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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: DID NOT ADHERE TO PROVISION REGULATION OF SEBI

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
41
History of entity/person ARUN MEHROTRA & CO.

(Member : UPSE)  
Click here to view complete history of this specific entity/person ARUN KUMAR MEHROTRA
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 29-SEP-2004

29-SEP-2004 		 
42
History of entity/person ARUNIMA INVESTMENT PVT.LTD.

(Member : OTC)  
  DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 31-JAN-2005

31-JAN-2005 		 
43
History of entity/person ARUSHI SECURITY & CAPITAL SERVICES PVT.LTD.

(Member : OTC)  
  DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED

DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992   		CANCELLED REGISTRATION AS STOCK BROKER FROM 22-JUN-2004

22-JUN-2004 		 
44
History of entity/person ASHISH BAMBA,M/S

(Member : OTC)  
Click here to view complete history of this specific entity/person ASHISH BAMBA
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 06-DEC-2004

06-DEC-2004 		 
45
History of entity/person ASHOK GUPTA,M/S

(Member : NSE)  
Click here to view complete history of this specific entity/person ASHOK GUPTA
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 03-SEP-2004

03-SEP-2004 		 
46
History of entity/person ASHOK KAPOOR,M/S

(Member : LSE)  
Click here to view complete history of this specific entity/person ASHOK KAPOOR
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 11-OCT-2002

11-OCT-2002 		 
47
History of entity/person ASHOK KUMAR GUPTA & CO.

(Member : LSE)  
Click here to view complete history of this specific entity/person ASHOK KUMAR GUPTA
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 11-OCT-2002

11-OCT-2002 		 
48
History of entity/person ASHOK KUMAR PODDAR,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person ASHOK KUMAR PODDAR
  		DECLARED DEFAULTER AND NOT RE-ADMITTED WITHIN A PERIOD OF SIX MONTHS   CANCELLED REGISTRATION AS STOCK BROKER FROM 30-JUL-2002

30-JUL-2002 		 
49
History of entity/person ASHOK RANI MALIK,M/S

(Member : LSE)  
Click here to view complete history of this specific entity/person ASHOK RANI MALIK
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 11-OCT-2002

11-OCT-2002 		 
50
History of entity/person ASHOKA FINANCIAL CONSULTANTS

(Member : MGSE)  
  DECLARED DEFAULTER BY THE EXCHANGE

DEALT AND INTRODUCED TAINTED/STOLEN/FABRICATED/DUPLICATE SHARES

DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992   		CANCELLED REGISTRATION AS STOCK BROKER FROM 02-MAY-2000

02-MAY-2000 		 
51
History of entity/person ASIAN SECURITIES & STOCKS 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 		 
52
History of entity/person ASSIGN SECURITIES & INVESTMENTS PVT.LTD.

(Member : COCSE)  
  DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 16-FEB-2005

16-FEB-2005 		 
53
History of entity/person ATHREYA SHARES & SECURITIES PVT.LTD.

(Member : OTC)  
  DID NOT PAY FEES TO SEBI

DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED   		CANCELLED REGISTRATION AS STOCK BROKER FROM 23-JAN-2008

23-JAN-2008 		 
54
History of entity/person ATLANTIS STOCKS LTD.

(Member : NSE)  
  DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 28-FEB-2005

28-FEB-2005 		 
55
History of entity/person ATUL C.SHAH,M/S

(Member : OTC)  
Click here to view complete history of this specific entity/person ATUL C.SHAH
  		DID NOT PAY FEES TO SEBI

DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED   		CANCELLED REGISTRATION AS STOCK BROKER FROM 23-JAN-2008

23-JAN-2008 		 
56
History of entity/person ATUL K.DALAL,M/S

(Member : ASE)  
Click here to view complete history of this specific entity/person ATUL K.DALAL
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 10-APR-2002

10-APR-2002 		 
57
History of entity/person AVONSKI 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 		 
58
History of entity/person B.N.MEHTA & CO.

(Member : VSE)  
Click here to view complete history of this specific entity/person B.N.MEHTA
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002

22-OCT-2002 		 
59
History of entity/person B.R.MURALIDHAR,M/S

(Member : BGSE)  
Click here to view complete history of this specific entity/person B.R.MURALIDHAR
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 10-APR-2002

10-APR-2002 		 
60
History of entity/person B.SIVASANKARAN NAIR,M/S

(Member : COCSE)  
Click here to view complete history of this specific entity/person B.SIVASANKARAN NAIR
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 27-AUG-2004

27-AUG-2004 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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