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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 REPORTING OF MARGIN

S.No. ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person ALICE BLUE FINANCIAL SERVICES PVT.LTD.  
FALSE REPORTING OF MARGIN FROM CLIENTS  IMPOSED PENALTY FROM 06-JUN-2020 TO 06-JUN-2020Rs.4,35,02,000

27-JUN-2020

SUSPENDED REGISTRATION AS STOCK BROKER FROM 06-JUN-2020 TO 06-JUN-2020 		SAT VIDE ITS ORDER DATED 27/06/2020 DIRECTED NSE TO FILE REPLY WITHIN FOUR WEEKS FROM DATE OF THIS ORDER. IMPUGNED ORDER SUSPENDING TRADING OF THE APPELLANT FOR ONE DAY TO REMAIN STAYED DURING PENDENCY OF THE APPEAL. PENALTY AMOUNT SO DEPOSITED WILL BE KEPT IN ESCROW ACCOUNT BY NSE  
2
History of entity/person ASIT C.MEHTA INVESTMENT INTERMEDIATES LTD.  
FALSE REPORTING OF MARGIN FROM CLIENTS  IMPOSED PENALTY Rs.3,50,000

17-NOV-2021 		SAT: SAT VIDE ITS ORDER DATED 17/11/2021 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY AMOUNT TO RS.3,50,000 LAC FROM RS.7,05,600  
3
History of entity/person CAB SECURITIES LTD.  
FALSE REPORTING OF MARGIN FROM CLIENTS  SUSPENDED FROM TRADING FROM 20-JUL-2018 Rs.31,88,600

24-SEP-2019

IMPOSED PENALTY FROM 20-JUL-2018 		SAT: APPEAL DISMISSED. NO COSTS  
4
History of entity/person NEON VINIMAY PVT.LTD.  
FALSE REPORTING OF MARGIN FROM CLIENTS  IMPOSED PENALTY FROM 11-SEP-2018 TO 11-SEP-2018Rs.13,47,346

26-APR-2019

SUSPENDED REGISTRATION AS STOCK BROKER FROM 11-SEP-2018 TO 11-SEP-2018 		SAT: SAT VIDE ITS ORDER DATED 26/04/2019 PARTLY ALLOWED THE APEAL BY UPHELDING ONLY MONETARY PENALTY. NO COSTS  
5
History of entity/person SUNSHINE STOCK BROKING PVT.LTD.  
FALSE REPORTING OF MARGIN FROM CLIENTS  IMPOSED PENALTY FROM 27-JUN-2020 Rs.99,18,800

29-OCT-2020

SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-JUN-2020 		SAT: SAT VIDE ITS ORDER DATED 29/10/2020 ALLOWED THE APEAL AND SET ASIDED IMPUGNED ORDER DATED 27/06/2020AND REMANDED THE MATTER TO COMMITTEE TO DECIDE AFRESH  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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