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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: CERTIFICATE OF REGISTRATION EXPIRED/SURRENDERED/CEASED/SUSPENDED

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
41
History of entity/person PRUDENTIAL STOCK & SECURITIES LTD.

(Member : NSE)  
  SURRENDERED MEMBERSHIP CARD TO EXCHANGE

DID NOT EXERCISE DUE CARE AND DILIGENCE WHILE DISCHARGING DUTIES IN MATTER OF HITECHI JEWELLERY INDUSTRIES LTD.

AIDED AND ABETTED MARKET MANIPULATIONS IN SCRIP OF HITECHI JEWELLERY INDUSTRIES LTD.   		DIRECTED VIOLATIONS TO BE TAKEN ON RECORD FOR REVIEWING REGISTRATION APPLICATION

03-AUG-2002 		 
42
History of entity/person QUANTUM GLOBAL SECURITIES LTD.

(PAN:AAACQ0053A)

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

30-AUG-2024 		 
43
History of entity/person RATHI GLOBAL FINANCE LTD.

(Member : OTC)  
  ALREADY SURRENDERED MEMBERSHIP CARD, NO PENALTY OF SUSPENSION WAS IMPOSED   CANCELLED REGISTRATION AS STOCK BROKER FROM 09-NOV-2001

09-NOV-2001 		 
44
History of entity/person REFLECTION INVESTMENTS

(PAN:AAAFR7134G)

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

30-AUG-2024 		 
45
History of entity/person RUSODAY SECURITIES LTD.

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

30-AUG-2024 		 
46
History of entity/person SAARC NET LTD.

(PAN:AAGCS1957D)

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

30-AUG-2024 		 
47
History of entity/person SHARES BAZAAR PVT.LTD.

(PAN:ABECS9026N)

(Member : BSE)  
  NO LONGER A MEMBER OF ANY STOCK EXCHANGE   CANCELLED REGISTRATION AS STOCK BROKER FROM 31-JUL-2024

31-JUL-2024 		SAT: SAT VIDE ITS ORDER DATED 30/01/2025 CONDONED THE DELAY OF 99 DAYS IN FILING OF APPEAL AND GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND REJOINDER, IF ANY, BE FILED WITHIN TWO WEEKS THEREAFTER

SAT: SAT VIDE ITS ORDER DATED 20/03/2025 RESPONDENT SOUGHT TWO WEEKS TO FILE REPLY AND REJOINDER, IF ANY, BE FILED WITHIN TWO WEEKS THEREAFTER  
48
History of entity/person SINGLE WINDOW SECURITIES LTD.

(PAN:AACCS7198A)

(Member : NSE)  
  NO LONGER A MEMBER OF ANY STOCK EXCHANGE   CANCELLED REGISTRATION AS STOCK BROKER FROM 29-JAN-2025

29-JAN-2025 		 
49
History of entity/person SONI SECURITIES LTD.

(Member : NSE)  
  SURRENDERED CERTIFICATE OF REGISTRATION AS STOCK BROKER   CANCELLED REGISTRATION AS STOCK BROKER FROM 27-SEP-2004

27-SEP-2004 		 
50
History of entity/person SRI BHEEMESWARA SECURITIES PVT.LTD.

(CIN:U67120AP1997PTC028396
PAN:AAICS6696P)

(Member : NSE)  
  DID NOT APPLY FOR RENEWAL OF REGISTRATION   CANCELLED REGISTRATION AS STOCK BROKER FROM 03-OCT-2022

03-OCT-2022 		 
51
History of entity/person STAR SHARE & STOCK BROKERS LTD.

(PAN:AAACS9106Q)

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

30-AUG-2024 		 
52
History of entity/person SUMPOORNA COMTRADE PVT.LTD.

(PAN:AAPCS1489R)

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

30-AUG-2024 		 
53
History of entity/person SUMPOORNA PORTFOLIO LTD.

(PAN:AAOCS8998N)

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

30-AUG-2024 		 
54
History of entity/person SUNNESS CAPITAL INDIA PVT.LTD.

(PAN:AAOCS6977K)

(Member : NSE/BSE/MSEI/MCX)  
  NO LONGER A MEMBER OF ANY STOCK EXCHANGE   CANCELLED REGISTRATION AS STOCK BROKER FROM 29-JAN-2025

29-JAN-2025 		 
55
History of entity/person SWETHA & CO.

(Member : BGSE)  
Click here to view complete history of this specific entity/person P.RAMESH KUMAR
  		DEFAULTED IN MAINTENANCE OF BOOKS/DOCUMENTS

COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DID NOT REFUND MONEY COLLECTED UNDER CIS

DID NOT REDRESS INVESTOR COMPLAINTS

SURRENDERED MEMBERSHIP CARD TO EXCHANGE   		CANCELLED REGISTRATION AS STOCK BROKER FROM 04-JAN-2000

04-JAN-2000 		 
56
History of entity/person UNICON SECURITIES PVT.LTD.

(CIN:U74899DL1995PTC064554
PAN:AAPFS5325P)

(Member : NSE/MSEI)  
  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 VARREN FINANCIAL SERVICES LTD.

(Member : NSE)  
  INDULGED IN MARKET MANIPULATION IN SCRIP OF KAMAL OVERSEAS LTD.

SURRENDERED MEMBERSHIP CARD TO EXCHANGE   		CANCELLED REGISTRATION AS STOCK BROKER FROM 22-AUG-2002

22-AUG-2002 		 
58
History of entity/person VINEET SECURITIES PVT.LTD.

(PAN:AAACV1545L)

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

30-AUG-2024 		 
59
History of entity/person VRISE SECURITIES PVT.LTD.

(CIN:119551
PAN:AABCV7112L)

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

30-AUG-2024 		 
60
History of entity/person WEALTH MANTRA COMMODITIES PVT.LTD.

(PAN:AAHCS7515E)

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

30-AUG-2024 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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