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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: FAILED TO REDRESS INVESTOR/CREDITORS COMPLAINTS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person POPULAR SHARE & STOCK BROKERS PVT.LTD.  
  INCREASE IN THE NUMBER OF UNRESOLVED COMPLAINTS BY PORTFOLIO MANAGEMENT CLIENTS   DEBARRED FROM UNDERTAKING FRESH BUSINESS AS MERCHANT BANKER FROM 25-JAN-1999

25-JAN-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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