| S.No. |
ENTITY |
PERSON |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
1 FINANCE PVT.LTD.
|
|
|
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
|
CANCELLED STOCK BROKER MEMBERSHIP
21-NOV-2023
|
BSE VIDE ITS NOTICE DATED 07/02/2024 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
|
| 2 |
|
|
4A SECURITIES LTD.
|
|
|
DEFICIENCY IN RENDERING SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.9,81,326
24-DEC-2022
|
bse vide its arbitration dated 29/08/2023 partly allowed the appeal.Directed respondent (clients) to handover 35,000 equity shares of jshl (jla infraville shoppers ltd.) to applicant (trading member). On receipt of the shares, appellant to pay rs.9,81,326.00 to respondent
|
| 3 |
|
|
4A SECURITIES LTD.
|
|
|
DID NOT DELIVER SHARES
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
29-DEC-2016
|
|
| 4 |
|
|
A TO Z BROKING SERVICES PVT.LTD.
|
|
|
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
|
CANCELLED STOCK BROKER MEMBERSHIP
16-DEC-2021
|
BSE VIDE ITS NOTICE DATED 06/04/2022 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
|
| 5 |
|
|
A TO Z STOCK TRADE PVT.LTD.
|
|
|
NOT AVAILABLE
|
TRADING RIGHTS WITHDRAWN
26-MAR-2024
|
|
| 6 |
|
|
A.C.CHOKSI SHARE BROKERS PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
DIRECTED TO DELIVER SHARES
AWARD AMOUNT: RS.10,000
05-JUN-2009
|
COMPANY VIDE TRANSACTION STATEMENT DATED 08/06/2009 DELIVERED 40 SHARES OF JAI CORP.LTD. AND PAID RS.10,250.00 VIDE CHEQUE NO.529437 DATED 08/06/2009 DRAWN ON AXIS BANK TO MR.GIRDHAR B.VAISHNAV
|
| 7 |
|
|
A.C.CHOKSI SHARE BROKERS PVT.LTD.
|
|
|
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
|
CANCELLED STOCK BROKER MEMBERSHIP
10-MAY-2022
|
BSE VIDE ITS NOTICE DATED 10/05/2022 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI W.E.F.09/05/2022
|
| 8 |
|
|
A.P.T.PORTFOLIO PVT.LTD.
|
|
|
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
|
CANCELLED STOCK BROKER MEMBERSHIP
08-MAR-2023
|
BSE VIDE ITS NOTICE DATED 08/03/2023 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI W.E.F.03/03/2023
|
| 9 |
|
|
AADHAR SECURITIES PVT.LTD.
|
|
|
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
|
CANCELLED STOCK BROKER MEMBERSHIP
24-AUG-2020
|
|
| 10 |
|
|
AAMRAPALI AADYA TRADING & INVESTMENT PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,66,775
27-NOV-2015
|
|
| 11 |
|
|
AARUSH EQUITIES PVT.LTD.
|
|
|
NOT AVAILABLE
|
TRADING RIGHTS WITHDRAWN
26-MAR-2024
|
|
| 12 |
|
|
AARYA EQUITY (INDIA) PVT.LTD.
|
|
|
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
|
CANCELLED STOCK BROKER MEMBERSHIP FROM 30-JAN-2017
30-JAN-2017
|
|
| 13 |
|
|
AASMAA SECURITIES PVT.LTD.
|
|
|
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
|
CANCELLED STOCK BROKER MEMBERSHIP
25-MAY-2021
|
BSE VIDE ITS NOTICE DATED 31/01/2021 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
|
| 14 |
|
|
ABANS BROKING SERVICES PVT.LTD.
|
|
|
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
|
CANCELLED STOCK BROKER MEMBERSHIP
15-FEB-2024
|
BSE VIDE ITS NOTICE DATED 15/02/2024 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
|
| 15 |
|
|
ABBI-KPK SYSTEM TRADING & INVESTMENT SERVICES PVT.LTD.
|
|
|
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
|
CANCELLED STOCK BROKER MEMBERSHIP
25-MAY-2021
|
BSE VIDE ITS NOTICE DATED 10/11/2021 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
|
| 16 |
|
|
ABHIK FINANCE PVT.LTD.
|
|
|
NOT AVAILABLE
|
TRADING RIGHTS WITHDRAWN
26-MAR-2024
|
|
| 17 |
|
|
ABHIPRA CAPITAL LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.78,640
13-MAR-2015
|
Matter settled BSE status report dated 17/06/2019
|
| 18 |
|
|
ABHIPRA CAPITAL LTD.
|
|
|
DID NOT ADHERE TO THE REGULATORY PROVISIONS OF THE STOCK EXCHANGE
|
TRADING RIGHTS WITHDRAWN
29-MAY-2023
|
BSE VIDE ITS NOTICE DATED 12/06/2023 RESTORED THE TRADING RIGHTS IN ALL SEGMENTS OF THE EXCHANGE AND REACTIVATED TRADING TERMINALS OF THE TRADING MEMBER OF THE EXCHANGE W.E.F.12/06/2023
|
| 19 |
|
|
AC STOCK BROKING SERVICES LTD.
|
|
|
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
|
CANCELLED STOCK BROKER MEMBERSHIP
12-JUL-2019
|
BSE VIDE ITS NOTICE DATED 02/09/2021 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
|
| 20 |
|
|
ACHIEVERS SECURITIES PVT.LTD.
|
|
|
NOT AVAILABLE
|
TRADING RIGHTS WITHDRAWN
26-MAR-2024
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 1 of 111 |
