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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-MAY-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: CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
161
History of entity/person MANHARLAL SHANTILAL,M/S

(Member : BSE)  
  VIOLATED SEBI CODE OF CONDUCT

DID NOT REDRESS INVESTOR COMPLAINTS   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

29-OCT-1997 		 
162
History of entity/person MANTRI FINSTOCK LTD.

(Member : BSE)  
  DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

31-MAR-2000 		 
163
History of entity/person MARLECHA SECURITIES PVT.LTD.

(Member : BGSE)  
  DID NOT COLLECT MARGINS FROM CLIENTS

DEFAULTED IN VERIFYING FINANCIAL CAPABILITIES AND NET WORTH OF CLIENTS

DID NOT MAINTAIN CLIENT REGISTRATION FORMS   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

24-NOV-2006 		 
164
History of entity/person MATHRAN SECURITIES LTD.

(Member : NSE)  
  DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK

DID NOT MAINTAIN CLIENT REGISTRATION FORMS

DID NOT COLLECT MARGINS FROM CLIENTS   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

08-OCT-2004 		 
165
History of entity/person MAYANK GOEL,M/S

(Member : UPSE)  
Click here to view complete history of this specific entity/person MAYANK GOEL
  		VIOLATED CODE OF CONDUCT AS PRESCRIBED UNDER STOCK BROKER REGULATIONS   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

22-OCT-2008 		 
166
History of entity/person MAYOR SALUJA SECURITIES LTD.

(Member : DSE)  
Click here to view complete history of this specific entity/person AJIT MAYOR
  		DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK

FAILED TO SUBMIT AUDIT REPORT TO THE EXCHANGE ON DUE DATE   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

14-MAY-2008 		 
167
History of entity/person MAYUR INVESTMENTS

(Member : PSE)  
  INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

13-AUG-1997 		 
168
History of entity/person MEFCOM SECURITIES & STOCK BROKERS

(Member : DSE)  
  DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DEALT WITH UN-REGISTERED SUB-BROKERS

DID NOT DELIVER SECURITIES TO CLIENTS IN TIME

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

DID NOT ADHERE TO BASE MINIMUM CAPITAL REQUIREMENT   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

18-JUN-1998 		 
169
History of entity/person MG CAPITAL SERVICES LTD.

(CIN:U74899DL1994PLC061509
PAN:AAACM6670R)

(Member : DSE)  
  COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES

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

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DID NOT OBTAIN WRITTEN CONSENT FROM CLIENTS FOR PRINCIPAL TO PRINCIPAL TRANSACTIONS

DEALT WITH UN-REGISTERED SUB-BROKERS   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

06-JAN-2000 		 
170
History of entity/person MG CAPITAL SERVICES LTD.

(CIN:U74899DL1994PLC061509
PAN:AAACM6670R)

(Member : NSE)  
Click here to view complete history of this specific entity/person SANTOSH GOEL
  		INDULGED IN SYNCHRONIZED TRANSACTIONS IN SCRIP OF EIDER INFOTECH LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

15-JAN-2009 		 
171
History of entity/person MONARCH NETWORTH CAPITAL LTD.

(PAN:AAACN1184F)

(Member : BSE)  
Click here to view complete history of this specific entity/person S.P.JAIN
  		DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE EXECUTING TRANSACTIONS IN SCRIP OF DATABASE FINANCE LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

13-JAN-2009 		 
172
History of entity/person MONARCH NETWORTH CAPITAL LTD.

(PAN:AAACN1184F)

(Member : BSE)  
  DID NOT COLLECT MARGINS FROM CLIENTS

INDULGED IN OFF-MARKET TRANSACTIONS

FAILED TO DELIVER SHARES TO CLIENTS   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

22-FEB-2007 		 
173
History of entity/person MOTILAL OSWAL SECURITIES LTD.

(PAN:AAACD3654Q)

(Member : NSE)  
  IN THE CASE OF AMARA RAJA BATTERIES LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

15-JUL-2002 		 
174
History of entity/person MOTISONS SECURITIES PVT.LTD.

(Member : NSE)  
Click here to view complete history of this specific entity/person R.M.AGARWAL
Click here to view complete history of this specific entity/person RAKESH PARASRAMPURIA
  		DID NOT EXERCISE DUE SKILL AND CARE IN MATTER OF KAMAL OVERSEAS LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

22-AUG-2002 		 
175
History of entity/person MPSE SECURITIES LTD.

(PAN:AADCM6438L)

(Member : BSE)  
  ACCEPTED SHARES INSTEAD OF CASH TOWARDS MARGIN DEPOSIT/BMC/ADDITIONAL CAPITAL

DID NOT MAINTAIN BMC IN PRESCRIBED FORM

PERMITTED TRADING TO SUB-BROKERS WITHOUT COLLECTING BMC

PERMITTED HIGHER EXPOSURE LIMITS TO SUB-BROKERS ACROSS ROLLING SETTLEMENTS

DEFICIENCIES IN SYSTEMS DESIGNED TO PREVENT BREACH OF EXPOSURE LIMITS ALLOWED TO SUB-BROKERS

DID NOT PROVIDE SYSTEM LOG FOR TRADING AND EXPOSURE LIMITS ALLOWED TO SUB BROKERS

DID NOT HAVE ANY SYSTEM-GENERATED ALERTS FOR SUB-BROKERS TRADING LEVELS BEFORE DEACTIVATION OF TERMINALS

DID NOT ALLOW EXEMPTION IN VALUE AT RISK MARGINS DUE TO EARLY PAY-IN OF SECURITIES

DID NOT HAVE ANY SYSTEM OF RECORDING ADVANCE DELIVERIES INCLUDING VERIFICATION OF AUTHORIZED PERSONNEL FOR ENHANCING EXPOSURE LIMITS   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

02-FEB-2006 		 
176
History of entity/person MSE FINANCIAL SERVICES LTD.

(Member : BSE)  
  DEALT WITH UN-REGISTERED SUB-BROKERS

DID NOT OBTAIN AUDIT CERTIFICATES FROM SUB BROKERS REGARDING COLLECTION OF MARGINS   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

24-JAN-2006 		 
177
History of entity/person MUKESH DOKANIA & CO.

(Member : CSE)  
Click here to view complete history of this specific entity/person MUKESH DOKANIA
  		DID NOT EXERCISE DUE SKILL AND DILIGENCE   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

09-JAN-2009 		 
178
History of entity/person MUKESH JAIN & CO.

(Member : LSE)  
  DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

22-OCT-1999 		 
179
History of entity/person MUKESH K.MEHTA,M/S

(Member : ASE)  
Click here to view complete history of this specific entity/person MUKESH K.MEHTA
  		DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE

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

INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

10-FEB-2000 		 
180
History of entity/person MUKESH SAWHNEY & CO.

(Member : DSE)  
  DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER

COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES

DID NOT MAINTAIN SEPARATE CLIENT ACCOUNT

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

DID NOT REDRESS INVESTOR COMPLAINTS   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

19-FEB-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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