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SOURCE OF INFORMATION : NATIONAL STOCK EXCHANGE OF INDIA LTD. LISTS/WEBSITE
PERIOD COVERED : 01-JAN-2000 TO 02-JUL-2025

COMPANIES: VIOLATED CHAPTER IV OF RULES OF NSE (MISCONDUCT, UNBUSINESSLIKE CONDUCT AND UNPROFESSIONAL CONDUCT)

S.No. ENTITY PERSON REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person 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 		 
2
History of entity/person 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 		 
3
History of entity/person 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  
4
History of entity/person 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 		 
5
History of entity/person FIRST FUTURES & STOCKS PVT.LTD.  
History of entity/person D.GUNASEKAR

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 		 
6
History of entity/person 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  
7
History of entity/person 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.

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