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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.

UN-AUTHORISED SUB-BROKERS: REACHED SETTLEMENT (CONSENT ORDER)

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person A TO Z CONSULTANTS PVT.LTD.

(PAN:AAACA4696F)  
  ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

ALLEGED INDULGENCE IN PRICE MANIPULATION THROUGH IRREGULAR TRANSACTIONS IN SCRIP OF KARISHMA FLORICULTURE LTD.   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)

09-OCT-2009 		 
2
History of entity/person AGARWAL SECURITIES  
  ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

ALLEGED INDULGENCE IN PRICE MANIPULATION THROUGH IRREGULAR TRANSACTIONS IN SCRIP OF KARISHMA FLORICULTURE LTD.   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)

27-OCT-2009 		 
3
History of entity/person AGBROS CAPITAL PVT.LTD.

(CIN:U67190MH1995PTC087585)  
  ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

ALLEGED INDULGENCE IN PRICE MANIPULATION THROUGH IRREGULAR TRANSACTIONS IN SCRIP OF KARISHMA FLORICULTURE LTD.   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)

27-OCT-2009 		 
4
History of entity/person CAPITAL STOCKS & SHARES  
  ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,10,000 VIDE CONSENT ORDER)

10-NOV-2009 		 
5
History of entity/person KUBER FINSTOCK PVT.LTD.

(PAN:AACCK2685A)  
Click here to view complete history of this specific entity/person CHANDRESH P.LOTIA
Click here to view complete history of this specific entity/person JIGNESH SHETH
  		ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

ALLEGED INDULGENCE IN CREATION OF CROSS DEALS IN SCRIP OF AXEL POLYMERS LTD.   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,25,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

28-APR-2009 		 
6
History of entity/person NIPPIN INVESTMENTS  
Click here to view complete history of this specific entity/person ROHIT JAIN
  		ALLEGED INDULGENCE IN PRICE MANIPULATION THROUGH IRREGULAR TRANSACTIONS IN SCRIP OF KARISHMA FLORICULTURE LTD.   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)

REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 18-FEB-2010 TO 17-AUG-2010

15-FEB-2010 		 
7
History of entity/person RAJNI & CO.  
Click here to view complete history of this specific entity/person RAJNI KHANEJA
  		ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

ALLEGED INDULGENCE IN PRICE RIGGING, SIPHONING OF ISSUE PROCEEDS, LIQUIDATION OF NOMINEE HOLDINGS AT RIGGED PRICES AND MIS-STATEMENTS & DISCLOSURES IN PROSPECTUS AND LETTER OF OFFER IRREGULAR TRANSACTIONS IN SCRIP OF GLOBAL TELESYSTEMS LTD.   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

26-APR-2010 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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