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