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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
61
History of entity/person SIMANDHAR BROKING LTD.  
  DECLARED DEFAULTER BY OTHER STOCK EXCHANGE   DECLARED DEFAULTER BY STOCK EXCHANGE FROM 23-MAY-2025

23-MAY-2025
62
History of entity/person SINGLE WINDOW SECURITIES LTD.  
  EXPELLED BY OTHER STOCK EXCHANGE   CEASED TO BE MEMBERSHIP

24-FEB-2023
63
History of entity/person SMC GLOBAL SECURITIES LTD.  
  REPORTED INCORRECT CLIENT MARGIN AS PROPRIETARY MARGIN

DID NOT RECEIVE APPROPRIATE FUNDS FOR PROPRIETARY TRADES

DISCREPANCIES IN ALLOCATION AND SEGREGATION REPORTING OF PROPRIETARY COLLATERAL

DID NOT COLLECT CRYSTALLIZED OBLIGATION IN CASH FOR PROPRIETARY TRADES   		IMPOSED PENALTY RS.27,00,000

DIRECTED TO CONDUCT MONTHLY CONCURRENT AUDIT OF ITS OPERATIONS WITH RESPECT TO ALLOCATION AND SEGREGATION

11-MAY-2026
64
History of entity/person STAMPEDE CAPITAL LTD.  
  EXPELLED BY OTHER STOCK EXCHANGE   CEASED TO BE MEMBERSHIP

14-JUL-2021 		SAT: SAT VIDE ITS ORDER DATED 20/07/2021 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE DAYS AND REJOINDER MAY BE FILED ON OR BEFORE NEXT DATE

NSE VIDE ITS CIRCULAR DATED 26/07/2021 RESTORED TRADING RIGHTS WITH EFFECT FROM 27/07/2021, PURSUANT TO SAT ORDER DATED 26/07/2021

SAT: SAT VIDE ITS ORDER DATED 26/07/2021 LISTED THE APPEALS FOR ADMISSION AND FOR FINAL DISPOSAL ON 25TH AUGUST 2021.IN THE MEANWHILE, STAYED THE EFFECT AND OPERATION OF IMPUGNED ORDER TILL NEXT DATE OF LISTING

SAT: SAT VIDE ITS ORDER DATED 11/08/2022 DISMISSED THE APPEAL. GRANTED FURTHER THREE MONTHS TO CLOSE OUT/SQUARE OFF OPEN POSITION, ETC. NO COSTS

NCL VIDE ITS CIRCULAR DATED 23/08/2022 REITERATED AS HON’BLE SAT VIDE ITS ORDER DATED 11/08/2022 DISMISSED THE APPEAL HENCE EXPULSION OF THE MEMBER MADE VIDE CIRCULAR REF.NO.NCL/COMP/49058 DATED 14/07/2021, IS IN EFFECT AND VALID

SAT: SAT VIDE ITS ORDER DATED 11/08/2022 DISMISSED THE APPEAL. NO COSTS
65
History of entity/person STAR SHARE & STOCK BROKERS LTD.  
  DECLARED DEFAULTER BY OTHER STOCK EXCHANGE   DECLARED DEFAULTER BY STOCK EXCHANGE FROM 13-JUL-2021

13-JUL-2021
66
History of entity/person SUMPOORNA PORTFOLIO LTD.  
  DECLARED DEFAULTER BY OTHER STOCK EXCHANGE   DECLARED DEFAULTER BY STOCK EXCHANGE FROM 15-DEC-2020

15-DEC-2020
67
History of entity/person SUNNESS CAPITAL INDIA PVT.LTD.  
  DECLARED DEFAULTER BY OTHER STOCK EXCHANGE   DECLARED DEFAULTER BY STOCK EXCHANGE FROM 25-APR-2022

25-APR-2022
68
History of entity/person TRDEZ INVESTMENT PVT.LTD.  
  EXPELLED BY OTHER STOCK EXCHANGE   CEASED TO BE MEMBERSHIP

25-MAR-2026
69
History of entity/person UNICON SECURITIES PVT.LTD.  
  EXPELLED FROM MEMBERSHIP   DECLARED DEFAULTER BY STOCK EXCHANGE FROM 05-SEP-2014

05-SEP-2014
70
History of entity/person VINEET SECURITIES PVT.LTD.  
  DECLARED DEFAULTER BY OTHER STOCK EXCHANGE   DECLARED DEFAULTER BY STOCK EXCHANGE FROM 30-APR-2020

30-APR-2020
71
History of entity/person VRISE SECURITIES PVT.LTD.  
  EXPELLED FROM MEMBERSHIP   DECLARED DEFAULTER BY STOCK EXCHANGE FROM 14-FEB-2020

14-FEB-2020
72
History of entity/person WEALTH MANTRA LTD.  
  NOT AVAILABLE   CEASED TO BE MEMBERSHIP

20-FEB-2018
73
History of entity/person WEALTH MANTRA LTD.  
  NOT AVAILABLE   DECLARED DEFAULTER BY STOCK EXCHANGE FROM 02-JAN-2020

02-JAN-2020
74
History of entity/person WELLINDIA SECURITIES LTD.  
  DECLARED DEFAULTER BY OTHER STOCK EXCHANGE   DECLARED DEFAULTER BY STOCK EXCHANGE FROM 30-APR-2020

30-APR-2020
75
History of entity/person YES BANK LTD.  
  MISUTILISED CLIENTS FUNDS AND/OR SECURITIES   IMPOSED PENALTY RS.1,95,000

03-MAY-2021
76
History of entity/person YUVRAJ SECURITIES  
  DECLARED DEFAULTER BY OTHER STOCK EXCHANGE   DECLARED DEFAULTER BY STOCK EXCHANGE FROM 06-SEP-2021

06-SEP-2021
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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