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: DID NOT ADHERE TO THE REGULATORY PROVISIONS OF THE STOCK EXCHANGE

S.No.

ENTITY

PERSON

REGULATORY CHARGES

REGULATORY ACTION(S) / DATE OF ORDER

FURTHER DEVELOPMENTS

1

History of entity/person

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TRADING RIGHTS WITHDRAWN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

2

History of entity/person

ARTHA VRDDHI SECURITIES LTD.

DID NOT ADHERE TO THE REGULATORY PROVISIONS OF THE STOCK EXCHANGE

DEACTIVATE TRADING TERMINALS FROM 30-JUN-2020

30-JUN-2020

BSE VIDE ITS CIRCULAR DATED 16/07/2020 PURSUANT TO NSE CIRCULAR DATED 16/07/2020 RESTORED TRADING RIGHTS IN ALL SEGMENTS WITH EFFECT FROM 16/07/2020 AND ALSO REACTIVATED TRADING TERMINALS IN ALL SEGMENTS WITH IMMEDIATE EFFECT

BSE VIDE ITS NOTICE DATED 04/09/2020 WITHDREW TRADING RIGHTS AND ALSO DEACTIVATED TRADING TERMINALS IN ALL OTHER SEGMENTS W.E.F 04/09/2020 (REFER ORDER DATED 01/09/2020)

3

History of entity/person

ASTITVA CAPITAL MARKET PVT.LTD.

DID NOT ADHERE TO THE REGULATORY PROVISIONS OF THE STOCK EXCHANGE

DEACTIVATE TRADING TERMINALS FROM 09-JUN-2020

09-JUN-2020

BSE VIDE ITS NOTICE DATED 06/08/2020 REACTIVATED TRADING TERMINALS IN ALL SEGMENTS OF EXCHANGE WITH IMMEDIATE EFFECT

4

History of entity/person

CONCUNSMART SHARES & STOCK BROKER PVT.LTD.

DID NOT ADHERE TO THE REGULATORY PROVISIONS OF THE STOCK EXCHANGE

TRADING RIGHTS WITHDRAWN FROM 18-APR-2022

18-APR-2022

5

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

6

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

7

History of entity/person

INDOVISION SECURITIES LTD.

DID NOT ADHERE TO THE REGULATORY PROVISIONS OF THE STOCK EXCHANGE

DEACTIVATE TRADING TERMINALS FROM 09-JUN-2020

09-JUN-2020

8

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

9

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

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

MULTIGAIN SECURITIES SERVICES PVT.LTD.

DID NOT ADHERE TO THE REGULATORY PROVISIONS OF THE STOCK EXCHANGE

DEACTIVATE TRADING TERMINALS FROM 09-JUN-2020

09-JUN-2020

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

13

History of entity/person

VINEET SECURITIES PVT.LTD.

DID NOT ADHERE TO THE REGULATORY PROVISIONS OF THE STOCK EXCHANGE

DEACTIVATE TRADING TERMINALS FROM 04-NOV-2019

05-NOV-2019

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

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