If you are an Existing User, please enter your Username & Password below

Forgot Password?

Are you a New User? Click here to enrol

close

Click here to visit old website
Co-Sponsors
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: VIOLATED SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person P.K.CAPITAL SERVICES PVT.LTD.

(Sub-Broker of UPSE SECURITIES LTD., Member : BSE)  
Click here to view complete history of this specific entity/person ROOP KISHORE GUPTA
  		DEFICIENCIES IN CLIENT DATABASE

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

ALLEGED NON-COMPLIANCE OF REQUIREMENTS OF UNIQUE CLIENT CODE

DID NOT FRAME CODE OF INTERNAL PROCEDURES AND CONDUCT FOR PREVENTION OF INSIDER TRADING

DID NOT ADHERE TO DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI

DID NOT EXERCISE DUE SKILL AND DILIGENCE

DEALT WITH UN-REGISTERED SUB-BROKERS   		IMPOSED PENALTY RS.1,00,000

03-NOV-2004 		SAT: IMPUGNED ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.30,000 FROM RS.1,00,000  
2
History of entity/person RAJ ENTERPRISES

(Sub-Broker of SKSE SECURITIES LTD., Member : BSE/NSE)  
Click here to view complete history of this specific entity/person MUSTAFA LAKDAWALA
  		DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK

IRREGULARITIES IN REGISTRATION OF CLIENTS

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DEALT IN CASH WITH CLIENTS

DID NOT FRAME CODE OF INTERNAL PROCEDURES AND CONDUCT FOR PREVENTION OF INSIDER TRADING   		IMPOSED PENALTY RS.30,000

08-NOV-2005 		 
3
History of entity/person SONA M.SHETH,M/S

(Sub-Broker of ISE SECURITIES & SERVICES LTD., Member : NSE)  
Click here to view complete history of this specific entity/person SONA M.SHETH
  		DID NOT FRAME CODE OF INTERNAL PROCEDURES AND CONDUCT FOR PREVENTION OF INSIDER TRADING   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

30-DEC-2005 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

This website is not comprehensive and is being updated on a regular basis. Users are requested to carefully look at the formats and the information about the coverage period that appears on search results pages.

DISCLAIMER BY NSE

NSE is the co-sponsor of this website and supportive of the initiative taken for protection of interest of investors by Praxis Consulting & Information Services Pvt.Ltd. (PRAXIS), the creator of this website. However, NSE bear no responsibility for the views/information that is available on this website and as responsibility of the contents of this website solely rests with PRAXIS. NSE shall not be responsible for, and expressly disclaims all liability for, damages of any kind arising out of use, reference to or reliance on any information available on this website. Investors/visitors of this website are also advised to read through the other general disclaimer(s) and terms and conditions available on this website before using the website.

Site designed and maintained by watchoutinvestors.com
© PRIME DATABASE GROUP 2004-2025
No part of this site may be reproduced without the explicit permission of the owners.

top