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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: COMMITTED IRREGULARITIES REGARDING SHARE LENDING/BORROWING

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

(Member : BGSE)  
  COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES

LENT SHARES BELONGING TO CLIENTS

DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

12-SEP-2001 		 
2
History of entity/person MEGA MILLENNIUM INVESTMENT PVT.LTD.

(Member : ICSE,Sub-Broker of ISE SECURITIES & SERVICES LTD., Member : NSE/BSE)  
Click here to view complete history of this specific entity/person SWAMINATHAN MAHALINGAM

DIN:02332928
  		COMMITTED IRREGULARITIES IN SHARE LENDING/BORROWING

DID NOT REDRESS INVESTOR COMPLAINTS   		DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-SEP-2007 TILL COMPLETION OF THE ENQUIRY PROCEEDINGS

DIRECTED TO FREEZE DEMAT ACCOUNTS

DIRECTED NOT TO ENGAGE IN THE ACTIVITY OF BORROWING AND LENDING OF SECURITIES WITHOUT OBTAINING REGISTRATION FROM SEBI

03-SEP-2007 		 
3
History of entity/person RATNABALI CAPITAL MARKETS LTD.

(Member : NSE)  
  DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS

COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES

DID NOT COLLECT MARGINS FROM CLIENTS

MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS

COMMITTED IRREGULARITIES IN SHARE LENDING/BORROWING

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

19-FEB-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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