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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.

MERCHANT BANKERS: DID NOT FULFIL UNDERWRITING OBLIGATIONS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person BHAGWANDAS GORDHANDAS FINANCIAL PVT.LTD.  
  DID NOT FULFILL UNDERWRITING OBLIGATION IN PUBLIC ISSUES OF RITESH POLYESTERS LTD.   SUSPENDED REGISTRATION AS MERCHANT BANKER FOR UNDERWRITING FROM 09-JUN-1997 TO 08-JUN-1999

09-JUN-1997 		 
2
History of entity/person FIRST FINANCIAL SERVICES LTD.

(PAN:AAACF1145J)  
  DID NOT FULFILL UNDERWRITING OBLIGATION IN PUBLIC ISSUES OF RITESH POLYESTERS LTD.   SUSPENDED REGISTRATION AS MERCHANT BANKER FOR UNDERWRITING FROM 29-MAY-1997 TO 28-MAY-1999

29-MAY-1997 		 
3
History of entity/person HINDUSTAN STOCKLAND LTD.  
  DID NOT FULFILL UNDERWRITING OBLIGATION IN PUBLIC ISSUES OF RITESH POLYESTERS LTD.   SUSPENDED REGISTRATION AS MERCHANT BANKER FOR UNDERWRITING FROM 29-MAY-1997 TO 28-MAY-1999

29-MAY-1997 		 
4
History of entity/person MARG SECURITIES LTD.  
  DID NOT FULFILL UNDERWRITING OBLIGATION IN PUBLIC ISSUES OF RITESH POLYESTERS LTD.   SUSPENDED REGISTRATION AS MERCHANT BANKER FOR UNDERWRITING FROM 09-JUN-1997 TO 08-JUN-1999

09-JUN-1997 		 
5
History of entity/person NCJ INTERNATIONAL LTD.  
  DID NOT FULFILL UNDERWRITING OBLIGATION IN PUBLIC ISSUE OF BSM KNIT FAB INDIA LTD.

DID NOT FULFILL UNDERWRITING OBLIGATION IN PUBLIC ISSUE OF ELQUE POLYSTERS LTD.   		SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 24-APR-1998

05-MAY-1998 		 
6
History of entity/person PHOENIX INTERNATIONAL FINANCE LTD.  
  DID NOT FULFILL UNDERWRITING OBLIGATION IN PUBLIC ISSUE OF KANAN STEELS LTD.   SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 13-APR-1999 TO 31-JUL-1999

13-APR-1999 		 
7
History of entity/person ROCKLAND LEASING LTD.  
  DID NOT FULFILL UNDERWRITING OBLIGATION IN PUBLIC ISSUE OF PASUPATI FABRICS LTD.

DID NOT FULFILL UNDERWRITING OBLIGATION IN PUBLIC ISSUE OF ELQUE POLYSTERS LTD.

DID NOT FULFILL UNDERWRITING OBLIGATION IN PUBLIC ISSUE OF BSM KNIT FAB INDIA LTD.   		SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 13-APR-1999 TO 15-OCT-1999

13-APR-1999 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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