| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
A C AGARWAL COMMODITIES PVT.LTD.
(PAN:AAJCA3827B)
(Member : NSEL)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 26-JUL-2023
26-JUL-2023
|
|
| 2 |
|
|
A&A INVESTMENTS
(Member : UPSE)
|
|
|
|
PAWAN KUMAR AGARWAL
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 29-SEP-2004
29-SEP-2004
|
|
| 3 |
|
|
A.ACHUTHAN,M/S
(Member : COCSE)
|
|
|
|
A.ACHUTHAN
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 27-AUG-2004
27-AUG-2004
|
|
| 4 |
|
|
A.JOB & CO.
(Member : COCSE)
|
|
|
|
ANTHONY JOB
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 16-FEB-2005
16-FEB-2005
|
|
| 5 |
|
|
A.K.FINANCIAL CO.
(Member : BHSE/ICSE)
|
|
|
|
ANJANI KUMAR SINGH
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-DEC-2004
30-DEC-2004
|
|
| 6 |
|
|
A.MALIK & CO.
(Member : CSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 27-AUG-2004
27-AUG-2004
|
|
| 7 |
|
|
A.N.PRASAD,M/S
(Member : OTC)
|
|
|
|
A.N.PRASAD
|
|
DID NOT PAY FEES TO SEBI
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 23-JAN-2008
23-JAN-2008
|
|
| 8 |
|
|
A.S.P.INVESTMENTS LTD.
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 23-JAN-2008
23-JAN-2008
|
|
| 9 |
|
|
A.VENKAT N.REDDY,M/S
(Member : OTC)
|
|
|
|
A.VENKAT N.REDDY
|
|
DID NOT PAY FEES TO SEBI
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 23-JAN-2008
23-JAN-2008
|
|
| 10 |
|
|
A.VISWANATHAN,M/S
(Member : MDSE)
|
|
|
|
A.VISWANATHAN
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002
22-OCT-2002
|
|
| 11 |
|
|
AADYA COMMODITIES PVT.LTD.
(PAN:AAHCA2094C)
(Member : MCX)
|
|
|
ENGAGED IN BUSINESS OTHER THAN SECURITIES
DID NOT CARRY OUT ACTUAL PERIODIC SETTLEMENT OF FUNDS AND SECURITIES OF ITS CLIENTS
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
SOLD CLIENTS SECURITIES FROM EMPLOYEE’S ACCOUNT
MISUSED PLEDGING OF CLIENT’S SECURITIES
TRANSFERRED FUNDS PERTAINING TO CLIENTS TO THIRD PARTIES AND TO ITS RELATED
ENTITIES/DIRECTORS
INDULGED IN ACTIVITIES OTHER THAN STOCK BROKING SUCH AS WITHDRAWAL/DEPOSITS OF CASH FROM VARIOUS BANK ACCOUNTS AND PROVIDING ASSURED RETURNS TO CLIENTS/INVESTORS
MADE PAYMENT TOWARDS INTEREST (FIXED RETURN) TO CLIENTS
INDULGED IN FALSIFICATION OF ACCOUNTS AND RECORDS
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
DID NOT SUBMIT INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON
DID NOT REDRESS INVESTOR COMPLAINTS
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 14-NOV-2022
14-NOV-2022
|
|
| 12 |
|
|
AAKASH STOCKS & SHARES PVT.LTD.
(Member : MDSE)
|
|
|
|
R.A.RAVICHANDRAN
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 26-SEP-2003
26-SEP-2003
|
|
| 13 |
|
|
AANYA COMMODITIES PVT.LTD.
(PAN:AAGCA2564E)
(Member : MSEI)
|
|
|
NO LONGER A MEMBER OF ANY STOCK EXCHANGE
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-AUG-2024
30-AUG-2024
|
|
| 14 |
|
|
AASHISH & CO.
(Member : OTC)
|
|
|
|
MANOHAR RAJ KANKARIA
|
|
DID NOT PAY FEES TO SEBI
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 23-JAN-2008
23-JAN-2008
|
|
| 15 |
|
|
AASMAA COMMODITIES PVT.LTD.
(Member : NSEL)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 29-OCT-2021
29-OCT-2021
|
|
| 16 |
|
|
ABANS COMMODITIES (I) PVT.LTD.
(Member : NSEL)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 28-MAR-2023
28-MAR-2023
|
SAT: SAT VIDE ITS ORDER DATED 18/05/2023 ALLOWED RESPONDENT FURTHER TWO WEEKS TO FILE REPLY AND REJOINDER TO BE FILED ON 21/06/2023. INTERIM RELIEF TO CONTINUE TILL FURTHER ORDERS
SAT: SAT VIDE ITS ORDER DATED 08/08/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN TWO WEEKS THEREAFTER
|
| 17 |
|
|
ABID ASSOCIATES
(Member : BGSE)
|
|
|
|
TAJUDDIN ABID
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 03-SEP-2004
03-SEP-2004
|
|
| 18 |
|
|
ABISHEK ENTERPRISES
(Along with : K.ANANTHANARAYANAN,M/S)
|
|
|
|
K.ANANTHANARAYANAN
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002
22-OCT-2002
|
|
| 19 |
|
|
ACE SECURITIES PVT.LTD.
(Member : OTC)
|
|
|
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 22-JUN-2004
22-JUN-2004
|
|
| 20 |
|
|
ACTION FINANCIAL SERVICES (INDIA) LTD.
(PAN:AAACA4423G)
(Member : NSE/BSE/MSEI)
|
|
|
NO LONGER A MEMBER OF ANY STOCK EXCHANGE
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-AUG-2024
30-AUG-2024
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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