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SOURCE OF INFORMATION

SOURCE OF INFORMATION: icex DERIVATIVES & COMMODITY STOCK EXCHANGE LTD. WEBSITE - PERIOD COVERED : 10-JUN-2006 TO 25-JUL-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: VIOLATED RULES AND BYE LAWS OF EXCAHNGE

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person ADROIT COMMODITIES SERVICES PVT.LTD.  
  VIOLATED RULES AND BYE LAWS OF EXCAHNGE   CANCELLED STOCK BROKER MEMBERSHIP

07-JUL-2022 		ICEX VIDE ITS CIRCULAR DATED 07/07/2022 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI  
2
History of entity/person ALLAYNA DEALERS PVT.LTD.  

(PAN:AACCC6502C)
  VIOLATED RULES AND BYE LAWS OF EXCAHNGE   EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE

16-NOV-2009 		 
3
History of entity/person ARYAKSUN TRADERS PVT.LTD.  

(PAN:AAJPT5499F)
  VIOLATED RULES AND BYE LAWS OF EXCAHNGE   EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE

20-FEB-2014 		 
4
History of entity/person BHAIJEE PORTFOLIO LTD.  
  VIOLATED RULES AND BYE LAWS OF EXCAHNGE   CANCELLED STOCK BROKER MEMBERSHIP

07-JUL-2022 		ICEX VIDE ITS CIRCULAR DATED 07/07/2022 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI  
5
History of entity/person BHAWANI COMMODITIES  

(PAN:APXPR6618B)
  VIOLATED RULES AND BYE LAWS OF EXCAHNGE   EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE

10-MAY-2013 		 
6
History of entity/person ECONO BROKING PVT.LTD.  
  VIOLATED RULES AND BYE LAWS OF EXCAHNGE   CANCELLED STOCK BROKER MEMBERSHIP

07-JUL-2022 		ICEX VIDE ITS CIRCULAR DATED 07/07/2022 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI  
7
History of entity/person FAIRWEALTH COMMODITY BROKING PVT.LTD.  
  VIOLATED RULES AND BYE LAWS OF EXCAHNGE   DECLARED DEFAULTER BY STOCK EXCHANGE

15-JAN-2020 		 
8
History of entity/person GEOJIT FINANCIAL SERVICES LTD.  
  VIOLATED RULES AND BYE LAWS OF EXCAHNGE   CANCELLED STOCK BROKER MEMBERSHIP

15-NOV-2022 		ICEX VIDE ITS CIRCULAR DATED 15/11/2022 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI  
9
History of entity/person GRD SECURITIES LTD.  
  VIOLATED RULES AND BYE LAWS OF EXCAHNGE   CANCELLED STOCK BROKER MEMBERSHIP

07-JUL-2022 		ICEX VIDE ITS CIRCULAR DATED 07/07/2022 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI  
10
History of entity/person GRM SECURITIES PVT.LTD.  
  VIOLATED RULES AND BYE LAWS OF EXCAHNGE   CANCELLED STOCK BROKER MEMBERSHIP

07-JUL-2022 		ICEX VIDE ITS CIRCULAR DATED 07/07/2022 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI  
11
History of entity/person GROVALUE COMMODITY PVT.LTD.  
  DECLARED DEFAULTER BY OTHER STOCK EXCHANGE   DECLARED DEFAULTER BY STOCK EXCHANGE

27-AUG-2021 		 
12
History of entity/person KESARINANDAN RETAILS PVT.LTD.  

(PAN:AAFCA3495D)
  VIOLATED RULES AND BYE LAWS OF EXCAHNGE   EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE

20-FEB-2014 		 
13
History of entity/person KUNVARJI COMMODITIES BROKERS PVT.LTD.  
  VIOLATED RULES AND BYE LAWS OF EXCAHNGE   CANCELLED STOCK BROKER MEMBERSHIP

07-JUL-2022 		ICEX VIDE ITS CIRCULAR DATED 07/07/2022 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI  
14
History of entity/person MAGNUM FINANCIAL SERVICES  

(PAN:AAFCR5053E)
  VIOLATED RULES AND BYE LAWS OF EXCAHNGE   EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE

10-MAY-2013 		 
15
History of entity/person MARWADI COMMODITY BROKER PVT.LTD.  
  VIOLATED RULES AND BYE LAWS OF EXCAHNGE   CANCELLED STOCK BROKER MEMBERSHIP

21-NOV-2022 		ICEX VIDE ITS CIRCULAR DATED 21/11/2022 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI  
16
History of entity/person MARWADI SHARES & FINANCE LTD.  
  VIOLATED RULES AND BYE LAWS OF EXCAHNGE   CANCELLED STOCK BROKER MEMBERSHIP

21-NOV-2022 		ICEX VIDE ITS CIRCULAR DATED 21/11/2022 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI  
17
History of entity/person MASTER CAPITAL SERVICES LTD.  
  VIOLATED RULES AND BYE LAWS OF EXCAHNGE   CANCELLED STOCK BROKER MEMBERSHIP

15-NOV-2022 		ICEX VIDE ITS CIRCULAR DATED 15/11/2022 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI  
18
History of entity/person MONEYLICIOUS SECURITIES PVT.LTD.  
  VIOLATED RULES AND BYE LAWS OF EXCAHNGE   CANCELLED STOCK BROKER MEMBERSHIP

07-JUL-2022 		ICEX VIDE ITS CIRCULAR DATED 07/07/2022 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI  
19
History of entity/person P R B SECURITIES PVT.LTD.  
  VIOLATED RULES AND BYE LAWS OF EXCAHNGE   CANCELLED STOCK BROKER MEMBERSHIP

07-JUL-2022 		ICEX VIDE ITS CIRCULAR DATED 07/07/2022 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI  
20
History of entity/person RADAR VISION LTD.  
  VIOLATED RULES AND BYE LAWS OF EXCAHNGE   CANCELLED STOCK BROKER MEMBERSHIP

26-AUG-2022 		ICEX VIDE ITS CIRCULAR DATED 26/08/2022 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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