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Co-Sponsors

SOURCE OF INFORMATION : MSEI
PERIOD COVERED : 20-MAY-2010 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: DECLARED DEFAULTER BY STOCK EXCHANGE

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person ACTION FINANCIAL SERVICES (INDIA) LTD.  
  DID NOT ADHERE TO VARIOUS RULES/REGULATIONS/BYE-LAWS OF THE EXCHANGE/SEBI  DECLARED DEFAULTER BY STOCK EXCHANGE

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 22-JAN-2021

22-JAN-2021
2 
History of entity/person ANUGRAH STOCK & BROKING PVT.LTD.  
  DID NOT ADHERE TO VARIOUS RULES/REGULATIONS/BYE-LAWS OF THE EXCHANGE/SEBI  DECLARED DEFAULTER BY STOCK EXCHANGE

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 27-NOV-2020

27-NOV-2020
3 
History of entity/person BALANCE EQUITY BROKING (INDIA) PVT.LTD.  
  DID NOT ADHERE TO VARIOUS RULES/REGULATIONS/BYE-LAWS OF THE EXCHANGE/SEBI  DECLARED DEFAULTER BY STOCK EXCHANGE

01-NOV-2023
4 
History of entity/person C.M.GOENKA STOCK BROKERS PVT.LTD.  
  DID NOT ADHERE TO VARIOUS RULES/REGULATIONS/BYE-LAWS OF THE EXCHANGE/SEBI  DECLARED DEFAULTER BY STOCK EXCHANGE

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 16-FEB-2022

15-FEB-2022
5 
History of entity/person FAIRWEALTH SECURITIES LTD.  
  DID NOT ADHERE TO VARIOUS RULES/REGULATIONS/BYE-LAWS OF THE EXCHANGE/SEBI  DECLARED DEFAULTER BY STOCK EXCHANGE

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE

15-JAN-2020
6 
History of entity/person FIRST FUTURES & STOCKS PVT.LTD.  
  DID NOT ADHERE TO VARIOUS RULES/REGULATIONS/BYE-LAWS OF THE EXCHANGE/SEBI  DECLARED DEFAULTER BY STOCK EXCHANGE

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 18-OCT-2021

14-OCT-2021
7 
History of entity/person KARVY STOCK BROKING LTD.  
  DID NOT ADHERE TO VARIOUS RULES/REGULATIONS/BYE-LAWS OF THE EXCHANGE/SEBI  DECLARED DEFAULTER BY STOCK EXCHANGE

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 23-NOV-2020

27-NOV-2020
8 
History of entity/person KAYNET CAPITAL LTD.  
  DID NOT ADHERE TO VARIOUS RULES/REGULATIONS/BYE-LAWS OF THE EXCHANGE/SEBI  DECLARED DEFAULTER BY STOCK EXCHANGE

03-AUG-2020
9 
History of entity/person KSBL SECURITIES LTD.  
  DID NOT ADHERE TO VARIOUS RULES/REGULATIONS/BYE-LAWS OF THE EXCHANGE/SEBI  DECLARED DEFAULTER BY STOCK EXCHANGE

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE

02-MAR-2020
10 
History of entity/person MODEX INTERNATIONAL SECURITIES LTD.  
  DID NOT ADHERE TO VARIOUS RULES/REGULATIONS/BYE-LAWS OF THE EXCHANGE/SEBI  DECLARED DEFAULTER BY STOCK EXCHANGE

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE

16-SEP-2020
11 
History of entity/person SUNNESS CAPITAL INDIA PVT.LTD.  
  DID NOT ADHERE TO VARIOUS RULES/REGULATIONS/BYE-LAWS OF THE EXCHANGE/SEBI  DECLARED DEFAULTER BY STOCK EXCHANGE

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 25-APR-2022

25-APR-2022
12 
History of entity/person VINEET SECURITIES PVT.LTD.  
  DID NOT ADHERE TO VARIOUS RULES/REGULATIONS/BYE-LAWS OF THE EXCHANGE/SEBI  DECLARED DEFAULTER BY STOCK EXCHANGE

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE

30-APR-2020
13 
History of entity/person WELLINDIA SECURITIES LTD.  
  DID NOT ADHERE TO VARIOUS RULES/REGULATIONS/BYE-LAWS OF THE EXCHANGE/SEBI  DECLARED DEFAULTER BY STOCK EXCHANGE

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE

30-APR-2020
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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