| S.No. |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ANTHONY SEQUEIRA
|
|
VIOLATED CHAPTER IV OF RULES OF NSE (MISCONDUCT, UNBUSINESSLIKE CONDUCT AND UNPROFESSIONAL CONDUCT)
|
DISQUALIFIED FROM HOLDING OFFICE OF DIRECTOR/PARTNER IN ANY COMPANY/FIRM FROM 02-JUL-2021
02-JUL-2021
|
|
| 2 |
|
|
ARCADIA SHARE & STOCK BROKERS PVT.LTD.
|
|
VIOLATED CHAPTER IV OF RULES OF NSE (MISCONDUCT, UNBUSINESSLIKE CONDUCT AND UNPROFESSIONAL CONDUCT)
|
DISQUALIFIED FROM HOLDING OFFICE OF DIRECTOR/PARTNER IN ANY COMPANY/FIRM FROM 02-JUL-2021
02-JUL-2021
|
|
| 3 |
|
|
COMPUACTION FINANCIAL SERVICES PVT.LTD.
|
|
VIOLATED CHAPTER IV OF RULES OF NSE (MISCONDUCT, UNBUSINESSLIKE CONDUCT AND UNPROFESSIONAL CONDUCT)
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 13-APR-2018
12-APR-2018
|
|
| 4 |
|
|
CPR CAPITAL SERVICES LTD.
|
|
VIOLATED CHAPTER IV OF RULES OF NSE (MISCONDUCT, UNBUSINESSLIKE CONDUCT AND UNPROFESSIONAL CONDUCT)
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 10-FEB-2017
10-FEB-2017
|
|
| 5 |
|
|
CPR CAPITAL SERVICES LTD.
|
|
VIOLATED CHAPTER IV OF RULES OF NSE (MISCONDUCT, UNBUSINESSLIKE CONDUCT AND UNPROFESSIONAL CONDUCT)
|
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 05-MAR-2018
05-MAR-2018
|
SAT: SAT VIDE ITS ORDER DATED 09/05/2019 QUASHED REVIEW ORDER DATED 01/03/2018 AND REMIT THE MATTER AGAIN TO DAC TO DECIDE REVIEW APPLICATION AFRESH AFTER GIVING OPPORTUNITY OF HEARING WITHIN TWO MONTHS FROM DATE OF THIS ORDER. NO COSTS
|
| 6 |
|
|
D.GUNASEKAR
|
|
DEFAULTED UNDER CHAPTER XII OF BYELAWS OF NSE
VIOLATED CHAPTER IV OF RULES OF NSE (MISCONDUCT, UNBUSINESSLIKE CONDUCT AND UNPROFESSIONAL CONDUCT)
|
DECLARED DEFAULTER BY STOCK EXCHANGE FROM 18-OCT-2021
14-OCT-2021
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 18-OCT-2021
|
|
| 7 |
|
|
FICUS SECURITIES PVT.LTD.
|
|
VIOLATED CHAPTER IV OF RULES OF NSE (MISCONDUCT, UNBUSINESSLIKE CONDUCT AND UNPROFESSIONAL CONDUCT)
|
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 05-MAR-2018
05-MAR-2018
|
|
| 8 |
|
|
FIRST FUTURES & STOCKS PVT.LTD.
|
|
DEFAULTED UNDER CHAPTER XII OF BYELAWS OF NSE
VIOLATED CHAPTER IV OF RULES OF NSE (MISCONDUCT, UNBUSINESSLIKE CONDUCT AND UNPROFESSIONAL CONDUCT)
|
DECLARED DEFAULTER BY STOCK EXCHANGE FROM 18-OCT-2021
14-OCT-2021
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 18-OCT-2021
|
|
| 9 |
|
|
G.SHRI SHIVAM
|
|
DEFAULTED UNDER CHAPTER XII OF BYELAWS OF NSE
VIOLATED CHAPTER IV OF RULES OF NSE (MISCONDUCT, UNBUSINESSLIKE CONDUCT AND UNPROFESSIONAL CONDUCT)
|
DECLARED DEFAULTER BY STOCK EXCHANGE FROM 18-OCT-2021
14-OCT-2021
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 18-OCT-2021
|
|
| 10 |
|
|
NITIN BRAHMBHATT
|
|
VIOLATED CHAPTER IV OF RULES OF NSE (MISCONDUCT, UNBUSINESSLIKE CONDUCT AND UNPROFESSIONAL CONDUCT)
|
DISQUALIFIED FROM HOLDING OFFICE OF DIRECTOR/PARTNER IN ANY COMPANY/FIRM FROM 02-JUL-2021
02-JUL-2021
|
|
| 11 |
|
|
PRRSAAR,M/S
|
|
VIOLATED CHAPTER IV OF RULES OF NSE (MISCONDUCT, UNBUSINESSLIKE CONDUCT AND UNPROFESSIONAL CONDUCT)
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 10-FEB-2017
10-FEB-2017
|
SAT: SAT VIDE ITS ORDER DATED 23/02/2017 DIRECTED NSE NOT TO IMPLEMENT THE ORDER DATED 03/02/2017 TILL 07/03/2017. NO COSTS
NSE VIDE ITS CIRCULAR DATED 06/03/2017 REITERATED THAT THE MEMBER PRRSAAR HAS BEEN GRANTED STAY BY HON’BLE SUPREME COURT OF INDIA HENCE THE PROPOSED SUSPENSION SHALL BE KEPT IN ABEYANCE
|
| 12 |
|
|
WELLINDIA SECURITIES LTD.
|
|
VIOLATED CHAPTER IV OF RULES OF NSE (MISCONDUCT, UNBUSINESSLIKE CONDUCT AND UNPROFESSIONAL CONDUCT)
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 10-FEB-2017
10-FEB-2017
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
