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

STOCK BROKERS: EXPELLED BY OTHER STOCK EXCHANGE

S.No.

ENTITY

DIRECTORS/ PERSONS

REGULATORY CHARGES

REGULATORY ACTION(S) / DATE OF ORDER

FURTHER DEVELOPMENTS

1

History of entity/person

ANEE SECURITIES PVT.LTD.

EXPELLED BY OTHER STOCK EXCHANGE

CEASED TO BE MEMBERSHIP

16-SEP-2020

2

History of entity/person

FIRST FUTURES & STOCKS PVT.LTD.

EXPELLED BY OTHER STOCK EXCHANGE

CEASED TO BE MEMBERSHIP

18-OCT-2021

3

History of entity/person

G.S.V.SECURITIES PVT.LTD.

EXPELLED BY OTHER STOCK EXCHANGE

CEASED TO BE MEMBERSHIP

15-MAR-2023

4

History of entity/person

GOLDSTREET SECURITIES LTD.

EXPELLED BY OTHER STOCK EXCHANGE

CEASED TO BE MEMBERSHIP

24-MAR-2020

NOT APPEARING IN THE LIST DATED 30-NOVEMBER-2020

5

History of entity/person

INDOVISION SECURITIES LTD.

EXPELLED BY OTHER STOCK EXCHANGE

CEASED TO BE MEMBERSHIP

12-OCT-2021

6

History of entity/person

INFOTECH PORTFOLIO PVT.LTD.

EXPELLED BY OTHER STOCK EXCHANGE

CEASED TO BE MEMBERSHIP

16-JUN-2023

7

History of entity/person

LFS BROKING PVT.LTD.

EXPELLED BY OTHER STOCK EXCHANGE

CEASED TO BE MEMBERSHIP

07-AUG-2023

8

History of entity/person

RDQ STOCK BROKING PVT.LTD.

EXPELLED BY OTHER STOCK EXCHANGE

CEASED TO BE MEMBERSHIP

10-AUG-2023

9

History of entity/person

SINGLE WINDOW SECURITIES LTD.

EXPELLED BY OTHER STOCK EXCHANGE

CEASED TO BE MEMBERSHIP

24-FEB-2023

10

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

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

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