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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
521
History of entity/person TRIUMPH SECURITIES LTD.

(PAN:AAACT2152P)

(Member : BSE)  
  ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY/STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7 OF SEBI TAKEOVER CODE , 1997 IN MATTER OF ACQUISITION OF SHARES OF ADANI EXPORTS LTD.   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,25,000 VIDE CONSENT ORDER)

24-JAN-2008 		 
522
History of entity/person TRUSTLINE SECURITIES LTD.

(PAN:AAACK1251G)

(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 		 
523
History of entity/person TRUSTLINE SECURITIES LTD.

(PAN:AAACK1251G)

(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 		 
524
History of entity/person UNICON SECURITIES PVT.LTD.

(CIN:U74899DL1995PTC064554
PAN:AAPFS5325P)

(Member : BSE/NSE)  
  ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,00,000 VIDE CONSENT ORDER)

23-MAY-2011 		 
525
History of entity/person UNIQUE STOCKBRO PVT.LTD.

(PAN:AAACU2884M)

(Member : BSE)  
  ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR/SYNCHRONIZED TRANSACTIONS IN SCRIP OF G.G.AUTOMOTIVE GEARS LTD.   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.47,00,000 VIDE CONSENT ORDER)

22-JUL-2010 		 
526
History of entity/person UPSTOX SECURITIES PVT.LTD.

(PAN:AAGCE3230K)

(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 		 
527
History of entity/person V.G.CAPITAL MARKET PVT.LTD.

(PAN:AAACV9904D)

(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 		 
528
History of entity/person VARUN BROKING INDIA LTD.

(PAN:AAACV2852J)

(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 		 
529
History of entity/person VARUN TRADECOM PVT.LTD.

(PAN:AADCV5205A)

(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 		 
530
History of entity/person VASUDEV GORDHANDAS DAPKI,M/S

(Member : ASE)  
Click here to view complete history of this specific entity/person VASUDEV GORDHANDAS DAPKI
  		FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS   DIRECTED NOT TO BUY, SELL OR DEAL IN THE SECURITIES MARKET INCLUDING IPOS DIRECTLY OR INDIRECTLY ON PROPRIETORY BASIS

27-APR-2006

REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,00,000, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.30,00,993 VIDE CONSENT ORDER)

05-NOV-2008 		ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.3,00,000 AGAINST SETTLEMENT CHARGES AND RS.30,00,993 AGAINST AMOUNT DISGORGED AS PER CONSENT ORDER DATED 05/11/2008  
531
History of entity/person VEDIKA VANIJYA PVT.LTD.

(PAN:AACCV5180F)

(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 		 
532
History of entity/person VENTURA SECURITIES LTD.

(PAN:AAACV1361J)

(Depository Participants : NSDL,Member : BSE/NSE/OTC)  
  ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF JAGSONPAL PHARMACEUTICALS LTD.   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)

29-DEC-2008 		 
533
History of entity/person VENTURA SECURITIES LTD.

(PAN:AAACV1361J)

(Member : BSE/OTC/NSE)  
  ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKETS AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRADES IN SCRIP OF SOMPLAST LEATHER INDUSTRIES LTD.   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)

07-OCT-2008 		 
534
History of entity/person VIBRANT SECURITIES PVT.LTD.

(CIN:079371)

(Member : NSE)  
  INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT   CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS FROM 18-JUN-2007 TILL FURTHER ORDERS

18-JUN-2007

REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)

30-SEP-2008 		INTERIM CEASE AND DESIST ORDER DATED 18/06/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.5,00,000 AS PER CONSENT ORDER DATED 30/09/2008  
535
History of entity/person VICTORY FINANCIAL SERVICES LTD.

(PAN:AAACV3362P)

(Member : NSE)  
Click here to view complete history of this specific entity/person AJAY
Click here to view complete history of this specific entity/person V.K.AHUJA
  		INDULGED IN PRICE MANIPULATION IN SCRIP OF INFORMATION TECHNOLOGIES (INDIA) LTD.

VIOLATED SEBI CODE OF CONDUCT   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 28-JUN-2007 TO 27-AUG-2007

07-JUN-2007

REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.9,00,000, LEGAL EXPENSES RS.1,00,000 VIDE CONSENT ORDER)

30-APR-2008 		SAT: APPEAL STAND DISPOSED OFF, AS APPLICANT AGREED TO PAY RS. 10,00,000 AS PER CONSENT ORDER  
536
History of entity/person VIJETA BROKING INDIA PVT.LTD.

(PAN:AACCV6700F)

(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 		 
537
History of entity/person VINOD SHARES LTD.

(PAN:AACCV2842G)

(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 		 
538
History of entity/person VISHWAS FINCAP SERVICES PVT.LTD.

(PAN:AAACV4205D)

(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 		 
539
History of entity/person VISUAL SECURITIES PVT.LTD.

(PAN:AACCV0672Q)

(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 		 
540
History of entity/person VRIDDHI ENTERPRISES

(Member : LSE)  
Click here to view complete history of this specific entity/person KESHAV KUMAR
  		ALLEGED FAILURE TO PAY FEES TO SEBI   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,000 VIDE CONSENT ORDER)

03-FEB-2009 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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