|
S. No.
|
DATE OF ORDER
|
PERSON
|
ENTITY
|
COMPETENT AUTHORITY
|
REGULATORY CHARGES
|
REGULATORY ACTION(S) / DATE OF ORDER
|
FURTHER DEVELOPMENTS
|
|
81
|
26-MAR-2026
|
|
FAIRSNOW AVIATION LTD.
|
|
|
NCLT
|
DEFAULTED IN MAKING PAYMENT OF DUES
|
APPLICATION ADMITTED- RS.6,45,90,282
26-MAR-2026
|
|
|
82
|
26-MAR-2026
|
|
|
RPL SUNLIGHT POWER PVT.LTD.
(CIN:U40108MH2015PTC267568)
|
|
|
NCLT
|
DEFAULTED IN MAKING PAYMENT OF DUES
|
APPLICATION ADMITTED- RS.4,09,42,22,465
26-MAR-2026
|
|
|
83
|
25-MAR-2026
|
ANAGHA C.BAMBARDEKAR
(PAN:ANCPB5855B)
|
|
SEBI
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.6,00,000
25-MAR-2026
|
|
|
84
|
25-MAR-2026
|
|
|
ASHLAR SECURITIES PVT.LTD.
(PAN:AAHCA9621P)
(Member : BSE/NSE)
|
|
|
SEBI
|
ASSOCIATED WITH A PLATFORM PROVIDING REFERENCES TO RETURNS/PERFORMANCE OF ALGORITHMIC TRADING STRATEGIES VIOLATING CLAUSE 4.2 OF SEBI CIRCULAR DATED 02/09/2022 AND CLAUSES A(2)AND A(5) OF SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF TRADE TRON AND OTHER ALGO PLATFORMS
|
IMPOSED PENALTY RS.1,00,000
25-MAR-2026
|
|
|
85
|
25-MAR-2026
|
|
|
ATS SHARE BROKERS PVT.LTD.
(PAN:AACCJ1755C)
(Member : BSE/NSE)
|
|
|
SEBI
|
ASSOCIATED WITH A PLATFORM PROVIDING REFERENCES TO RETURNS/PERFORMANCE OF ALGORITHMIC TRADING STRATEGIES VIOLATING CLAUSE 4.2 OF SEBI CIRCULAR DATED 02/09/2022 AND CLAUSES A(2)AND A(5) OF SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF TRADE TRON AND OTHER ALGO PLATFORMS
|
IMPOSED PENALTY RS.2,00,000
25-MAR-2026
|
|
|
86
|
25-MAR-2026
|
|
|
ELITE INVESTMENT ADVISORY SERVICES
(PAN:BZZPS6587H)
|
|
|
|
RAJIV KUMAR SINGH
(PAN:BZZPS6587H)
|
|
SEBI
|
DID NOT HAVE REQUISITE NISM CERTIFICATES AT ALL TIMES TO PROVIDE INVESTMENT ADVICE
DID NOT INTIMATE SEBI ABOUT MATERIAL CHANGE IN INFORMATION
DID NOT FULFIL GENERAL RESPONSIBILITIES OF INVESTMENT ADVISER AND DID NOT MAINTAIN CLIENT LEVEL SEGREGATION OF ADVISORY AND DISTRIBUTION SERVICES
DID NOT UNDERTAKE RISK PROFILING OF CLIENTS
DID NOT PROVIDE DOCUMENTED PROCESS FLOW AND DETAIL QUESTIONNAIRE FOR RISK PROFILING CLIENT
CHARGED EXTRA MONEY FROM CLIENTS/INVESTORS
DID NOT MAKE DISCLOSURE OF MATERIAL INFORMATION TO CLIENTS
DID NOT MAINTAIN RECORDS AS PER KNOW YOUR CLIENTS (KYC) PROCEDURES
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
ATTEMPTED DELIBERATELY TO PREVENT AND HINDER THE INSPECTION
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 25-MAR-2026
25-MAR-2026
|
|
|
87
|
25-MAR-2026
|
|
|
FIRST GLOBAL STOCKBROKING PVT.LTD.
(PAN:AAACF0661K)
(Member : BSE/NSE)
|
|
|
SEBI
|
ASSOCIATED WITH A PLATFORM PROVIDING REFERENCES TO RETURNS/PERFORMANCE OF ALGORITHMIC TRADING STRATEGIES VIOLATING CLAUSE 4.2 OF SEBI CIRCULAR DATED 02/09/2022 AND CLAUSES A(2)AND A(5) OF SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF TRADE TRON AND OTHER ALGO PLATFORMS
|
IMPOSED PENALTY RS.1,00,000
25-MAR-2026
|
|
|
88
|
25-MAR-2026
|
|
|
GANGA NAGAR COMMODITY LTD.
(PAN:AAACT8903C)
(Member : BSE/NSE)
|
|
|
SEBI
|
ASSOCIATED WITH A PLATFORM PROVIDING REFERENCES TO RETURNS/PERFORMANCE OF ALGORITHMIC TRADING STRATEGIES VIOLATING CLAUSE 4.2 OF SEBI CIRCULAR DATED 02/09/2022 AND CLAUSES A(2)AND A(5) OF SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF TRADE TRON AND OTHER ALGO PLATFORMS
|
IMPOSED PENALTY RS.2,00,000
25-MAR-2026
|
|
|
89
|
25-MAR-2026
|
|
|
ITI SECURITIES BROKING LTD.
(Old Name :
INTIME EQUITIES LTD.)
(PAN:AAACG2063L)
(Member : BSE/NSE)
|
|
|
SEBI
|
ASSOCIATED WITH A PLATFORM PROVIDING REFERENCES TO RETURNS/PERFORMANCE OF ALGORITHMIC TRADING STRATEGIES VIOLATING CLAUSE 4.2 OF SEBI CIRCULAR DATED 02/09/2022 AND CLAUSES A(2)AND A(5) OF SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF TRADE TRON AND OTHER ALGO PLATFORMS
|
IMPOSED PENALTY RS.1,00,000
25-MAR-2026
|
|
|
90
|
25-MAR-2026
|
KUMAR VENKATARAMEGOWDA SANTHOSH
(PAN:BPDPS6595F)
|
|
|
STREETGAINS RESEARCH SERVICES
(PAN:BPDPS6595F)
|
|
SEBI
|
MADE MULTIPLE FALSE AND MISLEADING CLAIMS/ DISCLOSURES/ STATEMENTS RELATED TO HIGH RETURNS/ASSURED RETURNS
ENCOURAGED SALE OF PRODUCTS WITHOUT MATCHING RISK PROFILES OF CLIENTS
DID NOT DIGITALLY SIGN THE RESEARCH REPORTS AND DID NOT MAINTAIN ELECTRONIC FORM
ADVERTISED PAST PERFORMANCE IN RESPECT OF RESEARCH CALL ON SOCIAL MEDIA
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
25-MAR-2026
|
|
|
91
|
25-MAR-2026
|
|
|
LAL KAMLESHBHAI N.(HUF)
(PAN:AABHL3879H)
|
|
|
SEBI
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
25-MAR-2026
|
|
|
92
|
25-MAR-2026
|
|
|
MITSOM ENTERPRISES PVT.LTD.
(CIN:U51909PN2017PTC170640)
|
|
|
NCLT
|
DEFAULTED IN MAKING PAYMENT OF DUES
|
APPLICATION ADMITTED- RS.73,69,54,303
25-MAR-2026
|
|
|
93
|
25-MAR-2026
|
|
|
MURAE ORGANISOR LTD.
|
|
|
BSE
|
DID NOT REPLY TO THE SHOW CAUSE NOTICE
|
PROHIBITED AND/OR SUSPENDED FOR TRADING FROM 27-MAR-2026
25-MAR-2026
|
|
|
94
|
25-MAR-2026
|
|
|
NORTHEAST BROKING SERVICES LTD.
(PAN:AABCN0344C)
(Member : BSE/NSE)
|
|
|
SEBI
|
ASSOCIATED WITH A PLATFORM PROVIDING REFERENCES TO RETURNS/PERFORMANCE OF ALGORITHMIC TRADING STRATEGIES VIOLATING CLAUSE 4.2 OF SEBI CIRCULAR DATED 02/09/2022 AND CLAUSES A(2)AND A(5) OF SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF TRADE TRON AND OTHER ALGO PLATFORMS
|
IMPOSED PENALTY RS.1,00,000
25-MAR-2026
|
|
|
95
|
25-MAR-2026
|
|
|
PENTAD SECURITIES PVT.LTD.
(PAN:AAGCP9256Q)
(Member : BSE/NSE)
|
|
|
SEBI
|
ASSOCIATED WITH A PLATFORM PROVIDING REFERENCES TO RETURNS/PERFORMANCE OF ALGORITHMIC TRADING STRATEGIES VIOLATING CLAUSE 4.2 OF SEBI CIRCULAR DATED 02/09/2022 AND CLAUSES A(2)AND A(5) OF SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF TRADE TRON AND OTHER ALGO PLATFORMS
|
IMPOSED PENALTY RS.1,00,000
25-MAR-2026
|
|
|
96
|
25-MAR-2026
|
|
|
R.K.STOCK HOLDING PVT.LTD.
(PAN:AACCR0011K)
(Member : BSE/NSE)
|
|
|
SEBI
|
ASSOCIATED WITH A PLATFORM PROVIDING REFERENCES TO RETURNS/PERFORMANCE OF ALGORITHMIC TRADING STRATEGIES VIOLATING CLAUSE 4.2 OF SEBI CIRCULAR DATED 02/09/2022 AND CLAUSES A(2)AND A(5) OF SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF TRADE TRON AND OTHER ALGO PLATFORMS
|
IMPOSED PENALTY RS.2,00,000
25-MAR-2026
|
|
|
97
|
25-MAR-2026
|
RAJIV KUMAR SINGH
(PAN:BZZPS6587H)
|
|
|
ELITE INVESTMENT ADVISORY SERVICES
(PAN:BZZPS6587H)
|
|
SEBI
|
DID NOT HAVE REQUISITE NISM CERTIFICATES AT ALL TIMES TO PROVIDE INVESTMENT ADVICE
DID NOT INTIMATE SEBI ABOUT MATERIAL CHANGE IN INFORMATION
DID NOT FULFIL GENERAL RESPONSIBILITIES OF INVESTMENT ADVISER AND DID NOT MAINTAIN CLIENT LEVEL SEGREGATION OF ADVISORY AND DISTRIBUTION SERVICES
DID NOT UNDERTAKE RISK PROFILING OF CLIENTS
DID NOT PROVIDE DOCUMENTED PROCESS FLOW AND DETAIL QUESTIONNAIRE FOR RISK PROFILING CLIENT
CHARGED EXTRA MONEY FROM CLIENTS/INVESTORS
DID NOT MAKE DISCLOSURE OF MATERIAL INFORMATION TO CLIENTS
DID NOT MAINTAIN RECORDS AS PER KNOW YOUR CLIENTS (KYC) PROCEDURES
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
ATTEMPTED DELIBERATELY TO PREVENT AND HINDER THE INSPECTION
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 25-MAR-2026
25-MAR-2026
|
|
|
98
|
25-MAR-2026
|
|
|
SAMCO SECURITIES LTD.
(CIN:U67120MH2004PLC146183
PAN:AAICS2455A)
(Member : BSE/NSE)
|
|
|
SEBI
|
ASSOCIATED WITH A PLATFORM PROVIDING REFERENCES TO RETURNS/PERFORMANCE OF ALGORITHMIC TRADING STRATEGIES VIOLATING CLAUSE 4.2 OF SEBI CIRCULAR DATED 02/09/2022 AND CLAUSES A(2)AND A(5) OF SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF TRADE TRON AND OTHER ALGO PLATFORMS
|
IMPOSED PENALTY RS.3,00,000
25-MAR-2026
|
|
|
99
|
25-MAR-2026
|
|
|
SHRI PARASRAM HOLDINGS PVT.LTD.
(PAN:AAACS4487J)
(Member : BSE/NSE)
|
|
|
SEBI
|
ASSOCIATED WITH A PLATFORM PROVIDING REFERENCES TO RETURNS/PERFORMANCE OF ALGORITHMIC TRADING STRATEGIES VIOLATING CLAUSE 4.2 OF SEBI CIRCULAR DATED 02/09/2022 AND CLAUSES A(2)AND A(5) OF SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF TRADE TRON AND OTHER ALGO PLATFORMS
|
IMPOSED PENALTY RS.2,00,000
25-MAR-2026
|
|
|
100
|
25-MAR-2026
|
|
|
STREETGAINS RESEARCH SERVICES
(PAN:BPDPS6595F)
|
|
|
|
KUMAR VENKATARAMEGOWDA SANTHOSH
(PAN:BPDPS6595F)
|
|
SEBI
|
MADE MULTIPLE FALSE AND MISLEADING CLAIMS/ DISCLOSURES/ STATEMENTS RELATED TO HIGH RETURNS/ASSURED RETURNS
ENCOURAGED SALE OF PRODUCTS WITHOUT MATCHING RISK PROFILES OF CLIENTS
DID NOT DIGITALLY SIGN THE RESEARCH REPORTS AND DID NOT MAINTAIN ELECTRONIC FORM
ADVERTISED PAST PERFORMANCE IN RESPECT OF RESEARCH CALL ON SOCIAL MEDIA
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
25-MAR-2026
|
|
|
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