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SOURCE OF INFORMATION : MSEI
PERIOD COVERED : 20-MAY-2010 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: SUBMITTED FALSE OR MISLEADING STATEMENT IN ITS CLEARING FORMS OR RETURNS TO STOCK EXCHANGE

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person ANGEL BROKING PVT.LTD.  
  SUBMITTED FALSE OR MISLEADING STATEMENT IN ITS CLEARING FORMS OR RETURNS TO STOCK EXCHANGE  EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 12-JAN-2013

12-JAN-2013 		MSEI VIDE ITS ARBITRATION AWARD DATED 28/05/2013 UPHELD AND DISMISSED IMPUGNED AWARD DATED 12/01/2013 PASSED BY SOLE ARBIRATOR
2 
History of entity/person GLOBE CAPITAL MARKET LTD.  
  SUBMITTED FALSE OR MISLEADING STATEMENT IN ITS CLEARING FORMS OR RETURNS TO STOCK EXCHANGE  EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 10-AUG-2013

10-AUG-2013 		MSEI VIDE ITS ARBITRATION AWARD DATED 21/02/2014 REJECTED THE APPEAL.NO COSTS

MSEI VIDE ITS ARBITRATION AWARD DATED 06/09/2013 DIRECTED RESPONDENT TO PAY RS.2,38,956.44 IN ADDITION TO RS.4,02,817.43 AS PER ORIGINAL AWARD DATED 10/08/2013 ALONGWITH INTEREST @ 12% P.A. FROM DATE OF ORIGINAL APPLICATION TILL REALISATION. NO COSTS
3 
History of entity/person MUDRA BULLIONS PVT.LTD.  
  SUBMITTED FALSE OR MISLEADING STATEMENT IN ITS CLEARING FORMS OR RETURNS TO STOCK EXCHANGE  SUSPENDED FROM MEMBERSHIP FROM 09-NOV-2011

DIRECTED NOT TO TAKE ANY FRESH POSITIONS ON THE EXCHANGE AND CLOSE ALL ITS OPEN POSITIONS FROM 09-NOV-2011

DIRECTED TO FURNISH AN UNDERTAKING TO EXCHANGE DECLARING THAT NEITHER THEY NOR ANY OF THEIR DIRECTORS DIRECTLY OR INDIRECTLY APPLY FOR MEMBERSHIP OF THE EXCHANGE DURING CURRENCY OF THE SUSPENSION OR TRADE ON THE EXCHANGE

09-NOV-2011
4 
History of entity/person NIRMAL BANG SECURITIES PVT.LTD.  
  SUBMITTED FALSE OR MISLEADING STATEMENT IN ITS CLEARING FORMS OR RETURNS TO STOCK EXCHANGE  EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 03-APR-2014

03-APR-2014
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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