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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: VIOLATED BSE AND/OR NSE BYE LAWS AND REGULATIONS

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

(PAN:AAACH9471P)

(Member : BSE/NSE)  
Click here to view complete history of this specific entity/person ANIL SATYANARAYAN ROONGTA

PAN:ABBPR3992G
Click here to view complete history of this specific entity/person SUDHA ANIL ROONGTA

PAN:AAQPR4466F
  		INDULGED IN DEALING WITH SUSPENDED SCRIP VIOLATING REGULATION 4.6.4 OF REGULATIONS FOR BSE CAPITAL MARKET SEGMENT

INDULGED IN DEALING WITH SUSPENDED SCRIP VIOLATING REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF MISHKA FINANCE & TRADING LTD.

INDULGED IN DEALING WITH SUSPENDED SCRIP VIOLATING REGULATION 4.5.4 OF REGULATIONS FOR NSE CAPITAL MARKET SEGMENT

ISSUED CONTRACT NOTES FOR OFF MARKET TRANSACTIONS VIOLATING CLAUSES 2(B) OF CHAPTER VI AND CLAUSE 5 OF CHAPTER X OF BSE BYE-LAWS AND CLAUSES 8 AND 10 OF CHAPTER IX OF NSE BYE-LAWS IN MATTER OF MISHKA FINANCE & TRADING LTD.

DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATIONS 6A AND 7 READ WITH CLAUSES A(1) TO A(5) AND C(4) OF CODE OF CONDUCT SPECIFIED UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 READ WITH REGULATIONS 9(B) AND 9(F) OF SEBI (STOCK BROKERS AND SUB BROKERS) (AMENDMENT) REGULATIONS, 2014 IN MATTER OF MISHKA FINANCE & TRADING LTD.   		IMPOSED PENALTY RS.20,00,000 ALONG WITH OTHER ENTITIES/PERSONS

29-JUL-2022 		SEBI VIDE ITS NOTICE DATED 24/02/2025 DIRECTED TO PAY RS.26,41,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SEBI VIDE ITS ORDER DATED 13/03/2025 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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