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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
581
History of entity/person WESTFIN SECURITIES LTD.

(Member : COCSE)  
  DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 03-JAN-2005

03-JAN-2005 		 
582
History of entity/person WISDOM PORTFOLIO MANAGEMENT SERVICES 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 		 
583
History of entity/person WORLDLINK FINANCE LTD.

(Member : OTC)  
  DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002

22-OCT-2002 		 
584
History of entity/person Y.L.V.PRASAD,M/S

(Member : HSE)  
Click here to view complete history of this specific entity/person Y.L.V.PRASAD
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 30-JUN-2004

30-JUN-2004 		 
585
History of entity/person Y.N.SHAH,M/S

(Member : BSE)  
Click here to view complete history of this specific entity/person YASHWANT N.SHAH
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 24-JUL-2002

24-JUL-2002 		 
586
History of entity/person YOGENDRA SHARMA,/MS

(Member : UPSE)  
Click here to view complete history of this specific entity/person YOGENDRA SHARMA
  		DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED

DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992   		CANCELLED REGISTRATION AS STOCK BROKER FROM 08-JUL-2003

17-JUN-2003 		 
587
History of entity/person YOGESH MEHTA,M/S

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

10-APR-2002 		SAT: APPEAL ALLOWED TO BE WITHDRAWN. NO COSTS  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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