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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 LTD.TO SUBMIT DETAILED REPORT IN MATTER OF ALKA SECURITIES LTD.

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person ANAND RATHI FINANCIAL SERVICES LTD.

(PAN:AABCA3577G)

(Member : BSE)  
  INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.   DIRECTED BSE LTD.TO SUBMIT DETAILED REPORT IN MATTER OF ALKA SECURITIES LTD.

28-JUL-2009 		 
2
History of entity/person EUREKA STOCK & SHARE BROKING SERVICES LTD.

(PAN:AAACE5410B)

(Member : BSE/NSE/OTC)  
  INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.   DIRECTED BSE LTD.TO SUBMIT DETAILED REPORT IN MATTER OF ALKA SECURITIES LTD.

28-JUL-2009 		 
3
History of entity/person ICICI SECURITIES LTD.

(PAN:AAACI0996E)

(Member : BSE/NSE/OTC)  
  INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.   DIRECTED BSE LTD.TO SUBMIT DETAILED REPORT IN MATTER OF ALKA SECURITIES LTD.

28-JUL-2009 		BSE VIDE ITS LETTER DATED 19/11/2009 HAS CONCLUDED THE INSPECTION WITHOUT ANY ADVICE / PENALTIES  
4
History of entity/person MAHESH KOTHARI SHARES & STOCK BROKERS 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.   		DIRECTED NOT TO UNDERTAKE ANY PROPRIETARY TRADES IN SECURITIES

DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 28-JUL-2009 TILL FURTHER ORDERS

DIRECTED BSE LTD.TO SUBMIT DETAILED REPORT IN MATTER OF ALKA SECURITIES LTD.

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

28-JUL-2009 		EX-PARTE AD-INTERIM ORDER DATED 28/07/2009 CONFIRMED AND DIRECTED BSE AND NSE TO 1) APPOINT AN INDEPENDENT AUDITOR ON OR BEFORE 22/10/2009 TO VERIFY OWNERSHIP OF SHARES LYING IN BENEFICIAL OWNER ACCOUNTS OF THEIR RESPECTIVE TRADING MEMBERS 2) ASK AUDIOTRS TO SUBMIT REPORT WITHIN A PERIOD OF SIX WEEKS FROM DATE OF APPOINTMENT

SAT: APPEAL DISPOSED OFF WITH DIRECTION TO SEBI TO CONCLUDE INVESTIGATIONS EXPEDITIOUSLY BUT NOT LATER THAN 31/03/2010  
5
History of entity/person MOTILAL OSWAL SECURITIES LTD.

(PAN:AAACD3654Q)

(Member : BSE/NSE/OTC)  
  INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.   DIRECTED BSE LTD.TO SUBMIT DETAILED REPORT IN MATTER OF ALKA SECURITIES LTD.

28-JUL-2009 		 
6
History of entity/person P.C.S.SECURITIES LTD.

(PAN:AABCP2139B)

(Member : BSE/OTC/NSE)  
  INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.   DIRECTED BSE LTD.TO SUBMIT DETAILED REPORT IN MATTER OF ALKA SECURITIES LTD.

28-JUL-2009 		 
7
History of entity/person SIC STOCKS & SERVICES PVT.LTD.

(PAN:AAHCS8176P)

(Member : BSE/NSE/BGSE)  
  INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.   DIRECTED BSE LTD.TO SUBMIT DETAILED REPORT IN MATTER OF ALKA SECURITIES LTD.

28-JUL-2009 		 
8
History of entity/person SSJ FINANCE & SECURITIES PVT.LTD.

(PAN:AABCS4245H)

(Member : BSE/NSE)  
  INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.   DIRECTED BSE LTD.TO SUBMIT DETAILED REPORT IN MATTER OF ALKA SECURITIES LTD.

28-JUL-2009 		 
9
History of entity/person TRANSPARENT SHARES & SECURITIES PVT.LTD.

(Member : NSE/BSE)  
  INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.   DIRECTED BSE LTD.TO SUBMIT DETAILED REPORT IN MATTER OF ALKA SECURITIES LTD.

28-JUL-2009 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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