| S.No. |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ADHUNIK METALIKS LTD.
|
|
LIQUIDATION PROCESS COMMENCED AND OFFICIAL LIQUIDATOR APPOINTED
|
SUSPENDED FROM TRADING FROM 02-DEC-2019
22-NOV-2019
|
|
| 2 |
|
|
ANUGRAH STOCK & BROKING PVT.LTD.
|
|
VIOLATED CHAPTER V OF SEBI (INTERMEDIARIES) REGULATIONS, 2008
VIOLATED REGULATION 27 OF SEBI (STOCK BROKERS) REGULATIONSN,1992
|
SUSPENDED FROM TRADING FROM 13-NOV-2020
13-NOV-2020
|
|
| 3 |
|
|
BEZEL STOCKBROKERS PVT.LTD.
|
|
MISUTILISED CLIENTS FUNDS AND/OR SECURITIES
|
IMPOSED PENALTY FROM 14-JUN-2018 TO 18-JUN-2018Rs.15,00,000
30-JAN-2019
SUSPENDED FROM TRADING FROM 14-JUN-2018 TO 18-JUN-2018
DIRECTED TO SUBMIT CERTIFICATE OF CHARTERED ACCOUNT DEPICTING THE SHORTAGE OF FUNDS TO PAY OFF ITS CLIENTS CREDITORS FROM 14-JUN-2018 TO 18-JUN-2018
|
SAT: SAT VIDE ITS ORDER DATED 31/01/2019 APPEAL PARTLY ALLOWED AND QUASHED IMPUGNED ORDER DATED 14/06/2018 AND APPELLANT SUSPENDED IN ALL SEGMENT FOR A PERIOD OF FIVE DAYS. NO COSTS
|
| 4 |
|
|
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
|
| 5 |
|
|
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
|
| 6 |
|
|
IVRCL LTD.
|
|
LIQUIDATION PROCESS COMMENCED AND OFFICIAL LIQUIDATOR APPOINTED
|
SUSPENDED FROM TRADING FROM 03-SEP-2019
23-AUG-2019
|
|
| 7 |
|
|
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
|
| 8 |
|
|
KSBL SECURITIES LTD.
|
|
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
PLEDGED CLIENT SECURITIES
|
IMPOSED PENALTY FROM 02-AUG-2018 TO 06-AUG-2018Rs.15,00,000
26-NOV-2019
SUSPENDED FROM TRADING FROM 02-AUG-2018 TO 06-AUG-2018
|
SAT: SAT VIDE ITS ORDER DATED 26/11/2019 PARTLY ALLOWED THE APPEAL. UPHELD MONETARY PENALTY OF RS.15 LAC AND MODIFY DIRECTION RELATING TO SUSPENSION FROM ALL SEGMENTS OF NSE FOR 5 DAYS TO NOT TO ENROLL OR REGISTER ANY FRESH CLIENTS FOR ONE MONTH FROM SEVENTH DAY OF THIS ORDER
|
| 9 |
|
|
NAGARJUNA OIL REFINERY LTD.
|
|
LIQUIDATION PROCESS COMMENCED AND OFFICIAL LIQUIDATOR APPOINTED
|
SUSPENDED FROM TRADING FROM 26-DEC-2019
17-DEC-2019
|
|
| 10 |
|
|
NOESIS INDUSTRIES LTD.
|
|
LIQUIDATION PROCESS COMMENCED AND OFFICIAL LIQUIDATOR APPOINTED
|
SUSPENDED FROM TRADING FROM 10-JAN-2020
02-JAN-2020
|
|
| 11 |
|
|
OPG SECURITIES PVT.LTD.
|
|
GAINED ADVANTAGE BY CONSISTENTLY LOGGED IN FIRST ACROSS POP SERVERS ON ACCOUNT OF BEING AWARE OF THE WEAKNESS OF THE TCP/IP TBT SYSTEM ARCHITECTURE
TRIED TO CROWD OUT OTHER TRADING MEMBERS FROM TCP/IP TBT SYSTEM PLATFORM
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATIONS 7, 17(1) READ WITH 18 OF CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF GANGOTRI TEXTILES LTD.
|
SUSPENDED FROM TRADING FROM 04-SEP-2017
01-MAY-2019
|
SAT: SAT VIDE ITS ORDER DATED 05/05/2019 SET ASIDED IMPUGNED ORDER DATED 04/09/2017 AND REMANDED THE MATTER TO NSE TO TAKE FRESH DECISION AFTER CONSIDERING FORENSIC REPORT OR ANY OTHER RELEVANT MATERIAL. DIRECTED NSE TO PASS FRESH ORDER WITH SIX WEEKS FROM DATE OF THIS ORDER AFTER GIVING OPPORTUNITY OF HEARING TO APPELLANT
SAT: SAT VIDE ITS ORDER DATED 12/07/2019 GRANTED FOUR WEEKS FURTHER TIME TO APPLICANT/ORIGINAL RESPONDENT NSE TO TAKE DECISION AS PER DIRECTION BY ITS ORDER DATED 01/05/2019
|
| 12 |
|
|
RAJ RAYON INDUSTRIES LTD.
|
|
DID NOT ADHERE TO SUBMISSION OF FINANCIAL RESULTS
DID NOT PAY FINE TO STOCK EXCHANGE
|
SUSPENDED FROM TRADING FROM 01-FEB-2019
10-JAN-2019
|
NSE VIDE ITS CIRCULAR DATED 14/03/2019 REITERATED THAT AS PER SEBI CIRCULAR DATED 03/05/2018 COMPANY HAS COMPLIED WITH REQUIREMENTS AND PAID FINE AMOUNT. HOWEVER, COMPANY HAS FAILED TO COMPLY AND/OR PAY FINE TO OTHER RECOGNISED STOCK EXCHANGE HENCE TRADING IN SECURITIES WILL BE SUSPENDED WITH EFFECT FROM 05/04/2019
|
| 13 |
|
|
RAMSARUP INDUSTRIES LTD.
|
|
RESOLUTION PLAN APPROVED PURSUANT TO ORDER OF NCLT UNDER INSOLVENCY & BANKRUPTCY CODE, 2016
|
SUSPENDED FROM TRADING FROM 26-JUL-2021
23-JUL-2021
|
|
| 14 |
|
|
SANGHVI FORGING & ENGINEERING LTD.
|
|
PURSUANT TO RESOLUTION PLAN APPROVED BY NCLT AND/OR NCLAT
|
SUSPENDED FROM TRADING FROM 03-MAY-2021
30-APR-2021
DELISTED EQUITY SHARES FROM 03-MAY-2021
|
NSE VIDE ITS CIRCULAR DATED 10/06/2021 DELISTING OF EQUITY SHARES OF THE COMPANY PURSUANT TO RESOLUTION PLAN APPROVED BY NCLT UNDER INSOLVENCY AND BANKRUPTCY CODE, 2016 W.E.F. F17/06/2021
|
| 15 |
|
|
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
|
|
| 16 |
|
|
SUPREME (INDIA) IMPEX LTD.
|
|
DID NOT PAY FINE TO STOCK EXCHANGE
DID NOT SUBMIT ANNUAL REPORT AS PER SEBI (LODR) REGULATIONS, 2015
LIQUIDATION PROCESS COMMENCED AND OFFICIAL LIQUIDATOR APPOINTED
|
SUSPENDED FROM TRADING FROM 18-DEC-2019
26-NOV-2019
|
NSE VIDE ITS CIRCULAR DATED 23/06/2020 REITERATED THAT AS PER SEBI CIRCULAR DATED 03/05/2018, THE TIME PERIOD OF THE MANDATED SIX MONTHS HAS BEEN COMPLETED, THE TRADING IN THE SHARES OF THE NON-COMPLIANT COMPANIES ON TRADE FOR TRADE BASIS (SERIES “BZ”) ON FIRST TRADING DAY OF EVERY WEEK WILL BE DISCONTINUED W.E.F.07/07/2020 (I.E. W.E.F. CLOSING HOURS OF TRADING ON 06/07/2020)
NSE VIDE ITS CIRCULAR DATED 29/02/2024 DIRECTED TO CONTINUE SUSPENSION OF TRADING IN SECURITIES TILL FURTHER NOTICE AS NCLT AHMEDABAD HAS COMMENCEMENT OF LIQUIDATION PROCESS AND APPOINTMENT OF LIQUIDATOR
|
| 17 |
|
|
SURANA INDUSTRIES LTD.
|
|
LIQUIDATION PROCESS COMMENCED AND OFFICIAL LIQUIDATOR APPOINTED
|
SUSPENDED FROM TRADING FROM 12-NOV-2018
01-NOV-2018
|
|
| 18 |
|
|
TARAPUR TRANSFORMERS LTD.
|
|
FAILED TO PAY ANNUAL LISTING FEE
|
SUSPENDED FROM TRADING FROM 12-MAR-2020
03-MAR-2020
|
NSE VIDE ITS CIRCULAR DATED 28/04/2021 REVOKED THE SUSPENSION IN TRADING OF EQUITY SHARES W.E.F.06/05/2021
NSE VIDE ITS CIRCULAR DATED 19/02/2021 ALLOWED TRADING IN SHARES OF THE COMPANY ON TRADE FOR TRADE BASIS ON THE FIRST TRADING DAY OF EVERY WEEK W.E.F. 01/03/2021
|
| 19 |
|
|
USHER AGRO LTD.
|
|
LIQUIDATION PROCESS COMMENCED AND OFFICIAL LIQUIDATOR APPOINTED
|
SUSPENDED FROM TRADING FROM 01-APR-2019
22-MAR-2019
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
