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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 TO DISGORGE

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

(PAN:AAACO1081C)

(Member : NSE)  
Click here to view complete history of this specific entity/person AMAN KOKRADY

PAN:AKQPK3220N
Click here to view complete history of this specific entity/person OM PRAKASH GUPTA

PAN:AAHPG3048B
Click here to view complete history of this specific entity/person SANGEETA GUPTA

PAN:AAHPG6984C
  		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-2019 TO 29-APR-2024

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-APR-2019 TO 29-APR-2024

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

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

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: SAT VIDE ITS ORDER DATED 06/05/2019 DIRECTED APPELLANT TO DEPOSIT RS.7.50 CRORES ON OR BEFORE 20/05/2019  
2
History of entity/person SHAREKHAN LTD.

(PAN:AAECS5096H)

(Member : BSE/NSE)  
  INDULGED IN FRONT RUNNING OF ORDERS/TRADES IN MATTER OF STERLING GROUP OF COMPANIES   DIRECTED TO DISGORGE RS.50,93,894

31-JUL-2015 		SEBI VIDE ITS ADDENDUM ORDER DATED 04/06/2019 CONFIRMED THAT SHAREKHAN LTD. HAS DEPOSITED RS.50,93,894.00 (ILLEGAL GAINS OF RS.30,83,807 AND INTEREST OF RS.20,10,087) IN ESCROW ACCOUNT WITH PUNJAB NATIONAL BANK ON 01/08/2015  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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