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Co-Sponsors

SOURCE OF INFORMATION : NSE CLEARING LTD.
PERIOD COVERED : 19-SEP-2013 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

ALL STOCK BROKERS

S.No. ENTITY DIRECTORS/ PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
41
History of entity/person ORION CAPITAL & DEBT MARKET  
  EXPELLED FROM MEMBERSHIP   DECLARED DEFAULTER BY STOCK EXCHANGE

09-NOV-2015 		 
42
History of entity/person PARSOLI CORP.LTD.  
  EXPELLED FROM MEMBERSHIP   DECLARED DEFAULTER BY STOCK EXCHANGE

19-SEP-2013 		 
43
History of entity/person PREM SOMANI SHARE BROKERS PVT.LTD.  
  DECLARED DEFAULTER BY OTHER STOCK EXCHANGE   DECLARED DEFAULTER BY STOCK EXCHANGE

13-AUG-2018 		 
44
History of entity/person PRIME BROKING CO.(INDIA) LTD.  
  EXPELLED FROM MEMBERSHIP   DECLARED DEFAULTER BY STOCK EXCHANGE

07-MAR-2014 		 
45
History of entity/person QUANTUM GLOBAL SECURITIES LTD.  
  DECLARED DEFAULTER BY OTHER STOCK EXCHANGE   DECLARED DEFAULTER BY STOCK EXCHANGE

30-APR-2020 		 
46
History of entity/person RAGHUKUL SHARES INDIA PVT.LTD.  
  NOT AVAILABLE   DECLARED DEFAULTER BY STOCK EXCHANGE

05-NOV-2019 		 
47
History of entity/person RAJANARAYAN CAPITAL MARKETS SERVICES LTD.  
  TERMINATED FROM MEMBERSHIP   CEASED TO BE MEMBERSHIP

24-MAY-2018 		 
48
History of entity/person RDQ STOCK BROKING PVT.LTD.  
  EXPELLED BY OTHER STOCK EXCHANGE   CEASED TO BE MEMBERSHIP

10-AUG-2023 		 
49
History of entity/person REFLECTION INVESTMENTS  
  DECLARED DEFAULTER BY OTHER STOCK EXCHANGE   DECLARED DEFAULTER BY STOCK EXCHANGE

15-MAR-2021 		 
50
History of entity/person ROYAL INTERNATIONAL SHARES PVT.LTD.  
  EXPELLED FROM MEMBERSHIP   DECLARED DEFAULTER BY STOCK EXCHANGE

06-APR-2017 		 
51
History of entity/person SAI SOFT SECURITIES LTD.  
  EXPELLED FROM MEMBERSHIP   DECLARED DEFAULTER BY STOCK EXCHANGE

06-APR-2017 		 
52
History of entity/person SINGLE WINDOW SECURITIES LTD.  
  EXPELLED BY OTHER STOCK EXCHANGE   CEASED TO BE MEMBERSHIP

24-FEB-2023 		 
53
History of entity/person STAMPEDE CAPITAL LTD.  
  EXPELLED BY OTHER STOCK EXCHANGE   CEASED TO BE MEMBERSHIP

14-JUL-2021 		SAT: SAT VIDE ITS ORDER DATED 20/07/2021 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE DAYS AND REJOINDER MAY BE FILED ON OR BEFORE NEXT DATE

NSE VIDE ITS CIRCULAR DATED 26/07/2021 RESTORED TRADING RIGHTS WITH EFFECT FROM 27/07/2021, PURSUANT TO SAT ORDER DATED 26/07/2021

SAT: SAT VIDE ITS ORDER DATED 26/07/2021 LISTED THE APPEALS FOR ADMISSION AND FOR FINAL DISPOSAL ON 25TH AUGUST 2021.IN THE MEANWHILE, STAYED THE EFFECT AND OPERATION OF IMPUGNED ORDER TILL NEXT DATE OF LISTING

SAT: SAT VIDE ITS ORDER DATED 11/08/2022 DISMISSED THE APPEAL. GRANTED FURTHER THREE MONTHS TO CLOSE OUT/SQUARE OFF OPEN POSITION, ETC. NO COSTS

NCL VIDE ITS CIRCULAR DATED 23/08/2022 REITERATED AS HON’BLE SAT VIDE ITS ORDER DATED 11/08/2022 DISMISSED THE APPEAL HENCE EXPULSION OF THE MEMBER MADE VIDE CIRCULAR REF.NO.NCL/COMP/49058 DATED 14/07/2021, IS IN EFFECT AND VALID

SAT: SAT VIDE ITS ORDER DATED 11/08/2022 DISMISSED THE APPEAL. NO COSTS  
54
History of entity/person STAR SHARE & STOCK BROKERS LTD.  
  DECLARED DEFAULTER BY OTHER STOCK EXCHANGE   DECLARED DEFAULTER BY STOCK EXCHANGE

13-JUL-2021 		 
55
History of entity/person SUMPOORNA PORTFOLIO LTD.  
  DECLARED DEFAULTER BY OTHER STOCK EXCHANGE   DECLARED DEFAULTER BY STOCK EXCHANGE

15-DEC-2020 		 
56
History of entity/person SUNNESS CAPITAL INDIA PVT.LTD.  
  DECLARED DEFAULTER BY OTHER STOCK EXCHANGE   DECLARED DEFAULTER BY STOCK EXCHANGE

25-APR-2022 		 
57
History of entity/person UNICON SECURITIES PVT.LTD.  
  EXPELLED FROM MEMBERSHIP   DECLARED DEFAULTER BY STOCK EXCHANGE

05-SEP-2014 		 
58
History of entity/person VINEET SECURITIES PVT.LTD.  
  DECLARED DEFAULTER BY OTHER STOCK EXCHANGE   DECLARED DEFAULTER BY STOCK EXCHANGE

30-APR-2020 		 
59
History of entity/person VRISE SECURITIES PVT.LTD.  
  EXPELLED FROM MEMBERSHIP   DECLARED DEFAULTER BY STOCK EXCHANGE

14-FEB-2020 		 
60
History of entity/person WEALTH MANTRA LTD.  
  NOT AVAILABLE   CEASED TO BE MEMBERSHIP

20-FEB-2018 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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