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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.

SUB-BROKERS: INTRODUCED UNLISTED SHARES IN THE MARKET

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

(Sub-Broker of VSE SECURITIES LTD., Member : BSE,Member : VSE)  
  DID NOT EXERCISE DUE CARE AND SKILL IN DEALING WITH CLIENTS

OFFLOADED UNLISTED SHARES OF DESIGN AUTO SYSTEMS LTD. IN MARKET WITH ACTIVE CONNIVANCE OF COMPANY MANAGEMENT   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 03-JAN-2009 TO 09-JAN-2009

SUSPENDED REGISTRATION AS SUB-BROKER FROM 03-JAN-2009 TO 09-JAN-2009

12-DEC-2008 		 
2
History of entity/person CHARMI INVESTMENTS

(Sub-Broker of P.SURYAKANT SHARE & STOCK BROKERS PVT.LTD., Member : NSE)  
  CREATED ARTIFICIAL VOLUMES IN SCRIP OF SHALIBHADRA INFOSEC LTD. AND ASSISTED PROMOTERS OF THE COMPANY IN OFFLOADING ITS UNLISTED SHARES IN THE SECONDARY MARKET   DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-FEB-2008 TO 13-FEB-2009

14-FEB-2008 		 
3
History of entity/person SHRI PARSHWA FINANCE

(Sub-Broker of P.SURYAKANT SHARE & STOCK BROKERS PVT.LTD., Member : BSE)  
Click here to view complete history of this specific entity/person PIYUSH SUBODHCHANDRA JHAVERI
  		CREATED ARTIFICIAL VOLUMES IN SCRIP OF SHALIBHADRA INFOSEC LTD. AND ASSISTED PROMOTERS OF THE COMPANY IN OFFLOADING ITS UNLISTED SHARES IN THE SECONDARY MARKET   DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-FEB-2008 TO 13-FEB-2009

14-FEB-2008 		 
4
History of entity/person SHRI PARSHWA FINANCE

(Sub-Broker of P.SURYAKANT SHARE & STOCK BROKERS PVT.LTD., Member : BSE)  
Click here to view complete history of this specific entity/person PIYUSH SUBODHCHANDRA JHAVERI
  		INDULGED IN CREATING ARTIFICIAL PRICE RISE IN UNLISTED SHARES OF DESIGN AUTO SYSTEMS LTD.

OFFLOADED UNLISTED SHARES OF DESIGN AUTO SYSTEMS LTD. IN MARKET WITH ACTIVE CONNIVANCE OF COMPANY MANAGEMENT

INTRODUCED UNLISTED SHARES OF DESIGN AUTO SYSTEMS LTD. IN THE MARKET   		DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-NOV-2007 TO 28-MAY-2008

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-NOV-2007 TO 28-MAY-2008

08-NOV-2007 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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