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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 BYE LAWS AND REGULATIONS OF NATIONAL STOCK EXCHANGE OF INDIA LTD.

S.No. ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person ALLIED FINANCIAL SERVICES PVT.LTD.  
VIOLATED BYE LAWS AND REGULATIONS OF NATIONAL STOCK EXCHANGE OF INDIA LTD.  DECLARED DEFAULTER BY STOCK EXCHANGE FROM 05-NOV-2019

04-NOV-2019 		SAT: SAT VIDE ITS ORDER DATED 25/11/2021 REJECTED THE APPEAL

SAT: SAT VIDE ITS ORDER DATED 21/02/2023 ALLOWED THE APPEAL OF MR. BALWAN CHAUHAN AND APPELLANT TO ELIGIBLE FOR COMPENSATION UNDER THE INVESTOR PROTECTION FUND. MATTER REMITTED TO COMMITTEE TO PASS CONSEQUENTIAL ORDER  
2
History of entity/person ANUGRAH STOCK & BROKING PVT.LTD.  
VIOLATED BYE LAWS AND REGULATIONS OF NATIONAL STOCK EXCHANGE OF INDIA LTD.  DECLARED DEFAULTER BY STOCK EXCHANGE FROM 26-NOV-2020

26-NOV-2020

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 26-NOV-2020 		SAT: SAT VIDE ITS ORDER DATED 19/01/2021 DISPOSED OFF THE APPEAL WITH DIRECTION TO THE APPELLANT TO FILE A CLAIM PURSUANT TO THE NOTICE DATED 28/11/2020 BEFORE STOCK EXCHANGE UNDER ITS BYE LAWS WITHIN STIPULATED PERIOD  
3
History of entity/person BEZEL STOCKBROKERS PVT.LTD.  
VIOLATED BYE LAWS AND REGULATIONS OF NATIONAL STOCK EXCHANGE OF INDIA LTD.  DECLARED DEFAULTER BY STOCK EXCHANGE FROM 24-MAR-2021

25-MAR-2021

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 24-MAR-2021 		 
4
History of entity/person CONARD SECURITIES PVT.LTD.  
VIOLATED BYE LAWS AND REGULATIONS OF NATIONAL STOCK EXCHANGE OF INDIA LTD.  DECLARED DEFAULTER BY STOCK EXCHANGE FROM 26-MAR-2021

26-MAR-2021

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 26-MAR-2021 		 
5
History of entity/person CPR CAPITAL SERVICES LTD.  
VIOLATED BYE LAWS AND REGULATIONS OF NATIONAL STOCK EXCHANGE OF INDIA LTD.  DECLARED DEFAULTER BY STOCK EXCHANGE

02-JAN-2020 		 
6
History of entity/person CREDENTIAL STOCK BROKERS LTD.  
VIOLATED BYE LAWS AND REGULATIONS OF NATIONAL STOCK EXCHANGE OF INDIA LTD.  DECLARED DEFAULTER BY STOCK EXCHANGE FROM 05-NOV-2019

04-NOV-2019 		 
7
History of entity/person KARVY STOCK BROKING LTD.  
VIOLATED BYE LAWS AND REGULATIONS OF NATIONAL STOCK EXCHANGE OF INDIA LTD.  DECLARED DEFAULTER BY STOCK EXCHANGE FROM 23-NOV-2020

23-NOV-2020

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 23-NOV-2020 		SAT: SAT VIDE ITS ORDER DATED 23/04/2021 CONDONED THE DELAY OF 52 DAYS IN FILING OF APPEAL AND ALLOWED THE APPLICATION. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. MATTER TO BE LISTED FOR ADMISSION AND FINAL DISPOSAL ON 24/06/2021

SAT: SAT VIDE ITS ORDER DATED 29/11/2021 ALLOWED THE APPEAL AND QUASHED THE IMPUGNED COMMUNICATION DATED 08/12/2020. NO COSTS  
8
History of entity/person KSBL SECURITIES LTD.  
VIOLATED BYE LAWS AND REGULATIONS OF NATIONAL STOCK EXCHANGE OF INDIA LTD.  EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE

28-FEB-2020

DECLARED DEFAULTER BY STOCK EXCHANGE 		 
9
History of entity/person RAGHUKUL SHARES INDIA PVT.LTD.  
VIOLATED BYE LAWS AND REGULATIONS OF NATIONAL STOCK EXCHANGE OF INDIA LTD.  DECLARED DEFAULTER BY STOCK EXCHANGE FROM 05-NOV-2019

04-NOV-2019 		 
10
History of entity/person REFLECTION INVESTMENTS  
VIOLATED BYE LAWS AND REGULATIONS OF NATIONAL STOCK EXCHANGE OF INDIA LTD.  DECLARED DEFAULTER BY STOCK EXCHANGE FROM 12-MAR-2021

15-MAR-2021

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 12-MAR-2021 		 
11
History of entity/person SUMPOORNA PORTFOLIO LTD.  
VIOLATED BYE LAWS AND REGULATIONS OF NATIONAL STOCK EXCHANGE OF INDIA LTD.  DECLARED DEFAULTER BY STOCK EXCHANGE FROM 14-DEC-2020

15-DEC-2020

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 14-DEC-2020 		 
12
History of entity/person WEALTH MANTRA LTD.  
VIOLATED BYE LAWS AND REGULATIONS OF NATIONAL STOCK EXCHANGE OF INDIA LTD.  DECLARED DEFAULTER BY STOCK EXCHANGE

02-JAN-2020 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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