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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.

PERSONS: DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER

S.No. PERSON ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person SANJAY GUPTA

(PAN:AAHPG3047Q)  
Click here to view complete history of this specific entity/person OPG SECURITIES PVT.LTD.

PAN:AAACO1081C
  		GAINED ADVANTAGE BY CONSISTENTLY LOGGED IN FIRST ACROSS POP SERVERS ON ACCOUNT OF BEING AWARE OF THE WEAKNESS OF THE TCP/IP TBT SYSTEM ARCHITECTURE

TRIED TO CROWD OUT OTHER TRADING MEMBERS FROM TCP/IP TBT SYSTEM PLATFORM

GAINED UNFAIR ACCESS AND ADVANTAGE BY CONSISTENTLY LOGGING INTO SECONDARY POP SERVER FOR LARGE NUMBER OF DAYS VIOLATING CLAUSES A(1), A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF OPG SECURITIES LTD.   		DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-APR-2024 TO 29-OCT-2024

DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 30-APR-2024 TO 29-OCT-2024

DIRECTED TO DISGORGE RS.77,75,46,000 ALONG WITH OTHER ENTITIES/PERSONS

DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS

30-APR-2019 		SEBI VIDE ITS ORDER DATED 03/05/2019 ALLOWED OPG SECURITIES PVT.LTD. AND ITS DIRECTORS TO CLOSE OPEN POSITIONS IN FUTURES AND OPTIONS AND CURRENCY DERIVATIVES SEGMENTS OF OPG SECURITIES PVT.LTD. ON OR BEFORE EXPIRY DATE OF RESPECTIVE CONTRACTS OR WITHIN TWO MONTHS FROM 30/04/2019 WHICHEVER IS EARLIER

SAT: SAT VIDE ITS ORDER DATED 20/05/2019 MODIFIED ITS ORDER DATED 06/05/2019 TO THE EXTENT THAT APPELLANTS MAY DEPOSIT RS.7.50 CRORES IN CASH OR IN THE FORM OF BANK GUARANTEE FROM NATIONALIZED BANK ON OR BEFORE 30/05/2019  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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