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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: CANCELLED REGISTRATION AS STOCK BROKER

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
41
History of entity/person ALPHA COMMODITY PVT.LTD.

(PAN:AADCM6826A)

(Member : NSEL)  
  NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER   CANCELLED REGISTRATION AS STOCK BROKER FROM 29-APR-2022

29-APR-2022
SAT: SAT VIDE ITS ORDER DATED 29/07/2022 ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER DATED 29/04/2022. MATTER REMITTED TO WTM TO DECIDE MATTER REFRESH  
42
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
 
43
History of entity/person AMBER SOLUTIONS PVT.LTD.

(PAN:AADCA0758K)

(Member : MSEI)  
  NO LONGER A MEMBER OF ANY STOCK EXCHANGE   CANCELLED REGISTRATION AS STOCK BROKER FROM 30-AUG-2024

30-AUG-2024
 
44
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
 
45
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
 
46
History of entity/person AMRAPALI AADYA TRADING & INVESTMENT PVT.LTD.

(PAN:AAECA3909P)

(Member : NSE/BSE/MSEI)  
  ENGAGED IN BUSINESS OTHER THAN SECURITIES

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS

SOLD CLIENTS SECURITIES FROM EMPLOYEE’S ACCOUNT

MISUSED PLEDGING OF CLIENT’S SECURITIES

TRANSFERRED FUNDS PERTAINING TO CLIENTS TO THIRD PARTIES AND TO ITS RELATED ENTITIES/DIRECTORS

INDULGED IN ACTIVITIES OTHER THAN STOCK BROKING SUCH AS WITHDRAWAL/DEPOSITS OF CASH FROM VARIOUS BANK ACCOUNTS AND PROVIDING ASSURED RETURNS TO CLIENTS/INVESTORS

MADE PAYMENT TOWARDS INTEREST (FIXED RETURN) TO CLIENTS

INDULGED IN FALSIFICATION OF ACCOUNTS AND RECORDS

DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES

DID NOT SUBMIT INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON

DID NOT REDRESS INVESTOR COMPLAINTS  
CANCELLED REGISTRATION AS STOCK BROKER FROM 14-NOV-2022

14-NOV-2022
 
47
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
 
48
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
 
49
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
 
50
History of entity/person ANEE SECURITIES PVT.LTD.

(PAN:AAMCA2521M)

(Member : BSE/NSE/MSEI/NCDEX/MCX)  
  DID NOT HOLD MEMBERSHIP OF ANY RECOGNISED STOCK EXCHANGES VIOLATING REGULATION 9(A) OF SEBI (STOCK BROKER) REGULATIONS, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 14-FEB-2022

14-FEB-2022
 
51
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
 
52
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
 
53
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
 
54
History of entity/person ANUGRAH STOCK & BROKING PVT.LTD.

(PAN:AAACW2920N)

(Member : NSE/BSE/MSEI)  
  OFFERED PORTFOLIO MANAGEMENT SERVICES BY OFFERING DERIVATIVES ADVISORY SERVICES

PROVIDED EXPOSURE TO CLIENTS HAVING DEBIT BALANCE

MISAPPROPRIATED CLIENT SECURITIES AND/OR FUNDS

MISUTILIZED CLIENTS FUNDS FOR DEBIT OBLIGATION OF OWN/OTHER CLIENTS

MISSTATEMENT ABOUT DEBTORS AND CREDITORS

MISSTATED CLIENT LEDGER

INDULGED IN FALSIFICATION OF ACCOUNTS AND RECORDS  
CANCELLED REGISTRATION AS STOCK BROKER FROM 28-MAR-2023

28-MAR-2023
 
55
History of entity/person ARCADIA COMMODITIES & TRADING

(PAN:AAKFA1192M)

(Member : NSEL)  
  NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER   CANCELLED REGISTRATION AS STOCK BROKER FROM 23-OCT-2023

23-OCT-2023
 
56
History of entity/person ARCADIA SHARE & STOCK BROKERS PVT.LTD.

(PAN:AAACA4562G)

(Member : NSE/BSE)  
  NO LONGER A MEMBER OF ANY STOCK EXCHANGE   CANCELLED REGISTRATION AS STOCK BROKER FROM 30-AUG-2024

30-AUG-2024
 
57
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
 
58
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
 
59
History of entity/person ARULRAJ & CO.

(Member : BGSE)  
  DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS

DID NOT ISSUE CONTRACT NOTES

INDULGED IN OFF-THE-FLOOR TRANSACTIONS

INDULGED IN GALA TRANSACTIONS

INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS

DID NOT MAKE PAYMENTS TO CLIENTS IN TIME

DID NOT REDRESS INVESTOR COMPLAINTS  
CANCELLED REGISTRATION AS STOCK BROKER FROM 26-FEB-1998

04-MAR-1998
 
60
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
 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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