S. No.
DATE OF ORDER
ENTITY
PERSON
COMPETENT AUTHORITY
REGULATORY CHARGES
REGULATORY ACTION(S) / DATE OF ORDER
FURTHER DEVELOPMENTS
801
22-MAY-2016
MAA PADMAWATI SHARE & STOCK BROKING PVT.LTD.
MSEI
DID NOT CO-OPERATE WITH INSPECTION AUTHORITIES DID NOT SUBMIT ANNUAL ACCOUNTS DID NOT SUBMIT NET WORTH CERTIFICATES TO EXCHANGE DID NOT PRODUCE REQUIRED DOCUMENTS TO INSPECTION AUTHORITY
SUSPENDED FROM MEMBERSHIP FROM 22-MAY-2016 22-MAY-2016
802
22-MAY-2016
R S FINANCIAL SERVICES
MSEI
DID NOT CO-OPERATE WITH INSPECTION AUTHORITIES DID NOT SUBMIT ANNUAL ACCOUNTS DID NOT SUBMIT NET WORTH CERTIFICATES TO EXCHANGE DID NOT PRODUCE REQUIRED DOCUMENTS TO INSPECTION AUTHORITY
SUSPENDED FROM MEMBERSHIP FROM 22-MAY-2016 22-MAY-2016
803
22-NOV-2015
MOONGIPA INVESTMENTS LTD.
MSEI
EXPELLED BY NATIONAL STOCK EXCHANGE
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 09-NOV-2015 22-NOV-2015
804
22-NOV-2015
ORION CAPITAL & DEBT MARKET
MSEI
EXPELLED BY NATIONAL STOCK EXCHANGE
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 09-NOV-2015 22-NOV-2015
805
19-SEP-2015
CLICK2TRADE CAPITAL LTD.
MSEI
EXPELLED BY NATIONAL STOCK EXCHANGE
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 10-JUL-2015 19-SEP-2015
806
19-SEP-2015
FIN BRAINS SECURITIES (INDIA) LTD.
MSEI
EXPELLED BY NATIONAL STOCK EXCHANGE
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 28-AUG-2015 19-SEP-2015
807
18-AUG-2015
AIMCO FINEX LTD.
MSEI
DID NOT CO-OPERATE WITH INSPECTION AUTHORITIES DID NOT SUBMIT ANNUAL ACCOUNTS DID NOT SUBMIT NET WORTH CERTIFICATES TO EXCHANGE DID NOT SUBMIT INFORMATION OF CHANGE IN DIRECTORS AND THEIR CONTACT DETAILS
SUSPENDED FROM MEMBERSHIP FROM 18-MAY-2015 18-AUG-2015
808
18-AUG-2015
MICRO FOREX EQUITY & DERIVATIVES PVT.LTD.
MSEI
SUBMITTED WRONG/FALSE REPORTING OF CLIENT MARGIN COLLECTION DID NOT SETTLE CLIENT ACCOUNTS DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT’S FUNDS & OWN FUNDS DID NOT ADHERE TO SETTLEMENT CRITERIA DID NOT MAINTAIN CLIENTS’ LEDGERS PROPERLY DID NOT MAINTAIN BANK BOOKS PROPERLY DID NOT SUBMIT OR SUBMITTED INCOMPLETE DOCUMENTS ISSUED CONTRACT NOTES WITH FORMAT RELATED DISCREPANCIES DID NOT INTIMATE DEDICATED EMAIL ID FOR CORRESPONDENCE BETWEEN MEMBER & EXCHANGE IN RELATION TO INVESTOR GRIEVANCE DELAYED IN INTIMATING DETAILS OF DESIGNATED DIRECTOR TO FINANCIAL INTELLIGENCE UNIT (FIU) DID NOT UPLOAD “KNOW YOUR CLIENT” DOCUMENTS TO KRA DISCREPANCIES IN CLIENT REGISTRATION DOCUMENTS DID NOT MAINTAIN ORDER BOOK
PENALTY IMPOSED RS.45,90,761 SUSPENDED FROM MEMBERSHIP FROM 16-NOV-2015 TO 16-NOV-2015 18-AUG-2015
809
29-MAY-2015
MAX PLANWEALTH SECURITIES LTD.
MSEI
DID NOT ADHERE TO VARIOUS RULES/REGULATIONS/BYE-LAWS OF THE EXCHANGE/SEBI
SUSPENDED FROM MEMBERSHIP FROM 29-MAY-2015 29-MAY-2015
810
26-DEC-2014
KASSA FINVEST PVT.LTD.
MSEI
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
CLAIM ADMITTED AWARD AMOUNT: RS.1,51,000 26-DEC-2014
811
08-OCT-2014
NIRMAL BANG SECURITIES PVT.LTD.
MSEI
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
CLAIM ADMITTED AWARD AMOUNT: RS.6,82,000 08-OCT-2014
MSEI VIDE ITS ARBITRATION AWARD DATED 13/02/2015 REJECTED THE APPEAL. DIRECTED APPELLANT TO PAY RS.6.82 LACS WITH INTEREST @ 12% FROM 13/03/2012 TO RESPONDENT. DIVIDENDS ACCRUED AFTER 13/03/2012 ON SHARES OF THE RESPONDENT LYING WITH APPELLANT SHOULD ALSO BE PAID
812
24-SEP-2014
UNICON SECURITIES PVT.LTD.
MSEI
EXPELLED BY NATIONAL STOCK EXCHANGE
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 05-SEP-2014 24-SEP-2014
813
11-JUL-2014
ANGEL BROKING PVT.LTD.
(New Name : ANGEL ONE LTD.)
MSEI
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
CLAIM ADMITTED AWARD AMOUNT: RS.95,000 11-JUL-2014
814
11-JUL-2014
ANGEL BROKING PVT.LTD.
(New Name : ANGEL ONE LTD.)
MSEI
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
CLAIM ADMITTED AWARD AMOUNT: RS.1,00,000 11-JUL-2014
815
26-JUN-2014
AANYA COMMODITIES PVT.LTD.
MSEI
USED CLIENT MONEY FOR OWN USE MISUSED CLIENT FUNDS AND ACCEPTED LARGE AMOUNTS OF CASH FROM CLIENTS UNAUTHORIZED TRANSFER OF FUNDS FROM ONE CLIENT ACCOUNT TO ANOTHER TRANSFERRED PROFITS FROM ONE CLIENT'S ACCOUNT TO MULTIPLE CLIENT'S ACCOUNTS UTILIZED MEMBER'S MARGIN FOR FUNDING OF CLIENT MARGIN TRANSFERRED PROFIT FROM ONE PARTICULAR ACCOUNT TO VARIOUS ACCOUNTS TRADED FOR CLIENT WHO WAS NOT A REGISTERED CLIENT AT THE EXCHANGE LEVEL CARRIED ON UNAUTHORIZED PORTFOLIO MANAGEMENT SERVICES DID NOT MAINTAIN NET WORTH AS PRESCRIBED BY THE EXCHANGE FOR A MEMBER SHARED BROKERAGE WITH A PERSON WHO WAS NOT AN APPROVED USER TRANSFERRED SHARES OF WHOLLY OWNED SUBSIDIARY OF THE MEMBER TO OTHER ENTITY IN WHICH BOTH THE DIRECTORS OF PARENT COMPANY WERE DIRECTORS DEALT WITH UNREGISTERED INTERMEDIARIES INVOLVED IN ACTIVITIES LIKE CHEQUE DISCOUNTING AND CASH THROUGH 'HAWALA' OPERATORS TRANSFERRED TRADES FROM ONE CLIENT TO ANOTHER CLIENTS IN THE BACK OFFICE WITHOUT EFFECTING THOSE CHANGES ON THE EXCHANGE PLATFORM
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 26-JUN-2014 26-JUN-2014
816
26-JUN-2014
AASTHA AGENCIES
MSEI
DID NOT ADHERE TO MEMBERSHIP CRITERIA OF SEBI/EXCHANGE DID NOT ADHERE TO VARIOUS RULES/REGULATIONS/BYE-LAWS OF THE EXCHANGE/SEBI DID NOT MAINTAIN NET WORTH REQUIREMENT
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 26-JUN-2014 26-JUN-2014
MCX VIDE ITS ORDER DATED 09/12/2014 REVOKED ITS DIRECTIONS ISSUED VIDE ITS EXPULSION ORDER DATED 26/06/2014. FURTHER, ADVISED AASTHA AGENCIES TO INCREASE ITS NETWORTH TO THE PRESCRIBED LIMIT WITHIN 30 DAYS OF THE RECEIPT OF THIS ORDER AND SUBMIT NET WORTH CERTIFICATE
817
26-JUN-2014
AMBER SOLUTIONS PVT.LTD.
MSEI
DID NOT ADHERE TO REQUIREMENTS LAID DOWN BY SEBI/EXCHANGE DID NOT REPLY TO COMMUNICATION FROM THE EXCHANGE
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 26-JUN-2014 26-JUN-2014
818
26-JUN-2014
JAIN BROKING PVT.LTD.
MSEI
DID NOT ADHERE TO REQUIREMENTS LAID DOWN BY SEBI/EXCHANGE DID NOT ADHERE TO VARIOUS RULES/REGULATIONS/BYE-LAWS OF THE EXCHANGE/SEBI DID NOT MAINTAIN NET WORTH REQUIREMENT
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 26-JUN-2014 26-JUN-2014
MCX VIDE ITS ORDER DATED 09/12/2014 REVOKED ITS DIRECTIONS ISSUED VIDE ITS EXPULSION ORDER DATED 26/06/2014. FURTHER, ADVISED JAIN BROKING TO INCREASE ITS NETWORTH TO THE PRESCRIBED LIMIT WITHIN 30 DAYS OF THE RECEIPT OF THIS ORDER AND SUBMIT NET WORTH CERTIFICATE
819
29-MAY-2014
KASSA FINVEST PVT.LTD.
MSEI
EXPELLED BY NATIONAL STOCK EXCHANGE
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 21-APR-2015 29-MAY-2014
820
25-APR-2014
KUNDAN CARE PRODUCTS LTD.
MSEI
ENGAGED IN BUSINESS OTHER THAN SECURITIES IN VIOLATION OF SECURITIES CONTRACT (REGULATION) RULES, 1957
DIRECTED NOT TO TAKE ANY FRESH POSITIONS ON THE EXCHANGE AND CLOSE ALL ITS OPEN POSITIONS FROM 10-MAY-2014 DIRECTED TO DEACTIVATE TRADING TERMINALS OF MEMBER UPON EXPIRY OF ALL OPEN CONTRACTS FROM 10-MAY-2014 25-APR-2014
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
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