S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
41 |
|
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 |
|
AMBADY & AMBADY
(Member : COCSE)
|
|
|
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 |
|
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 |
|
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 |
|
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 |
|
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 |
|
AMRUTHA CONSULTANTS
(Member : MNGSE)
|
|
|
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 |
|
ANAND M.FATEHPURIA,M/S
(Member : MNGSE)
|
|
|
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 |
|
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 |
|
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 |
|
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 |
|
ANIL BAGLA,M/S
(Member : UPSE)
|
|
|
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 |
|
ANIL K.SETH,M/S
(Member : MNGSE)
|
|
|
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 |
|
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 |
|
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 |
|
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 |
|
ARCHANA & CO.
(Member : BGSE)
|
|
|
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 |
|
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 |
|
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 |
|
ARUN GOEL & CO.
(Member : UPSE)
|
|
|
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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