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 : NSE CLEARING LTD.
PERIOD COVERED : 19-SEP-2013 TO 09-SEP-2026

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.

ALL STOCK BROKERS

S.No. ENTITY DIRECTORS/ PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
21
History of entity/person DESTINY SECURITIES LTD.  
  DECLARED DEFAULTER BY OTHER STOCK EXCHANGE   DECLARED DEFAULTER BY STOCK EXCHANGE FROM 13-JUL-2021

13-JUL-2021
22
History of entity/person EDELWEISS CUSTODIAL SERVICES LTD.  
  MISUTILISED CLIENTS FUNDS AND/OR SECURITIES

DID NOT COLLECT REQUIRED MARGINS FROM TRADING MEMBERS   		WARNED AND/OR ADVISED TO COMPLY WITH THE GUIDELINES/DIRECTIVES ISSUED BY REGULATORY AUTHORITY

12-FEB-2020
23
History of entity/person EDELWEISS CUSTODIAL SERVICES LTD.  
  DID NOT COLLECT MARKET TO MARKET (MTM) LOSS IN CASH FROM TRADING MEMBERS   WARNED AND/OR ADVISED TO COMPLY WITH THE GUIDELINES/DIRECTIVES ISSUED BY REGULATORY AUTHORITY

22-JUL-2020
24
History of entity/person EDELWEISS CUSTODIAL SERVICES LTD.  
  MISUTILISED CLIENTS FUNDS AND/OR SECURITIES   IMPOSED PENALTY RS.1,00,000

20-OCT-2020
25
History of entity/person ENRICH FINANCE & SECURITIES LTD.  
  EXPELLED FROM MEMBERSHIP   CEASED TO BE MEMBERSHIP

16-JAN-2018
26
History of entity/person F6 FINSERVE PVT.LTD.  
  DECLARED DEFAULTER BY OTHER STOCK EXCHANGE   DECLARED DEFAULTER BY STOCK EXCHANGE FROM 06-APR-2018

06-APR-2018
27
History of entity/person FAIRWEALTH SECURITIES LTD.  
  DECLARED DEFAULTER BY OTHER STOCK EXCHANGE   DECLARED DEFAULTER BY STOCK EXCHANGE FROM 15-JAN-2020

15-JAN-2020
28
History of entity/person FICUS SECURITIES PVT.LTD.  
  EXPELLED FROM MEMBERSHIP   DECLARED DEFAULTER BY STOCK EXCHANGE FROM 05-MAR-2018

05-MAR-2018
29
History of entity/person FIN BRAINS SECURITIES (INDIA) LTD.  
  EXPELLED FROM MEMBERSHIP   DECLARED DEFAULTER BY STOCK EXCHANGE FROM 28-AUG-2015

28-AUG-2015
30
History of entity/person FIRST FUTURES & STOCKS PVT.LTD.  
  EXPELLED BY OTHER STOCK EXCHANGE   CEASED TO BE MEMBERSHIP

18-OCT-2021
31
History of entity/person G.S.V.SECURITIES PVT.LTD.  
  EXPELLED BY OTHER STOCK EXCHANGE   CEASED TO BE MEMBERSHIP

15-MAR-2023
32
History of entity/person GLOBE CAPITAL MARKET LTD.  
  DID NOT MAINTAIN ADEQUATE/APPROPRIATE RISK MANAGEMENT POLICY

DID NOT REPORT TRADING MEMBER-WISE AND CLIENT-WISE COLLATERAL DETAILS   		IMPOSED PENALTY RS.50,000

11-FEB-2022
33
History of entity/person GOLDSTREET SECURITIES LTD.  
  EXPELLED BY OTHER STOCK EXCHANGE   CEASED TO BE MEMBERSHIP

24-MAR-2020 		NOT APPEARING IN THE LIST DATED 30-NOVEMBER-2020
34
History of entity/person GROVALUE SECURITIES PVT.LTD.  
  DECLARED DEFAULTER BY OTHER STOCK EXCHANGE   DECLARED DEFAULTER BY STOCK EXCHANGE FROM 30-APR-2020

30-APR-2020
35
History of entity/person GUINESS SECURITIES LTD.  
  DECLARED DEFAULTER BY OTHER STOCK EXCHANGE   DECLARED DEFAULTER BY STOCK EXCHANGE FROM 06-MAY-2019

07-MAY-2019
36
History of entity/person INDOVISION SECURITIES LTD.  
  EXPELLED BY OTHER STOCK EXCHANGE   CEASED TO BE MEMBERSHIP

12-OCT-2021
37
History of entity/person INFOTECH PORTFOLIO PVT.LTD.  
  EXPELLED BY OTHER STOCK EXCHANGE   CEASED TO BE MEMBERSHIP

16-JUN-2023
38
History of entity/person KARVY STOCK BROKING LTD.  
  DECLARED DEFAULTER BY OTHER STOCK EXCHANGE   DECLARED DEFAULTER BY STOCK EXCHANGE FROM 24-NOV-2020

24-NOV-2020
39
History of entity/person KASSA FINVEST PVT.LTD.  
  EXPELLED FROM MEMBERSHIP   DECLARED DEFAULTER BY STOCK EXCHANGE FROM 10-APR-2015

10-APR-2015
40
History of entity/person KAYNET FINANCE LTD.  
  EXPELLED FROM MEMBERSHIP   DECLARED DEFAULTER BY STOCK EXCHANGE FROM 14-FEB-2020

14-FEB-2020
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
First Previous Next Last  
Page 2 of 4  

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 2004-2026
No part of this site may be reproduced without the explicit permission of the owners.

top