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SOURCE OF INFORMATION : BSE LTD. LISTS
PERIOD COVERED : 05-JUN-1995 TO 21-NOV-2024

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

STOCK BROKERS: SUSPENDED REGISTRATION AS STOCK BROKER

S.No. ENTITY PERSON REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person BHAIJEE PORTFOLIO PVT.LTD.
  NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER  SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-DEC-2023 TO 29-FEB-2024

30-NOV-2023 		BSE VIDE ITS NOTICE DATED 07/12/2023 REVOKED SUSPENSION IN TRADING OF COMMODITY DERIVATIVE SEGMENT W.E.F. 08/12/2023  
2 
History of entity/person DPS SHARES & SECURITIES PVT.LTD.
  ISSUED FRAUDULENT/FAKE CONTRACT NOTES  SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-JAN-2008 TILL FURTHER NOTICE

17-JUL-2009 		APPEAL DISMISSED AND RIGHT OF TRADING MEMBER STANDS CEASED/FORFEITED

SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS  
3 
History of entity/person GUINESS SECURITIES LTD.
  DID NOT ADHERE TO THE REGULATORY PROVISIONS OF THE STOCK EXCHANGE  SUSPENDED REGISTRATION AS STOCK BROKER

02-MAY-2019 		 
4 
History of entity/person HARDIK FINTRADE PVT.LTD.
  DID NOT ADHERE TO THE REGULATORY PROVISIONS OF THE STOCK EXCHANGE  SUSPENDED REGISTRATION AS STOCK BROKER

14-AUG-2018 		 
5 
History of entity/person HARISH CHANDRA GUTT & CO.PVT.LTD.
  FAILED TO REDRESS INVESTOR'S COMPLAINTS  SUSPENDED REGISTRATION AS STOCK BROKER FROM 11-FEB-2011 TILL FURTHER NOTICE

10-FEB-2011 		SAT: APPEAL DISMISSED WITH COSTS OF RS.TWO LACS  
6 
History of entity/person HARISH CHANDRA GUTT & CO.PVT.LTD.
  FAILED TO REDRESS INVESTOR'S COMPLAINTS  SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-SEP-2008 TILL FURTHER NOTICE

23-SEP-2008 		SUSPENSION OF THE TRADING RIGHTS OF HARISH CHANDRA GUTT & CO.PVT.LTD. (CLEARING NO.271) HAS BEEN WITHHELD TILL FURTHER NOTICE  
7 
History of entity/person J M GLOBAL EQUITIES PVT.LTD.
  DID NOT ADHERE TO THE REGULATORY PROVISIONS OF THE STOCK EXCHANGE  SUSPENDED REGISTRATION AS STOCK BROKER FROM 03-JAN-2019 TO 03-JAN-2019

02-JAN-2019 		 
8 
History of entity/person JAGRUTI SECURITIES LTD.
  VIOLATED BYELAW 355 OF RULES OF BSE (MISCONDUCT, UNBUSINESSLIKE CONDUCT AND UNPROFESSIONAL CONDUCT)  SUSPENDED REGISTRATION AS STOCK BROKER FROM 10-JUL-2007 TILL FURTHER NOTICE

11-JUL-2007 		THE BOARD OF DIRECTORS IN THE MEETING HELD ON MARCH 27, 2008 HAVE DECIDED TO RESTORE THE TRADING RIGHTS OF THE TRADING MEMBER  
9 
History of entity/person KESHAV SECURITIES PVT.LTD.

(AACCK2279A)
  ENGAGED IN BUSINESS OTHER THAN SECURITIES  SUSPENDED REGISTRATION AS STOCK BROKER FROM 19-APR-2023 TO 18-JUN-2023

21-APR-2023 		 
10 
History of entity/person LFS BROKING PVT.LTD.
  DID NOT ADHERE TO THE REGULATORY PROVISIONS OF THE STOCK EXCHANGE  SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-FEB-2023

01-FEB-2023 		 
11 
History of entity/person LFS BROKING PVT.LTD.
  DID NOT ADHERE TO THE REGULATORY PROVISIONS OF THE STOCK EXCHANGE  SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-NOV-2022

07-NOV-2022 		BSE VIDE ITS NOTICE DATED 18/11/2022 RESTORED THE TRADING RIGHTS IN ALL SEGMENTS OF THE EXCHANGE AND REACTIVATED TRADING TERMINALS W.E.F.18/11/2022  
12 
History of entity/person RDQ STOCK BROKING PVT.LTD.
  DID NOT ADHERE TO THE REGULATORY PROVISIONS OF THE STOCK EXCHANGE  SUSPENDED REGISTRATION AS STOCK BROKER FROM 16-NOV-2022

16-NOV-2022 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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