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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 : 27-AUG-2026

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: ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
81
History of entity/person VIPINBHAI CHINUBHAI DALAL,M/S

(Member : ASE)  
Click here to view complete history of this specific entity/person VIPINBHAI CHINUBHAI DALAL
  		DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

20-FEB-2002 		 
82
History of entity/person VKB CAPITAL SERVICES LTD.

(Member : LSE)  
  DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS AND/OR DOCUMENTS

COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER

INDULGED IN OFF-THE-FLOOR TRANSACTIONS

DID NOT DELIVER SECURITIES TO CLIENTS IN TIME

DID NOT PAY FEES TO SEBI   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-JAN-2004 TO 06-APR-2004

17-DEC-2003 		 
83
History of entity/person YKS CAPITAL SERVICES PVT.LTD.

(Member : DSE)  
  DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER

COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES

DEFICIENCIES IN CLIENT DATABASE

DEALT WITH UN-REGISTERED SUB-BROKERS

DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE

DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

03-JUL-2001 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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