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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.

STOCK BROKERS: DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person GRISHMA SECURITIES PVT.LTD.

(PAN:AABCG1300K)

(Member : BSE/NSE)  
Click here to view complete history of this specific entity/person CHANDRIKA H.GANDHI

PAN:AAMPG4546M
Click here to view complete history of this specific entity/person CHHABIL C.SHAH

PAN:AIXPS6956J
Click here to view complete history of this specific entity/person KETAN C.SHAH

PAN:AIWPS3413R
Click here to view complete history of this specific entity/person MIHIR GHELANI

PAN:AACPG7986K
  		INDULGED IN EVASION OF MARGIN MONEY

UTILIZED IPO PROCEEDS TO MAKE GOOD LOSSES OF ENTITIES WHO SUPPORTED THE PRICE OF FUND CLIENTS WHO INCURRED LOSSES WHILE TRANSACTED IN SCRIP OF TIJARIA POLYPIPES LTD.   		DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TO 27-DEC-2016

DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED

28-DEC-2011 		SEBI VIDE ITS ORDER DATED 05/11/2012 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011

SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS  
2
History of entity/person ONELIFE CAPITAL ADVISORS LTD.

(PAN:AAACO9540L)

(Member : BSE)  
Click here to view complete history of this specific entity/person A.P.SHUKLA

PAN:AECPS3296Q
Click here to view complete history of this specific entity/person DHANANJAY CHANDRAKANT PARIKH

PAN:ACTPP2402L
Click here to view complete history of this specific entity/person PANDOO PRABHAKAR NAIG

PAN:ACNPN2800J
Click here to view complete history of this specific entity/person T.S.RAGHAVAN

PAN:AAFPR1521A
Click here to view complete history of this specific entity/person THIRUVIDAIMARUDUR KRISHNA PRABHAKAR NAIG

PAN:ABIPN2653D
Click here to view complete history of this specific entity/person TUSHAR SHIRDHARANI

PAN:AAIPS0065M
  		MISUTILIZED ISSUE PROCEEDS

DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS   		DIRECTED NOT TO ISSUE ANY EQUITY SHARES OR ANY INSTRUMENT CONVERTIBLE INTO EQUITY SHARES OR ALTER ITS CAPITAL STRUCTURE IN ANY MANNER FROM 28-DEC-2011 TILL FURTHER ORDERS

PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 28-DEC-2011 TILL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS

DIRECTED COMPANY TO CALL BACK ICDS AND/OR OTHER AMOUNTS AND DEPOSIT THE SAME IN AN INTEREST BEARING ESCROW ACCOUNT

DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE

DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED

28-DEC-2011 		SAT: APPEAL DISPOSED OFF WITH NO ORDER AS TO COSTS

SEBI VIDE ITS ORDER DATED 15/02/2012 MODIFIED ITS EARLIER ORDER DATED 28/12/2011 BY ALLOWING TO DEAL IN SHARES FOR LIMITED PURPOSE OF FULFILLING THEIR EXISTING OBLIGATIONS OF UNDERWRITING FOR MINIMUM SUBSCRIPTION  
3
History of entity/person SAILESH H.DOSHI BROKING PVT.LTD.

(Member : BSE)  
  DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.

DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.

INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.   		DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHER ORDERS

DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES

DIRECTED NOT TO UNDERTAKE ANY PROPRIETARY TRADES IN SECURITIES

DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED

28-JUL-2009 		EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED

SEBI VIDE ITS ORDER DATED 11/05/2012 RESTRAINED NOTICE FROM BUYING, SELLING OR OTHERWISE DEALTING IN SECURITIES IN ITS PROPRIETARY ACCOUNTS, DIRECTLY OR INDIRECTLY FOR A PERIOD OF TWO YEARS I.E. DATED 11/05/2012 TO 10/05/2014  
4
History of entity/person SUNIL SHARES & STOCK BROKER LTD.

(Member : MPSE)  
  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF HINDUSTAN CONTINENTAL LTD. AND PRIYANS SAREE INDUSTRIES LTD.   DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-MAR-2010 TO 28-MAR-2012

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-MAR-2010 TO 28-MAR-2012

DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED

29-MAR-2010 		 
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