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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: ORDER UNDER SECTION 11B READ WITH 11 OF SEBI ACT, 1992

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

(Member : BSE)  
Click here to view complete history of this specific entity/person ANAND RATHI
  		UNDER SECTION 11B OF SEBI ACT.1992   DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 12-MAR-2001 TILL FURTHER ORDER

12-MAR-2001 		SAT: PART OF ORDER I.E.SUSPENDING REGISTRATION TO TWO APPLICANT COMPANIES SET ASIDE  
2
History of entity/person ANAND RATHI SECURITIES PVT.LTD.

(Member : BSE)  
Click here to view complete history of this specific entity/person ANAND RATHI
  		UNDER SECTION 11B READ WITH 11 OF SEBI ACT.1992   SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-MAR-2001 TO 11-DEC-2001

09-NOV-2001 		SAT: PART OF ORDER I.E.SUSPENDING REGISTRATION TO TWO APPLICANT COMPANIES SET ASIDE  
3
History of entity/person NAVRATAN CAPITAL & SECURITIES PVT.LTD.

(Member : NSE)  
  UNDER SECTION 11B OF SEBI ACT.1992   DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 12-MAR-2001 TILL FURTHER ORDER

12-MAR-2001 		 
4
History of entity/person RATHI CAPITAL & SECURITIES LTD.

(Member : BSE)  
  UNDER SECTION 11B READ WITH 11 OF SEBI ACT.1992   SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-MAR-2001 TO 11-DEC-2001

09-NOV-2001 		SAT: PART OF ORDER I.E.SUSPENDING REGISTRATION TO TWO APPLICANT COMPANIES SET ASIDE  
5
History of entity/person RATHI CAPITAL & SECURITIES LTD.

(Member : BSE)  
  UNDER SECTION 11B OF SEBI ACT.1992   DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 12-MAR-2001 TILL FURTHER ORDER

12-MAR-2001 		 
6
History of entity/person RATHI GLOBAL FINANCE LTD.

(Member : OTC)  
  UNDER SECTION 11B OF SEBI ACT.1992   DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 12-MAR-2001 TILL FURTHER ORDER

12-MAR-2001 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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