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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 UNDER CHAPTER XII OF BYELAWS OF NSE

S.No. ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person ACTION FINANCIAL SERVICES (INDIA) LTD.  
DEFAULTED UNDER CHAPTER XII OF BYELAWS OF NSE  DECLARED DEFAULTER BY STOCK EXCHANGE FROM 22-JAN-2021

22-JAN-2021

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 22-JAN-2021 		 
2
History of entity/person BALANCE EQUITY BROKING (INDIA) PVT.LTD.  
DEFAULTED UNDER CHAPTER XII OF BYELAWS OF NSE  DECLARED DEFAULTER BY STOCK EXCHANGE FROM 31-OCT-2023

30-OCT-2023 		 
3
History of entity/person C.M.GOENKA STOCK BROKERS PVT.LTD.  
DID NOT ADHERE TO NSEIL RULES 1 AND 2 OF CHAPTER IV

DEFAULTED UNDER CHAPTER XII OF BYELAWS OF NSE  		DECLARED DEFAULTER BY STOCK EXCHANGE FROM 15-FEB-2022

15-FEB-2022

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 15-FEB-2022 		 
4
History of entity/person DESTINY SECURITIES LTD.  
DEFAULTED UNDER CHAPTER XII OF BYELAWS OF NSE  DECLARED DEFAULTER BY STOCK EXCHANGE FROM 13-JUL-2021

13-JUL-2021

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 13-JUL-2021 		 
5
History of entity/person GUINESS SECURITIES LTD.  
DEFAULTED UNDER CHAPTER XII OF BYELAWS OF NSE  DECLARED DEFAULTER BY STOCK EXCHANGE

07-MAY-2019 		 
6
History of entity/person HIMGIRI FINCAP LTD.  
DEFAULTED UNDER CHAPTER XII OF BYELAWS OF NSE  DECLARED DEFAULTER BY STOCK EXCHANGE FROM 02-SEP-2008

15-APR-2010 		 
7
History of entity/person KASS SECURITIES PVT.LTD.  
DEFAULTED UNDER CHAPTER XII OF BYELAWS OF NSE  DECLARED DEFAULTER BY STOCK EXCHANGE FROM 02-SEP-2008

15-APR-2010 		 
8
History of entity/person OMKAM CAPITAL MARKETS PVT.LTD.  
DID NOT ADHERE TO NSEIL RULES 1 AND 2 OF CHAPTER IV

DEFAULTED UNDER CHAPTER XII OF BYELAWS OF NSE  		DECLARED DEFAULTER BY STOCK EXCHANGE FROM 28-JAN-2022

27-JAN-2022

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 28-JAN-2022 		SAT: SAT VIDE ITS ORDER DATED 12/05/2022 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER

SAT: SAT VIDE ITS ORDER DATED 05/07/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER  
9
History of entity/person PREM SOMANI SHARE BROKERS PVT.LTD.  
DEFAULTED UNDER CHAPTER XII OF BYELAWS OF NSE  DECLARED DEFAULTER BY STOCK EXCHANGE

13-AUG-2018 		 
10
History of entity/person STAR SHARE & STOCK BROKERS LTD.  
DEFAULTED UNDER CHAPTER XII OF BYELAWS OF NSE  DECLARED DEFAULTER BY STOCK EXCHANGE FROM 13-JUL-2021

13-JUL-2021

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 13-JUL-2021 		 
11
History of entity/person SUNNESS CAPITAL INDIA PVT.LTD.  
DID NOT ADHERE TO NSEIL RULES 1 AND 2 OF CHAPTER IV

DEFAULTED UNDER CHAPTER XII OF BYELAWS OF NSE  		DECLARED DEFAULTER BY STOCK EXCHANGE

24-APR-2022

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE 		 
12
History of entity/person VIJAY KUMAR GOEL  
DID NOT ADHERE TO NSEIL RULES 1 AND 2 OF CHAPTER IV

DEFAULTED UNDER CHAPTER XII OF BYELAWS OF NSE  		DECLARED DEFAULTER BY STOCK EXCHANGE FROM 06-SEP-2021

03-SEP-2021

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 06-SEP-2021 		 
13
History of entity/person YUVRAJ SECURITIES  
DID NOT ADHERE TO NSEIL RULES 1 AND 2 OF CHAPTER IV

DEFAULTED UNDER CHAPTER XII OF BYELAWS OF NSE  		DECLARED DEFAULTER BY STOCK EXCHANGE FROM 06-SEP-2021

03-SEP-2021

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 06-SEP-2021 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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