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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
61
History of entity/person ARUN KUMAR AGGARWAL,M/S

(Member : OTC)  
Click here to view complete history of this specific entity/person ARUN KUMAR AGGARWAL
  		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 		 
62
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 		 
63
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 		 
64
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 		 
65
History of entity/person ARYAMAN FINANCIAL SERVICES LTD.

(PAN:AABCA1376P)

(Member : COCSE)  
  DID NOT PAY FEES TO SEBI   CANCELLED REGISTRATION AS STOCK BROKER FROM 17-JAN-2008

17-JAN-2008 		 
66
History of entity/person ASHIKA COMMODITIES & DERIVATIVES PVT.LTD.

(PAN:AAFCA5778D)

(Member : NSEL)  
  NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER   CANCELLED REGISTRATION AS STOCK BROKER FROM 14-OCT-2021

14-OCT-2021 		SAT: SAT VIDE ITS ORDER DATED 28/01/2022 CONDONED THE DELAY OF 23 DAYS IN FILING OF APPEAL.IN THE MEANWHILE, RESPONDENT MAY FILE REPLY. DIRECTED THAT THE EFFECT AND OPERATION OF THE IMPUGNED ORDER TO REMAIN STAYED DURING PENDENCY OF THE APPEAL

SAT: SAT VIDE ITS ORDER DATED 18/02/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER. CONDONED THE DELAY IN FILING OF APPEAL  
67
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 		 
68
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 		 
69
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 		 
70
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 		 
71
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 		 
72
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 		 
73
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 		 
74
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 		 
75
History of entity/person ASOKA & CO.

(Member : COCSE)  
Click here to view complete history of this specific entity/person JAYA K.J.
  		DID NOT PAY FEES TO SEBI   CANCELLED REGISTRATION AS STOCK BROKER FROM 17-JAN-2008

17-JAN-2008 		 
76
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 		 
77
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 		 
78
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 		 
79
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 		 
80
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 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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