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SOURCE OF INFORMATION : NATIONAL STOCK EXCHANGE OF INDIA LTD. LISTS/WEBSITE
PERIOD COVERED : 01-JAN-2000 TO 13-JUL-2024

STOCK BROKERS: VIOLATED NSE RULES

S.No. ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person C.M.GOENKA STOCK BROKERS PVT.LTD.  
DID NOT ADHERE TO NSEIL RULES 1 AND 2 OF CHAPTER IV

DEFAULTED UNDER CHAPTER XII OF BYELAWS OF NSE  		DECLARED DEFAULTER BY STOCK EXCHANGE FROM 15-FEB-2022

15-FEB-2022

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 15-FEB-2022 		 
2
History of entity/person CONCUNSMART SHARES & STOCK BROKER PVT.LTD.  
DID NOT ADHERE TO NSEIL RULES 1 AND 2 OF CHAPTER IV  DECLARED DEFAULTER BY STOCK EXCHANGE FROM 14-MAR-2023

14-MAR-2023

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 14-MAR-2023 		 
3
History of entity/person INDOVISION SECURITIES LTD.  
DID NOT ADHERE TO NSEIL RULES 1 AND 2 OF CHAPTER IV  DECLARED DEFAULTER BY STOCK EXCHANGE FROM 12-OCT-2021

11-OCT-2021

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 12-OCT-2021 		SAT: SAT VIDE ITS ORDER DATED 02/09/2022 CONDONED THE DELAY OF 58 DAYS IN FILING OF APPEAL. SET ASIDE ORDER DATED 22/07/2022 AND DIRECTED COMMITTEE TO PASS A REASONED AND SPEAKING ORDER AS EARLY AS POSSIBLE ON THE APPLICATION OF THE APPELLANT FOR READMISSION AS A MEMBER  
4
History of entity/person INFOTECH PORTFOLIO PVT.LTD.  
DID NOT ADHERE TO NSEIL RULES 1 AND 2 OF CHAPTER IV  EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 17-JUN-2023

26-MAY-2023 		 
5
History of entity/person LFS BROKING PVT.LTD.  
DID NOT ADHERE TO NSEIL RULES 1 AND 2 OF CHAPTER IV  EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 08-AUG-2023

07-AUG-2023 		SAT: SAT VIDE ITS ORDER DATED 07/08/2023 ALLOWED EXEMPTION APPLICATION. DIRECTED RESPONDENT TO FILE REPLY ON OR BEFORE 18/08/2023 AND REJOINDER TO BE FILED WITHIN TWO WEEKS THEREAFTER

SAT: SAT VIDE ITS ORDER DATED 28/11/2023 REJECTED THE STAY APPLICATION  
6
History of entity/person OMKAM CAPITAL MARKETS PVT.LTD.  
DID NOT ADHERE TO NSEIL RULES 1 AND 2 OF CHAPTER IV

DEFAULTED UNDER CHAPTER XII OF BYELAWS OF NSE  		DECLARED DEFAULTER BY STOCK EXCHANGE FROM 28-JAN-2022

27-JAN-2022

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 28-JAN-2022 		SAT: SAT VIDE ITS ORDER DATED 12/05/2022 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER

SAT: SAT VIDE ITS ORDER DATED 05/07/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER  
7
History of entity/person REKHA DEVI DHANUKA  
DID NOT ADHERE TO NSEIL RULES 1 AND 2 OF CHAPTER IV  DECLARED DEFAULTER BY STOCK EXCHANGE FROM 12-OCT-2021

11-OCT-2021

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 12-OCT-2021 		 
8
History of entity/person SANJAY KUMAR DHANUKA  
DID NOT ADHERE TO NSEIL RULES 1 AND 2 OF CHAPTER IV  DECLARED DEFAULTER BY STOCK EXCHANGE FROM 12-OCT-2021

11-OCT-2021

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 12-OCT-2021 		 
9
History of entity/person SINGLE WINDOW SECURITIES LTD.  
DID NOT ADHERE TO NSEIL RULES 1 AND 2 OF CHAPTER IV  EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 23-FEB-2023

23-FEB-2023

DECLARED DEFAULTER BY STOCK EXCHANGE FROM 23-FEB-2023 		 
10
History of entity/person STAMPEDE CAPITAL LTD.  
DID NOT ADHERE TO NSEIL RULES 1 AND 2 OF CHAPTER IV  EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 14-JUL-2021

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  
11
History of entity/person SUBODH KUMAR DHANUKA  
DID NOT ADHERE TO NSEIL RULES 1 AND 2 OF CHAPTER IV  DECLARED DEFAULTER BY STOCK EXCHANGE FROM 12-OCT-2021

11-OCT-2021

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 12-OCT-2021 		 
12
History of entity/person SUNNESS CAPITAL INDIA PVT.LTD.  
DID NOT ADHERE TO NSEIL RULES 1 AND 2 OF CHAPTER IV

DEFAULTED UNDER CHAPTER XII OF BYELAWS OF NSE  		DECLARED DEFAULTER BY STOCK EXCHANGE

24-APR-2022

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE 		 
13
History of entity/person VIJAY KUMAR GOEL  
DID NOT ADHERE TO NSEIL RULES 1 AND 2 OF CHAPTER IV

DEFAULTED UNDER CHAPTER XII OF BYELAWS OF NSE  		DECLARED DEFAULTER BY STOCK EXCHANGE FROM 06-SEP-2021

03-SEP-2021

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 06-SEP-2021 		 
14
History of entity/person YUVRAJ SECURITIES  
DID NOT ADHERE TO NSEIL RULES 1 AND 2 OF CHAPTER IV

DEFAULTED UNDER CHAPTER XII OF BYELAWS OF NSE  		DECLARED DEFAULTER BY STOCK EXCHANGE FROM 06-SEP-2021

03-SEP-2021

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 06-SEP-2021 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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