| S.No. |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
4A SECURITIES LTD.
|
|
DID NOT ADHERE TO REGULATORY PROVISIONS OF THE EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER TILL 11-FEB-2020Rs.48,94,000
04-FEB-2020
IMPOSED PENALTY TILL 11-FEB-2020
|
SAT: APPEAL DISMISSED
|
| 2 |
|
|
ABHIPRA CAPITAL LTD.
|
|
DID NOT ADHERE TO REGULATORY PROVISIONS OF THE EXCHANGE
|
TRADING RIGHTS WITHDRAWN FROM 29-MAY-2023
26-MAY-2023
|
SAT: SAT VIDE ITS ORDER DATED 09/06/2023 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 26/05/2023. DIRECTED COMMITTEE TO PASS FINAL ORDER PURSUANT TO SCN DATED 30/12/2022 WITHIN THREE MONTHS. NO COSTS
|
| 3 |
|
|
AMRAPALI AADYA TRADING & INVESTMENT PVT.LTD.
|
|
DID NOT ADHERE TO REGULATORY PROVISIONS OF THE EXCHANGE
|
TRADING RIGHTS WITHDRAWN FROM 11-AUG-2017
11-AUG-2017
|
|
| 4 |
|
|
ANUGRAH STOCK & BROKING PVT.LTD.
|
|
DID NOT ADHERE TO REGULATORY PROVISIONS OF THE EXCHANGE
|
TRADING RIGHTS WITHDRAWN FROM 03-AUG-2020
03-AUG-2020
|
NSE VIDE ITS CIRCULAR DATED 18/08/2020 RESTORED TRADING RIGHTS IN ALL SEGMENTS OF EXCHANGE WITH EFFECT FROM 18/08/2020
SAT: SAT VIDE ITS ORDER DATED 17/08/2020 DIRECTED RESPONDENT THREE WEEKS TIME TO FILE REPLY AND APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS THEREAFTER AND A. RESTRAINED APPELLANT TO CONTINUE WITH ITS BUSINESS OF DAS AS WELL AS IN ITS SISTER CONCERN OSSI WITH IMMEDIATE EFFECT DURING THE PENDENCY OF THE APPEAL B) RESTRAINED APPELLANT FROM ENROLLING ANY FRESH CLIENT IN DERIVATIVES SEGMENT DURING PENDENCY OF THE APPEAL C) DIRECTED APPELLANT TO DEPOSIT RS.165 CRORES BEFORE RESPONDENT WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND AMOUNT DEPOSITED TO BE KEPT IN INTEREST BEARING ACCOUNT BY RESPONDENT D) APPELLANT WILL FILE REPLY TO THE SHOW CAUSE NOTICE WITHIN THREE WEEKS FROM DATE OF THIS ORDER
|
| 5 |
|
|
ARCADIA SHARE & STOCK BROKERS PVT.LTD.
|
|
DID NOT ADHERE TO REGULATORY PROVISIONS OF THE EXCHANGE
|
TRADING RIGHTS WITHDRAWN FROM 08-FEB-2021
07-FEB-2021
|
|
| 6 |
|
|
ARTHA VRDDHI SECURITIES LTD.
|
|
DID NOT ADHERE TO REGULATORY PROVISIONS OF THE EXCHANGE
|
TRADING FACILITY WITHDRAWN FROM 29-JUN-2020
29-JUN-2020
|
NSE VIDE ITS CIRCULAR DATED 16/07/2020 RESTORED THE TRADING RIGHTS IN ALL SEGMENTS WITH EFFECT FROM 16/07/2020
SAT: SAT VIDE ITS ORDER DATED 15/07/2020 DIRECTED RESPONDENT TO FILE REPLY WITHIN FOUR WEEKS FROM DATE OF THIS ORDER. CONSIDERING THIS SAT DIRECTED SEBI TO STAY ITS ORDER DATED 29/06/2020 FOR DISABLING TRADING TERMINALS FROM ALL SEGMENTS WITH SOME CONDITIONS MENTIONED IN THE ORDER
|
| 7 |
|
|
ASTITVA CAPITAL MARKET PVT.LTD.
|
|
DID NOT ADHERE TO REGULATORY PROVISIONS OF THE EXCHANGE
|
TRADING RIGHTS WITHDRAWN FROM 08-JUN-2020
08-JUN-2020
|
SAT: SAT VIDE ITS ORDER DATED 07/07/2020 DIRECTED RESPONDET TO FILE REPLY WITHIN 10 DAYS AND APPELLANT TO FILE REJOINDER ONE WEEK THEREAFTER
SAT VIDE ITS ORDER DATED 03/08/2020 QUASHED IMPUGNED ORDER AND REMITTED MATTER BACK TO THE MCSGFC OF NSE TO RECONSIDER MATTER DE NOVO AND DIRECTD APPELLANT TO GIVE DETAILED REPLY TO SCN WITH SUPPORTING DOCUMENTS TO NSE ON OR BEFORE 21/08/2020. NO COSTS
|
| 8 |
|
|
BALANCE EQUITY BROKING (INDIA) PVT.LTD.
|
|
DID NOT ADHERE TO REGULATORY PROVISIONS OF THE EXCHANGE
|
TRADING RIGHTS WITHDRAWN FROM 09-SEP-2020
09-SEP-2020
|
SAT: SAT VIDE ITS ORDER DATED 07/02/2022 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 09/09/2020. MATTER REMITTED TO SEBI TO PASS REASONED AND SPEAKING ORDER WITHIN TWO WEEKS FROM DATE OF THIS ORDER
|
| 9 |
|
|
BMA WEALTH CREATORS LTD.
|
|
DID NOT ADHERE TO REGULATORY PROVISIONS OF THE EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-OCT-2019
30-SEP-2019
|
|
| 10 |
|
|
C.M.GOENKA STOCK BROKERS PVT.LTD.
|
|
DID NOT ADHERE TO REGULATORY PROVISIONS OF THE EXCHANGE
|
TRADING RIGHTS WITHDRAWN FROM 30-AUG-2021
28-AUG-2021
|
|
| 11 |
|
|
CAB SECURITIES LTD.
|
|
DID NOT ADHERE TO REGULATORY PROVISIONS OF THE EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 13-DEC-2019 TO 13-DEC-2019
12-DEC-2019
|
|
| 12 |
|
|
CAPITAL WIZARD STOCK BROKING PVT.LTD.
|
|
DID NOT ADHERE TO REGULATORY PROVISIONS OF THE EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-APR-2019 TO 07-MAY-2019
26-APR-2019
|
|
| 13 |
|
|
CENTURY FINVEST PVT.LTD.
|
|
DID NOT ADHERE TO REGULATORY PROVISIONS OF THE EXCHANGE
|
TRADING RIGHTS WITHDRAWN FROM 04-JAN-2021
04-JAN-2021
|
|
| 14 |
|
|
CENTURY FINVEST PVT.LTD.
|
|
DID NOT ADHERE TO REGULATORY PROVISIONS OF THE EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 25-JAN-2023 TO 24-JUL-2023
27-JAN-2023
|
|
| 15 |
|
|
CONARD SECURITIES PVT.LTD.
|
|
DID NOT ADHERE TO REGULATORY PROVISIONS OF THE EXCHANGE
|
TRADING RIGHTS WITHDRAWN FROM 03-AUG-2020
03-AUG-2020
|
|
| 16 |
|
|
CONCUNSMART SHARES & STOCK BROKER PVT.LTD.
|
|
DID NOT ADHERE TO REGULATORY PROVISIONS OF THE EXCHANGE
|
TRADING RIGHTS WITHDRAWN FROM 18-APR-2022
17-APR-2022
|
|
| 17 |
|
|
FIRST FUTURES & STOCKS PVT.LTD.
|
|
DID NOT ADHERE TO REGULATORY PROVISIONS OF THE EXCHANGE
|
TRADING RIGHTS WITHDRAWN
12-APR-2021
|
|
| 18 |
|
|
GRD SECURITIES LTD.
|
|
DID NOT ADHERE TO REGULATORY PROVISIONS OF THE EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER TILL 02-JUL-2019
01-JUL-2019
|
|
| 19 |
|
|
INDIANIVESH SHARES & SECURITIES PVT.LTD.
|
|
MISUTILISED CLIENTS FUNDS AND/OR SECURITIES
DID NOT ADHERE TO REGULATORY PROVISIONS OF THE EXCHANGE
|
IMPOSED PENALTY TILL 10-AUG-2022Rs.1,00,00,000
11-FEB-2022
SUSPENDED FROM TRADING TILL 10-AUG-2022
|
SAT: SAT VIDE ITS ORDER DATED 07/03/2022 DISPOSED OFF THE STAY AND URGENCY APPLICATION. DIRECTED THAT THE SUSPENSION OF TRADING MEMBERSHIP OF THE APPELLANT TO REMAIN STAYED, PROVIDED APPELLANT DEPOSITS RS.50 LAC BEFORE THE RESPONDENT
SAT: SAT VIDE ITS ORDER DATED 06/05/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 20 |
|
|
INDOVISION SECURITIES LTD.
|
|
DID NOT ADHERE TO REGULATORY PROVISIONS OF THE EXCHANGE
|
TRADING RIGHTS WITHDRAWN FROM 08-JUN-2020
08-JUN-2020
|
|
| 21 |
|
|
ISHTA SECURITIES
|
|
DID NOT ADHERE TO REGULATORY PROVISIONS OF THE EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 21-JUL-2020 TO 21-JUL-2020
20-JUL-2020
|
|
| 22 |
|
|
JUNJHARJI INVESTMENT PVT.LTD.
|
|
DID NOT ADHERE TO REGULATORY PROVISIONS OF THE EXCHANGE
|
TRADING RIGHTS WITHDRAWN FROM 06-JUN-2023 TO 07-JUN-2023
05-JUN-2023
|
SAT: SAT VIDE ITS ORDER DATED 20/06/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER. DIRECTED EFFECT AND OPERATION OF IMPUGNED ORDER TO REMAIN STAYED AND DIRECTED APPELLANT TO DEPOSIT RS.20 LAC WITHIN THREE WEEKS FROM DATE OF THIS ORDER. IF AMOUNT DEPOSITED, BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF THE APPEAL. ALLOWED EXEMPTION APPLICATION
SAT: SAT VIDE ITS ORDER DATED 11/08/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 23 |
|
|
KARVY STOCK BROKING LTD.
|
|
DID NOT ADHERE TO REGULATORY PROVISIONS OF THE EXCHANGE
|
SUSPENDED FROM TRADING
02-DEC-2019
|
SAT: SAT VIDE ITS ORDER DATED 03/12/2019 DISPOSED OFF THE APPEAL DIRECTING NSE TO SUPPLY OR GRANT INSPECTION OF THE RELEVANT DOCUMENTS. NO COSTS
|
| 24 |
|
|
KIMAYA SECURITIES & FINANCIAL SERVICES PVT.LTD.
|
|
DID NOT ADHERE TO REGULATORY PROVISIONS OF THE EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 18-AUG-2020 TO 18-AUG-2020
17-AUG-2020
|
|
| 25 |
|
|
LFS BROKING PVT.LTD.
|
|
DID NOT ADHERE TO REGULATORY PROVISIONS OF THE EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-NOV-2022
06-NOV-2022
|
NSE VIDE ITS CIRCULAR DATED 17/11/2022 RESTORED THE TRADING RIGHTS IN ALL SEGMENTS OF THE EXCHANGE WITH IMMEDIATE EFFECT AS PER SAT ORDER DATED 17/11/2022
SAT: SAT VIDE ITS ORDER DATED 17/11/2022 ALLOWED THE APPEAL BY SETTING ASIDE IMPUGNED ORDER DATED 05/11/2022. DIRECTED APPELLANT TO APPEAR BEFORE COMMITTEE ON 28/12/2022 AND FILE THE REPLY TO SUPPLEMENTARY SHOW CAUSE NOTICE
|
| 26 |
|
|
MITTAL SECURITIES PVT.LTD.
|
|
DID NOT ADHERE TO REGULATORY PROVISIONS OF THE EXCHANGE
|
TRADING RIGHTS WITHDRAWN FROM 30-APR-2021
30-APR-2021
|
|
| 27 |
|
|
MULTIGAIN SECURITIES SERVICES PVT.LTD.
|
|
DID NOT ADHERE TO REGULATORY PROVISIONS OF THE EXCHANGE
|
TRADING RIGHTS WITHDRAWN FROM 08-JUN-2020
08-JUN-2020
|
|
| 28 |
|
|
NARIMAN POINT FINANCE LTD.
|
|
DID NOT ADHERE TO REGULATORY PROVISIONS OF THE EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 21-MAY-2020 TO 21-MAY-2020
20-MAY-2020
|
|
| 29 |
|
|
OMKAM CAPITAL MARKETS PVT.LTD.
|
|
DID NOT ADHERE TO REGULATORY PROVISIONS OF THE EXCHANGE
|
TRADING RIGHTS WITHDRAWN FROM 08-FEB-2019
07-FEB-2019
|
SAT: SAT VIDE ITS ORDER DATED 11/02/2019 DISPOSED OFF THE APPEAL WITH THE DIRECTION THAT THE DECISION OF DAC SHALL NOT BE GIVEN EFFECT TILL 31/03/2019
|
| 30 |
|
|
OPG SECURITIES PVT.LTD.
|
|
DID NOT ADHERE TO REGULATORY PROVISIONS OF THE EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 13-JUN-2024 TO 13-JUN-2024
12-JUN-2024
|
|
| 31 |
|
|
PANTOMATH STOCK BROKERS PVT.LTD.
|
|
DID NOT ADHERE TO REGULATORY PROVISIONS OF THE EXCHANGE
|
TRADING RIGHTS WITHDRAWN
01-FEB-2021
|
NSE VIDE ITS CIRCULAR DATED 26/04/2021 RESTORED THE TRADING RIGHTS OF MEMBER IN ALL SEGMENTS OF THE EXCHANGE WITH IMMEDIATE EFFECT
|
| 32 |
|
|
QUANTUM GLOBAL SECURITIES LTD.
|
|
DID NOT ADHERE TO REGULATORY PROVISIONS OF THE EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER TILL 20-JAN-2020
13-JAN-2020
|
BSE VIDE ITS NOTICE DATED 15/01/2020 SAT VIDE ITS ORDER DATED 15/01/2020 STAYED THE SUSPENSION AND RESTORED TRADING RIGHTS IN ALL SEGMENTS W.E.F.16/01/2020
|
| 33 |
|
|
RAHUL CHOKHANY
|
|
DID NOT ADHERE TO REGULATORY PROVISIONS OF THE EXCHANGE
|
TRADING RIGHTS WITHDRAWN FROM 01-OCT-2020
30-SEP-2020
|
NSE VIDE ITS CIRCULAR DATED 11/12/2020 RESTORED TRADING RIGHTS IN ALL SEGMENTS OF EXCHANGE WITH IMMEDIATE EFFECT
|
| 34 |
|
|
RAHUL CHOKHANY,M/S
|
|
DID NOT ADHERE TO REGULATORY PROVISIONS OF THE EXCHANGE
|
TRADING RIGHTS WITHDRAWN FROM 01-OCT-2020
30-SEP-2020
|
NSE VIDE ITS CIRCULAR DATED 11/12/2020 RESTORED TRADING RIGHTS IN ALL SEGMENTS OF EXCHANGE WITH IMMEDIATE EFFECT
|
| 35 |
|
|
RDQ STOCK BROKING PVT.LTD.
|
|
DID NOT ADHERE TO REGULATORY PROVISIONS OF THE EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 16-NOV-2022
15-NOV-2022
|
|
| 36 |
|
|
REFLECTION INVESTMENTS
|
|
DID NOT ADHERE TO REGULATORY PROVISIONS OF THE EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 14-JAN-2020 Rs.5,47,900
14-JAN-2020
IMPOSED PENALTY FROM 14-JAN-2020
|
SAT: SAT VIDE ITS ORDER DATED 23/01/2020 DIRECTED APPELLANT TO PAY PENALTY RS.5,47,900.00 WITHIN ONE WEEK. DIRECTED NSE TO ALLOW APPELLANT TO OPERATE IN CASH SEGMENT OF EXCHANGE USING ONE TERMINAL. PERMISSION FOR LIMITED TRADING SUBJECT TO ENHANCED SUPERVISION OF NSE AND ON CONDITION THAT IT SHALL NOT RESULT IN ANY ADDITIONAL SHORTFALL OF CLIENT FUNDS. DIRECTED APPELLANT RECOUP REMAINING SHORTFALL OF RS.5.75 CRORES IN TWO INSTALMENTS OF RS.3.00 CRORES BY 29/02/2020 AND RS.2.75 CRORES BY 31/03/2020.NO COSTS
SAT: SAT VIDE ITS ORDER DATED 11/02/2020 DISPOSED OFF THE APPEL AS GRIEVANCE OF THE APPELLANT HAS SET AT REST
|
| 37 |
|
|
SANGHAVI SAVLA STOCK BROKERS LTD.
|
|
DID NOT ADHERE TO REGULATORY PROVISIONS OF THE EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 18-AUG-2020 TO 18-AUG-2020
17-AUG-2020
|
|
| 38 |
|
|
SIMANDHAR BROKING LTD.
|
|
DID NOT ADHERE TO REGULATORY PROVISIONS OF THE EXCHANGE
|
TRADING RIGHTS WITHDRAWN
18-SEP-2021
|
|
| 39 |
|
|
SINGLE WINDOW SECURITIES LTD.
|
|
DID NOT ADHERE TO REGULATORY PROVISIONS OF THE EXCHANGE
|
TRADING RIGHTS WITHDRAWN FROM 27-APR-2021
27-APR-2021
|
|
| 40 |
|
|
SOUTH GUJARAT SHARES & SHAREBROKERS LTD.
|
|
DID NOT ADHERE TO REGULATORY PROVISIONS OF THE EXCHANGE
|
SUSPENDED FROM TRADING FROM 28-JUN-2022 TO 28-JUN-2022
27-JUN-2022
|
|
| 41 |
|
|
SUNNESS CAPITAL INDIA PVT.LTD.
|
|
DID NOT ADHERE TO REGULATORY PROVISIONS OF THE EXCHANGE
|
TRADING RIGHTS WITHDRAWN FROM 20-AUG-2021
20-AUG-2021
|
|
| 42 |
|
|
VIKSON SECURITIES PVT.LTD.
|
|
DID NOT ADHERE TO REGULATORY PROVISIONS OF THE EXCHANGE
|
TRADING RIGHTS WITHDRAWN FROM 23-NOV-2020
23-NOV-2020
|
|
| 43 |
|
|
VINEET SECURITIES PVT.LTD.
|
|
DID NOT ADHERE TO REGULATORY PROVISIONS OF THE EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 04-NOV-2019
04-NOV-2019
|
|
| 44 |
|
|
VRISE SECURITIES PVT.LTD.
|
|
DID NOT ADHERE TO REGULATORY PROVISIONS OF THE EXCHANGE
|
CANCELLED REGISTRATION AS STOCK BROKER
18-DEC-2019
|
|
| 45 |
|
|
YUVRAJ SECURITIES
|
|
DID NOT ADHERE TO REGULATORY PROVISIONS OF THE EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 04-JAN-2021
04-JAN-2021
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
