| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
5PAISA CAPITAL LTD.
(PAN:AABCI7142M)
(Member : BSE/NSE)
|
|
|
ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
17-MAR-2026
|
|
| 2 |
|
|
A C AGARWAL SHARE BROKERS PVT.LTD.
(PAN:AAFCA6859H)
(Member : BSE/NSE)
|
|
|
ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
17-MAR-2026
|
|
| 3 |
|
|
ACML CAPITAL MARKETS LTD.
(CIN:U67120GJ2000PLC037431
PAN:AADCA4629D)
(Member : NSE/BSE/CSE)
|
|
|
ALLEGED DIRECTOR OF STOCK BROKING FIRM ACTING AS SUB BROKER OF HIS OWN FIRM VIOLATING REGULATION 15A OF SEBI (STOCK BOKERS AND SUB-BROKERS) REGULATIONS, 1992
ALLEGED DEFAULT IN APPOINMENT OF CHIEF EXECUTIVE OFFICER AND RECONSTITUTION OF GOVERNING BOARD AS REQUIRED VIDE SEBI CIRCULAR NO.SMD/POLICY/CIR-04/2003 DATED 11/02/2003
ALLEGED ASSIGN OR DELIGATE ITS FUNCTIONS AS PARTICIPANT WITHOUT APPROVAL OF DEPOSITORY AS REQUIRED UNDER REGULATION 52 OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
ALLEGED VIOLATION OF CODE OF CONDUCT AS SPECIFIED IN THIRD SCHEDULE UNDER REGULATION 20A OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
ALLEGED FAILURE IN FULFILLING CRITERIA FOR GRANT OF CERTIFICATE OF REGISTRATION AS REQUIRED UNDER REGULATION 19A OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
29-JUN-2009
|
|
| 4 |
|
|
ACUMEN CAPITAL MARKET (INDIA) LTD.
(PAN:AABCP6649J)
(Member : BSE/NSE)
|
|
|
ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
17-MAR-2026
|
|
| 5 |
|
|
ADITYA BIRLA MONEY LTD.
(PAN:AAACA7472K)
(Member : BSE/NSE)
|
|
|
ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
17-MAR-2026
|
|
| 6 |
|
|
ADROIT FINANCIAL SERVICES PVT.LTD.
(PAN:AABCA1156D)
(Member : BSE/NSE)
|
|
|
ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
17-MAR-2026
|
|
| 7 |
|
|
ALICE BLUE FINANCIAL SERVICES PVT.LTD.
(PAN:AAPCA2445K)
(Member : BSE/NSE)
|
|
|
ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
17-MAR-2026
|
|
| 8 |
|
|
AMIT SARAOGI & CO.
(Member : CSE)
|
|
|
|
AMIT SARAOGI
|
|
DID NOT CO-OPERATE WITH SEBI IN INVESTIGATIONS VIOLATING REGULATIONS 21(1), 21(2) AND 21(4) OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 19-FEB-2021 TO 18-MAY-2021
29-JAN-2021
|
|
| 9 |
|
|
ANAND RATHI SHARE & STOCK BROKERS LTD.
(PAN:AAACN3405F)
(Member : BSE/NSE)
|
|
|
ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
17-MAR-2026
|
|
| 10 |
|
|
ANEE SECURITIES PVT.LTD.
(PAN:AAMCA2521M)
(Member : BSE/NSE/MSEI/NCDEX/MCX)
|
|
|
DID NOT HOLD MEMBERSHIP OF ANY RECOGNISED STOCK EXCHANGES VIOLATING REGULATION 9(A) OF SEBI (STOCK BROKER) REGULATIONS, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 14-FEB-2022
14-FEB-2022
|
|
| 11 |
|
|
ANGEL ONE LTD.
(PAN:AAACM6094R)
(Member : BSE/NSE)
|
|
|
ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
17-MAR-2026
|
|
| 12 |
|
|
ANGEL ONE LTD.
(PAN:AAACM6094R)
(Member : NSE/BSE)
|
|
|
ALLEGED VIOLATION OF RULES 8(1)(F) AND 8(3)(F) OF SECURITIES CONTRACT (REGULATION) RULES, 1957
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
ALLEGED VIOLATION OF SEBI CIRCULAR ON CYBER SECURITY AND CYBER RESILIENCE DATED 03/12/2018
ALLEGED VIOLATION OF CLAUSE 7(A) OF ANNEXURE 1 TO SEBI CIRCULAR NO.MIRSD/DR-1/CIR-16/09 DATED 06/11/2009
ALLEGED VIOLATION OF SECTION 23D OF SC(R) ACT, 1956 READ WITH CLAUSE 1 OF SEBI CIRCULAR SMD/SED/CIR/93/23321 DATED 18/11/1993 AND CLAUSE 3 OF ANNEXURE OF SEBI CIRCULAR SEBI/HO/MIRSD/MIRSD2/CIR/P/2016/95 DATED 26/09/2016
ALLEGED VIOLATION OF CLAUSE 3.2 OF ANNEXURE OF SEBI CIRCULAR SEBI/HO/MIRSD/MIRSD2/CIR/P/2016/95 DATED 26/09/2016
ALLEGED VIOLATION OF VARIOUS NSE CIRCULARS
ALLEGED VIOLATION OF CLAUSE A(5) OF SCHEDULE II FOR CODE OF CONDUCT READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992
ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,74,56,000 VIDE CONSENT ORDER)
25-OCT-2024
|
|
| 13 |
|
|
ANIL A.GANDHI,M/S
(Member : SKSE,Sub-Broker of SKSE SECURITIES LTD., Member : BSE)
|
|
|
|
ANIL A.GANDHI
|
|
DID NOT COLLECT MARGIN MONEY AND ALLOWED TRANSACTIONS IN ILLIQUID SCRIP OF MONALISA INFOTECH LTD. VIOLATING REGULATION 26(XVI) OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
|
IMPOSED PENALTY RS.10,000
31-JAN-2011
|
INCLUDED IN SEBI LIST DATED 30/09/2011, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 14 |
|
|
ANTIQUE STOCK BROKING LTD.
(PAN:AADCA3011B)
(Member : BSE/NSE)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL AND CARE AS ONE OF ITS DEALERS USED MOBILE PHONE INSIDE DEALING ROOM AND DID NOT MAINTAIN RECORD OF ORDER PLACEMENTS IN MATTER OF FRONT RUNNING OF THE TRADES OF BIG CLIENT BY CHATURVEDI GROUP
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.22,44,000 VIDE CONSENT ORDER)
19-SEP-2025
|
|
| 15 |
|
|
ARHAM SHARE PVT.LTD.
(PAN:AAICA6860F)
(Member : BSE/NSE)
|
|
|
ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
17-MAR-2026
|
|
| 16 |
|
|
ARIHANT CAPITAL MARKETS LTD.
(PAN:AABCA6832G)
(Member : BSE/NSE)
|
|
|
ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
17-MAR-2026
|
|
| 17 |
|
|
ARTHA VRDDHI SECURITIES LTD.
(PAN:AACCT1746K)
(Member : BSE/NSE/MCX)
|
|
|
ALLEGED VIOLATING OF REGULATIONS 27(XV) AND 27(XVII) READ WITH 26(XV) OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS 1992 IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1), A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
28-OCT-2016
|
|
| 18 |
|
|
ASHIKA STOCK BROKING LTD.
(PAN:AACCA7156Q)
(Member : BSE/NSE)
|
|
|
ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
17-MAR-2026
|
|
| 19 |
|
|
ASNANI STOCK BROKER PVT.LTD.
(PAN:AAHCA7318P)
(Member : BSE)
|
|
|
ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
17-MAR-2026
|
|
| 20 |
|
|
ASTHA CREDIT & SECURITIES PVT.LTD.
(PAN:AAECA7169B)
(Member : BSE/NSE)
|
|
|
ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
17-MAR-2026
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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