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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: DID NOT SUBMIT AUDIT REPORT/FINANCIAL STATEMENTS TO THE EXCHANGE IN TIME

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person A.NITIN CAPITAL SERVICES LTD.

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

DID NOT AFFIX STAMPS ON CONTRACT NOTES

ALLOTTED SERIAL NUMBERS ON CONTRACT NOTES ON DAILY BASIS INSTEAD OF YEARLY BASIS

DISCREPANCIES IN REGISTER OF TRANSACTIONS OF CONTRACT NOTES

COMMITTED IRREGULARITIES IN MAINTENANCE OF COUNTERFOILS OR DUPLICATES OF CONTRACT NOTES

DID NOT OBTAIN ACKNOWLEDGEMENT FROM CLIENTS

DID NOT REDRESS INVESTOR COMPLAINTS

ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

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

DID NOT MAINTAIN CLIENT REGISTRATION FORMS

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

FAILED TO SUBMIT AUDIT REPORT TO THE EXCHANGE ON DUE DATE   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 10-JUL-2007 TO 09-AUG-2007

19-JUN-2007 		 
2
History of entity/person KANUDIA CAPITAL & MNGT.SERVICES PVT.LTD.

(Member : UPSE)  
  DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK

DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK

DID NOT COLLECT MARGINS FROM CLIENTS

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

FAILED TO SUBMIT AUDIT REPORT TO THE EXCHANGE ON DUE DATE   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

30-AUG-2006 		 
3
History of entity/person MAYOR SALUJA SECURITIES LTD.

(Member : DSE)  
Click here to view complete history of this specific entity/person AJIT MAYOR
  		DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK

FAILED TO SUBMIT AUDIT REPORT TO THE EXCHANGE ON DUE DATE   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

14-MAY-2008 		 
4
History of entity/person RAJA RAJESHWARI & CO.

(Member : CMBSE)  
  DID NOT ISSUE CONTRACT NOTES

DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK

INDULGED IN GALA TRANSACTIONS

DID NOT DELIVER SECURITIES TO CLIENTS IN TIME

DID NOT MAKE PAYMENT TO CLIENTS

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

FAILED TO SUBMIT AUDIT REPORT TO THE EXCHANGE ON DUE DATE

DID NOT RECTIFY BAD DELIVERIES IN TIME

INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 15-OCT-1998 TO 14-JAN-1999

05-OCT-1998 		 
5
History of entity/person SANJAY CAPITAL SERVICES PVT.LTD.

(Member : DSE)  
  DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER

COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DEFICIENCIES IN CLIENT DATABASE

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

DELAYED SUBMISSION OF AUDIT REPORT TO THE EXCHANGE   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

09-AUG-2001 		 
6
History of entity/person VENUGOPAL MALANI,M/S

(Member : HSE)  
Click here to view complete history of this specific entity/person VENUGOPAL MALANI
  		DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER

ALLEGED NON-COMPLIANCE OF REQUIREMENTS OF UNIQUE CLIENT CODE

DELAYED SUBMISSION OF AUDIT REPORT TO THE EXCHANGE   		IMPOSED PENALTY RS.2,00,000

30-DEC-2004 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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