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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: REPORTED WRONG/FALSE REPORT OF CLIENT MARGIN COLLECTION

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person CREDO SECURITIES PVT.LTD.  
  REPORTED WRONG/FALSE REPORT OF CLIENT MARGIN COLLECTION  PENALTY IMPOSED RS.14,311

20-MAY-2013
2 
History of entity/person MARIGOLD VANIJYA PVT.LTD.  
  REPORTED WRONG/FALSE REPORT OF CLIENT MARGIN COLLECTION  PENALTY IMPOSED RS.1,10,321

SUSPENDED FROM MEMBERSHIP FROM 04-OCT-2012 TO 08-OCT-2012

21-AUG-2012
3 
History of entity/person SWASTIKA INVESTMART LTD.  
  REPORTED WRONG/FALSE REPORT OF CLIENT MARGIN COLLECTION  PENALTY IMPOSED RS.2,275

ADVISED TO COMPLY WITH SEBI CIRCULARS AND EXCHANGE ON MARGIN REPORTING IN FUTURE

21-AUG-2012
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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