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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: DEFAULTED IN MAINTAIN NETWORTH

S.No. ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person MITTAL SECURITIES PVT.LTD.  
DID NOT MAINTAIN MINIMUM NETWORTH  EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE

15-FEB-2022 		 
2
History of entity/person RAPID CAPITAL SERVICES  
MISUTILISED CLIENTS FUNDS AND/OR SECURITIES

DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES

MADE INCORRECT REPORTING OF MARGIN

DID NOT MAINTAIN MINIMUM NETWORTH  		IMPOSED PENALTY FROM 08-AUG-2023 Rs.20,46,300

18-OCT-2023 		SAT: SAT VIDE ITS ORDER DATED 18/10/2023 ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER DATED 08/08/2023  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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