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

COMPANIES: DECLARED DEFAULTER BY STOCK EXCHANGE

S.No. ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person ALBA CAPITAL MARKETS PVT.LTD.  
DEFAULTED UNDER CHAPTER XII OF BYELAWS OF NSE  DECLARED DEFAULTER BY STOCK EXCHANGE FROM 16-DEC-2004

24-DEC-2004 		 
2
History of entity/person ALKA SECURITIES LTD.  
DEFAULTED UNDER CHAPTER XII OF BYELAWS OF NSE  DECLARED DEFAULTER BY STOCK EXCHANGE FROM 06-APR-2017

06-APR-2017 		 
3
History of entity/person AMRAPALI AADYA TRADING & INVESTMENT PVT.LTD.  
DEFAULTED UNDER CHAPTER XII OF BYELAWS OF NSE  DECLARED DEFAULTER BY STOCK EXCHANGE FROM 11-OCT-2017

11-OCT-2017

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 11-OCT-2017 		SAT: SAT VIDE ITS ORDER DATED 23/08/2023 ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER WITH DIRECTION TO COMMITTEE TO PROCESS CLAIM OF APPELLANT AND PASS APPROPRIATE ORDER FOR DISBURSEMENT WITHIN SIX WEEKS  
4
History of entity/person D.GUNASEKAR  
DEFAULTED UNDER CHAPTER XII OF BYELAWS OF NSE

VIOLATED CHAPTER IV OF RULES OF NSE (MISCONDUCT, UNBUSINESSLIKE CONDUCT AND UNPROFESSIONAL CONDUCT)  		DECLARED DEFAULTER BY STOCK EXCHANGE FROM 18-OCT-2021

14-OCT-2021

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 18-OCT-2021 		 
5
History of entity/person F6 FINSERVE PVT.LTD.  
NOT AVAILABLE  DECLARED DEFAULTER BY STOCK EXCHANGE FROM 13-APR-2018

13-APR-2018 		 
6
History of entity/person FIRST FUTURES & STOCKS PVT.LTD.  
DEFAULTED UNDER CHAPTER XII OF BYELAWS OF NSE

VIOLATED CHAPTER IV OF RULES OF NSE (MISCONDUCT, UNBUSINESSLIKE CONDUCT AND UNPROFESSIONAL CONDUCT)  		DECLARED DEFAULTER BY STOCK EXCHANGE FROM 18-OCT-2021

14-OCT-2021

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 18-OCT-2021 		 
7
History of entity/person G.S.V.SECURITIES 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 		 
8
History of entity/person G.SHRI SHIVAM  
DEFAULTED UNDER CHAPTER XII OF BYELAWS OF NSE

VIOLATED CHAPTER IV OF RULES OF NSE (MISCONDUCT, UNBUSINESSLIKE CONDUCT AND UNPROFESSIONAL CONDUCT)  		DECLARED DEFAULTER BY STOCK EXCHANGE FROM 18-OCT-2021

14-OCT-2021

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 18-OCT-2021 		 
9
History of entity/person MANOJ JAVERI STOCK BROKING PVT.LTD.  
NOT AVAILABLE  DECLARED DEFAULTER BY STOCK EXCHANGE FROM 09-MAY-2017

10-MAY-2017 		 
10
History of entity/person PREM SOMANI SHARE BROKERS PVT.LTD.  
DEFAULTED UNDER CHAPTER XII OF BYELAWS OF NSE  DECLARED DEFAULTER BY STOCK EXCHANGE FROM 13-AUG-2018

13-AUG-2018 		 
11
History of entity/person ROYAL INTERNATONAL SHARES PVT.LTD.  
DEFAULTED UNDER CHAPTER XII OF BYELAWS OF NSE  DECLARED DEFAULTER BY STOCK EXCHANGE FROM 06-APR-2017

06-APR-2017 		 
12
History of entity/person SAI SOFT SECURITIES LTD.  
DEFAULTED UNDER CHAPTER XII OF BYELAWS OF NSE  DECLARED DEFAULTER BY STOCK EXCHANGE FROM 06-APR-2017

06-APR-2017 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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