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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 VIOLATIONS TO BE TAKEN ON RECORD FOR REVIEWING REGISTRATION APPLICATION

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

(Member : NSE)  
  DEFAULTED IN PAY-IN OBLIGATIONS

DID NOT EXERCISE DUE CARE AND DILIGENCE

AIDED AND ABETTED KINGLET FINLEASE & SECURITIES LTD. AND RAJESH JHAVERI IN MARKET MANIPULATIONS IN SCRIP OF KAMAL OVERSEAS LTD.   		DIRECTED VIOLATIONS TO BE TAKEN ON RECORD FOR REVIEWING REGISTRATION APPLICATION

16-SEP-2002 		 
2
History of entity/person PRUDENTIAL STOCK & SECURITIES LTD.

(Member : NSE)  
  SURRENDERED MEMBERSHIP CARD TO EXCHANGE

DID NOT EXERCISE DUE CARE AND DILIGENCE WHILE DISCHARGING DUTIES IN MATTER OF HITECHI JEWELLERY INDUSTRIES LTD.

AIDED AND ABETTED MARKET MANIPULATIONS IN SCRIP OF HITECHI JEWELLERY INDUSTRIES LTD.   		DIRECTED VIOLATIONS TO BE TAKEN ON RECORD FOR REVIEWING REGISTRATION APPLICATION

03-AUG-2002 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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