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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: ENGAGED IN TRANSACTIONS OTHER THAN ARBITRAGE TRANSACTIONS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person FIRST CUSTODIAN FUND (INDIA) LTD.,THE

(Member : NSE)  
Click here to view complete history of this specific entity/person MANISH BANTHIA
Click here to view complete history of this specific entity/person SURENDRA KUMAR BANTHIA
Click here to view complete history of this specific entity/person SUSHIL MANTRI
  		ACTED BEYOND MANDATE GIVEN BY CLIENTS

ENGAGED IN TRANSACTIONS OTHER THAN ARBITRAGE TRANSACTIONS

IRREGULARITIES IN REGISTRATION OF CLIENTS

DID NOT MAKE PAYMENTS TO CLIENTS IN TIME

ISSUED FICTITIOUS CONTRACT NOTES   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 14-JUL-2003 TO 13-JUL-2004

05-MAR-2004 		 
2
History of entity/person SHRIKANT G.MANTRI,M/S

(Member : BSE)  
Click here to view complete history of this specific entity/person SHRIKANT G.MANTRI
  		ACTED BEYOND MANDATE GIVEN BY NEDUNGADI BANK LTD.

DID NOT MAKE PAYMENTS TO CLIENTS IN TIME

ENGAGED IN TRANSACTIONS OTHER THAN ARBITRAGE TRANSACTIONS

ISSUED FICTITIOUS CONTRACT NOTES   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 14-JUL-2003 TO 13-JUL-2004

05-MAR-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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