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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 : 11-APR-2026

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: REACHED SETTLEMENT (CONSENT ORDER)

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

(Member : BSE)  
  ALLEGED VIOLATION OF SEBI (PFUTP) REGULATIONS, 1995 IN MATTER OF DESIGN AUTO SYSTEMS LTD.

ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE VIOLATING CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF DESIGN AUTO SYSTEMS LTD.   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,50,000 VIDE CONSENT ORDER)

21-DEC-2009 		 
22
History of entity/person ACTIVE FINSTOCK PVT.LTD.

(Member : BSE)  
Click here to view complete history of this specific entity/person VIMAL P.KHANDWALA
  		DID NOT EXERCISE DUE CARE AND DILIGENCE

DEALT WITH UN-REGISTERED SUB-BROKERS   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-JAN-2009 TO 27-JAN-2009

06-JAN-2009

REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000, LEGAL EXPENSES RS.60,000 VIDE CONSENT ORDER)

07-JAN-2010 		SAT: ORDER DATED 06/01/2009 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.2,00,000 TOWARDS SETTLEMENT CHARGES AND RS.60,000 TOWARDS LEGAL EXPSNES , AS PER CONSENT ORDER  
23
History of entity/person ACUMEN CAPITAL MARKET (INDIA) LTD.

(PAN:AABCP6649J)

(Member : BSE)  
  ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET THROUGH CIRCULAR, REVERSAL OF TRADES, SYNCHRONIZED AND STRUCTURED DEALS IN SCRIP OF SYSTEL INFOTECH LTD.

ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE AND FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE , INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SYSTEL INFOTECH LTD.   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)

29-APR-2011 		 
24
History of entity/person ACUMEN CAPITAL MARKET (INDIA) LTD.

(PAN:AABCP6649J)

(Member : BSE/NSE)  
  ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992   REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)

17-MAR-2026 		 
25
History of entity/person ACUMEN CAPITAL MARKET (INDIA) LTD.

(PAN:AABCP6649J)

(Member : BSE/COCSE/NSE)  
  ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR/SYNCHRONIZED TRANSACTIONS IN SCRIP OF SKS LOGISTICS LTD.

ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A (1) TO A (5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SKS LOGISTICS LTD.   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)

27-MAY-2011 		 
26
History of entity/person ACUMEN CAPITAL MARKET (INDIA) LTD.

(PAN:AABCP6649J)

(Member : BSE/NSE)  
  ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF ADANI EXPORTS LTD.

ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, NOT EXERCISED DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLIED WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF ADANI EXPORTS LTD.   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)

26-JUL-2011 		 
27
History of entity/person ADITYA BIRLA MONEY LTD.

(PAN:AAACA7472K)

(Member : BSE/NSE)  
  ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992   REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)

17-MAR-2026 		 
28
History of entity/person ADOLF PATRICK PINTO,M/S

(Member : BSE)  
Click here to view complete history of this specific entity/person ADOLF PATRICK PINTO
  		ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET THROUGH CIRCULAR AND STRUCTURED TRANSACTIONS AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF RAJESH EXPORTS LTD.

ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLIED WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF RAJESH EXPORTS LTD.   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)

28-JAN-2010 		 
29
History of entity/person ADOLF PATRICK PINTO,M/S

(Member : BSE)  
Click here to view complete history of this specific entity/person ADOLF PATRICK PINTO
  		ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR/REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF GRAVITY INDIA LTD.

ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLIED WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF GRAVITY INDIA LTD.   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,25,000 VIDE CONSENT ORDER)

13-JAN-2010 		 
30
History of entity/person ADROIT FINANCIAL SERVICES PVT.LTD.

(PAN:AABCA1156D)

(Member : NSE)  
  ALLEGED INDULGENCE IN MARKET MANIPULATION AND PRICE MANIPULATION THROUGH CROSS, STRUCTURED AND SYNCHRONIZED DEALS IN SCRIP OF SHAMKEN MULTIFAB LTD.

ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(2), A(3) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SHAMKEN MULTIFAB LTD.   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)

01-NOV-2012 		 
31
History of entity/person ADROIT FINANCIAL SERVICES PVT.LTD.

(PAN:AABCA1156D)

(Member : BSE)  
  ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)

14-MAR-2023 		 
32
History of entity/person ADROIT FINANCIAL SERVICES PVT.LTD.

(PAN:AABCA1156D)

(Member : BSE/NSE)  
  ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992   REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)

17-MAR-2026 		 
33
History of entity/person AGROY FINANCE & INVESTMENT LTD.

(Member : NSE)  
  ALLEGED INDULGENCE IN IRREGULAR TRNSACTIONS IN SCRIP OF KAJARIA CERAMICS LTD.

ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLIED WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF KAJARIA CERAMICS LTD.   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)

31-MAR-2010 		 
34
History of entity/person AIRAN FINSTOCKS PVT.LTD.

(PAN:AAGCA7065A)

(Member : BSE)  
  ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)

14-MAR-2023 		 
35
History of entity/person AJMERA ASSOCIATES LTD.

(PAN:AADCA7062J)

(Member : BSE)  
  ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)

14-MAR-2023 		 
36
History of entity/person ALACRITY SECURITIES LTD.

(PAN:AACCA0737D)

(Member : BSE)  
  ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)

14-MAR-2023 		 
37
History of entity/person ALANKIT ASSIGNMENTS LTD.

(PAN:AAACA9483E)

(Member : BSE/NSE)  
  ALLEGED FAILURE TO CARRY OUT ACTUAL SETTLEMENT OF FUNDS & SECURITIES OF ACTIVE AND INACTIVE CLIENTS DURING INSPECTION PERIOD VIOLATING SEBI CIRCULARS REF. NO.SEBI/MIRSD/SE/CIR-19/2009 DATED 03/12/2009 AND SEBI/MIRSD/SE/CIR/01/2011 DATED 13/05/2011

ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 9 READ WITH CLAUSES A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.58,96,000 VIDE CONSENT ORDER)

31-OCT-2018 		 
38
History of entity/person ALANKIT ASSIGNMENTS LTD.

(PAN:AAACA9483E)

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

ALLEGED GRANT OF TRADING TERMINALS AT LOCATIONS OTHER THAN REGISTERED OFFICES AND REGISTERED SUB-BROKERS’ OFFICES

ALLEGED NON-SEGREGATION OF CLIENTS FUND AND SECURITIES FROM OWN FUNDS AND SECURITIES

ALLEGED MISUTILISATION OF CLIENTS FUNDS

ALLEGED CHANGE OF SHAREHOLDING PATTERN WITHOUT PRIOR PERMISSION OF SEBI   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)

11-SEP-2008 		 
39
History of entity/person ALICE BLUE FINANCIAL SERVICES PVT.LTD.

(PAN:AAPCA2445K)

(Member : BSE/NSE)  
  ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992   REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)

17-MAR-2026 		 
40
History of entity/person ALLIANCE FINSTOCK LTD.

(Member : BSE/OTC/PSE)  
  ALLEGED FAILURE/DELAY IN PAYMENT OF DIVIDENDS TO CLIENTS

ALLEGED INSTALLATION OF TERMINALS AT UNAUTHORIZED PLACES

DEALT WITH UN-REGISTERED SUB-BROKERS

ALLEGED MISUTILISATION OF CLIENTS FUNDS   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)

16-SEP-2008 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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