Warning to Brokers
 
Secondary Market Department

The Securities and Exchange Board of India (SEBI) has warned M/s Llyod Brokerage Ltd. (Presently known as M/s Euro Asian Securities Ltd. members of Bombay Stock Exchange & Pune Stock Exchange (SEBI Reg. No. INB010624639 & INB110624638) for irregularities in issuance of contract notes, delay in making payments and deliveries to clients, for not reporting off-the-floor transactions to the Exchange and not maintaining segregation between clients' fund and own funds
 
The warning has been served in terms of Sub-Regulation (3) of Regulation 29 of SEBI (Stock Brokers and Sub-Brokers) Rules & Regulations, 1992.
 
The Securities and Exchange Board of India (SEBI) has warned Ms Aruna Aggarwal, member of Ludiana Stock Exchange (SEBI Reg. No. INB 120316117) for not maintaining segregation between clients' fund and own funds and indulging in carry forward transactions.
 
The warning has been served in terms of Sub-Regulation (3) of Regulation 29 of SEBI (Stock Brokers and Sub-Brokers) Rules & Regulations, 1992.