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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: COMPULSORY DELISTED ON BOMBAY STOCK EXCHANGES ON ACCOUNT OF SUSPENSION FOR MORE THAN SIX MONTHS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person AASTHA AGENCIES  
  DID NOT ADHERE TO MEMBERSHIP CRITERIA OF SEBI/EXCHANGE

DID NOT ADHERE TO VARIOUS RULES/REGULATIONS/BYE-LAWS OF THE EXCHANGE/SEBI

DID NOT MAINTAIN NET WORTH REQUIREMENT  		EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 26-JUN-2014

26-JUN-2014 		MCX VIDE ITS ORDER DATED 09/12/2014 REVOKED ITS DIRECTIONS ISSUED VIDE ITS EXPULSION ORDER DATED 26/06/2014. FURTHER, ADVISED AASTHA AGENCIES TO INCREASE ITS NETWORTH TO THE PRESCRIBED LIMIT WITHIN 30 DAYS OF THE RECEIPT OF THIS ORDER AND SUBMIT NET WORTH CERTIFICATE
2 
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
3 
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
4 
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
5 
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
6 
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
7 
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
8 
History of entity/person JAIN BROKING PVT.LTD.  
  DID NOT ADHERE TO REQUIREMENTS LAID DOWN BY SEBI/EXCHANGE

DID NOT ADHERE TO VARIOUS RULES/REGULATIONS/BYE-LAWS OF THE EXCHANGE/SEBI

DID NOT MAINTAIN NET WORTH REQUIREMENT  		EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 26-JUN-2014

26-JUN-2014 		MCX VIDE ITS ORDER DATED 09/12/2014 REVOKED ITS DIRECTIONS ISSUED VIDE ITS EXPULSION ORDER DATED 26/06/2014. FURTHER, ADVISED JAIN BROKING TO INCREASE ITS NETWORTH TO THE PRESCRIBED LIMIT WITHIN 30 DAYS OF THE RECEIPT OF THIS ORDER AND SUBMIT NET WORTH CERTIFICATE
9 
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
10 
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
11 
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
12 
History of entity/person MAX PLANWEALTH SECURITIES LTD.  
  DID NOT ADHERE TO VARIOUS RULES/REGULATIONS/BYE-LAWS OF THE EXCHANGE/SEBI  SUSPENDED FROM MEMBERSHIP FROM 29-MAY-2015

29-MAY-2015
13 
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
14 
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
15 
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
16 
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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