SOURCE OF INFORMATION : NATIONAL STOCK EXCHANGE OF INDIA LTD. LISTS/WEBSITE
PERIOD COVERED : 01-JAN-2000 TO 21-NOV-2024

STOCK BROKERS: VIOLATED BYE LAWS AND REGULATIONS OF NATIONAL STOCK EXCHANGE OF INDIA LTD.

S.No.

ENTITY

REGULATORY CHARGES

REGULATORY ACTION(S) / DATE OF ORDER

FURTHER DEVELOPMENTS

1

History of entity/person

ALLIED FINANCIAL SERVICES PVT.LTD.

VIOLATED BYE LAWS AND REGULATIONS OF NATIONAL STOCK EXCHANGE OF INDIA LTD.

DECLARED DEFAULTER BY STOCK EXCHANGE FROM 05-NOV-2019

04-NOV-2019

SAT: SAT VIDE ITS ORDER DATED 25/11/2021 REJECTED THE APPEAL

SAT: SAT VIDE ITS ORDER DATED 21/02/2023 ALLOWED THE APPEAL OF MR. BALWAN CHAUHAN AND APPELLANT TO ELIGIBLE FOR COMPENSATION UNDER THE INVESTOR PROTECTION FUND. MATTER REMITTED TO COMMITTEE TO PASS CONSEQUENTIAL ORDER

2

History of entity/person

ANUGRAH STOCK & BROKING PVT.LTD.

VIOLATED BYE LAWS AND REGULATIONS OF NATIONAL STOCK EXCHANGE OF INDIA LTD.

DECLARED DEFAULTER BY STOCK EXCHANGE FROM 26-NOV-2020

26-NOV-2020

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 26-NOV-2020

SAT: SAT VIDE ITS ORDER DATED 19/01/2021 DISPOSED OFF THE APPEAL WITH DIRECTION TO THE APPELLANT TO FILE A CLAIM PURSUANT TO THE NOTICE DATED 28/11/2020 BEFORE STOCK EXCHANGE UNDER ITS BYE LAWS WITHIN STIPULATED PERIOD

3

History of entity/person

BEZEL STOCKBROKERS PVT.LTD.

VIOLATED BYE LAWS AND REGULATIONS OF NATIONAL STOCK EXCHANGE OF INDIA LTD.

DECLARED DEFAULTER BY STOCK EXCHANGE FROM 24-MAR-2021

25-MAR-2021

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 24-MAR-2021

4

History of entity/person

CONARD SECURITIES PVT.LTD.

VIOLATED BYE LAWS AND REGULATIONS OF NATIONAL STOCK EXCHANGE OF INDIA LTD.

DECLARED DEFAULTER BY STOCK EXCHANGE FROM 26-MAR-2021

26-MAR-2021

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 26-MAR-2021

5

History of entity/person

CPR CAPITAL SERVICES LTD.

VIOLATED BYE LAWS AND REGULATIONS OF NATIONAL STOCK EXCHANGE OF INDIA LTD.

DECLARED DEFAULTER BY STOCK EXCHANGE

02-JAN-2020

6

History of entity/person

CREDENTIAL STOCK BROKERS LTD.

VIOLATED BYE LAWS AND REGULATIONS OF NATIONAL STOCK EXCHANGE OF INDIA LTD.

DECLARED DEFAULTER BY STOCK EXCHANGE FROM 05-NOV-2019

04-NOV-2019

7

History of entity/person

KARVY STOCK BROKING LTD.

VIOLATED BYE LAWS AND REGULATIONS OF NATIONAL STOCK EXCHANGE OF INDIA LTD.

DECLARED DEFAULTER BY STOCK EXCHANGE FROM 23-NOV-2020

23-NOV-2020

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 23-NOV-2020

SAT: SAT VIDE ITS ORDER DATED 23/04/2021 CONDONED THE DELAY OF 52 DAYS IN FILING OF APPEAL AND ALLOWED THE APPLICATION. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. MATTER TO BE LISTED FOR ADMISSION AND FINAL DISPOSAL ON 24/06/2021

SAT: SAT VIDE ITS ORDER DATED 29/11/2021 ALLOWED THE APPEAL AND QUASHED THE IMPUGNED COMMUNICATION DATED 08/12/2020. NO COSTS

8

History of entity/person

KSBL SECURITIES LTD.

VIOLATED BYE LAWS AND REGULATIONS OF NATIONAL STOCK EXCHANGE OF INDIA LTD.

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE

28-FEB-2020

DECLARED DEFAULTER BY STOCK EXCHANGE

9

History of entity/person

MAXGROWTH CAPITAL PVT.LTD.

VIOLATED BYE LAWS AND REGULATIONS OF NATIONAL STOCK EXCHANGE OF INDIA LTD.

DECLARED DEFAULTER BY STOCK EXCHANGE FROM 23-OCT-2024

23-OCT-2024

10

History of entity/person

RAGHUKUL SHARES INDIA PVT.LTD.

VIOLATED BYE LAWS AND REGULATIONS OF NATIONAL STOCK EXCHANGE OF INDIA LTD.

DECLARED DEFAULTER BY STOCK EXCHANGE FROM 05-NOV-2019

04-NOV-2019

11

History of entity/person

REFLECTION INVESTMENTS

VIOLATED BYE LAWS AND REGULATIONS OF NATIONAL STOCK EXCHANGE OF INDIA LTD.

DECLARED DEFAULTER BY STOCK EXCHANGE FROM 12-MAR-2021

15-MAR-2021

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 12-MAR-2021

12

History of entity/person

SUMPOORNA PORTFOLIO LTD.

VIOLATED BYE LAWS AND REGULATIONS OF NATIONAL STOCK EXCHANGE OF INDIA LTD.

DECLARED DEFAULTER BY STOCK EXCHANGE FROM 14-DEC-2020

15-DEC-2020

EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 14-DEC-2020

13

History of entity/person

WEALTH MANTRA LTD.

VIOLATED BYE LAWS AND REGULATIONS OF NATIONAL STOCK EXCHANGE OF INDIA LTD.

DECLARED DEFAULTER BY STOCK EXCHANGE

02-JAN-2020

The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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