S.
DATE OF ORDER
ENTITY
PERSON
COMPETENT AUTHORITY
REGULATORY CHARGES
REGULATORY ACTION(S) / DATE OF ORDER
FURTHER DEVELOPMENTS
821
03-APR-2014
NIRMAL BANG SECURITIES PVT.LTD.
MSEI
DID NOT PAY LEDGER BALANCE
CLAIM ADMITTED
822
31-MAR-2014
PRIME BROKING CO.(INDIA) LTD.
MSEI
EXPELLED BY NATIONAL STOCK EXCHANGE
EXPELLED FROM MEMBERSHIP OF CAPITAL MARKET AND FUTURES & OPTIONS SEGMENTS OF MCX-SX FROM 07-MAR-2014
823
31-MAR-2014
SAARC NET LTD.
MSEI
ENGAGED IN BUSINESS OTHER THAN SECURITIES IN VIOLATION OF SECURITIES CONTRACT (REGULATION) RULES, 1957
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 31-MAR-2014
824
10-AUG-2013
GLOBE CAPITAL MARKET LTD.
MSEI
DID NOT PAY LEDGER BALANCE
CLAIM ADMITTED
MSEI VIDE ITS ARBITRATION AWARD DATED 21/02/2014 REJECTED THE APPEAL.NO COSTS
MSEI VIDE ITS ARBITRATION AWARD DATED 06/09/2013 DIRECTED RESPONDENT TO PAY RS.2,38,956.44 IN ADDITION TO RS.4,02,817.43 AS PER ORIGINAL AWARD DATED 10/08/2013 ALONGWITH INTEREST @ 12% P.A. FROM DATE OF ORIGINAL APPLICATION TILL REALISATION. NO COSTS
825
16-JUL-2013
MAUZAMPURIA SECURITIES BROKING PVT.LTD.
MSEI
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT’S FUNDS & OWN FUNDS
PENALTY IMPOSED RS.10,000
826
20-MAY-2013
CREDO SECURITIES PVT.LTD.
MSEI
REPORTED WRONG/FALSE REPORT OF CLIENT MARGIN COLLECTION
PENALTY IMPOSED RS.14,311
827
07-MAY-2013
MUDRA BULLIONS PVT.LTD.
MSEI
REGISTRATION CERTIFICATE CANCELLED BY SEBI
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 01-MAY-2013
828
21-MAR-2013
COMPOSITE SECURITIES LTD.
MSEI
TRANSFERRED TRADES TO ITS OWN ‘ERROR’ ACCOUNT IN BACK-OFFICE AFTER TRADING HOURS
PENALTY IMPOSED RS.59,360
829
12-JAN-2013
ANGEL BROKING PVT.LTD.
MSEI
DID NOT PAY LEDGER BALANCE
CLAIM ADMITTED
MSEI VIDE ITS ARBITRATION AWARD DATED 28/05/2013 UPHELD AND DISMISSED IMPUGNED AWARD DATED 12/01/2013 PASSED BY SOLE ARBIRATOR
830
10-JAN-2013
RELIGARE SECURITIES LTD.
MSEI
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
CLAIM ADMITTED
831
21-AUG-2012
MARIGOLD VANIJYA PVT.LTD.
MSEI
REPORTED WRONG/FALSE REPORT OF CLIENT MARGIN COLLECTION
PENALTY IMPOSED RS.1,10,321
832
21-AUG-2012
SWASTIKA INVESTMART LTD.
MSEI
REPORTED WRONG/FALSE REPORT OF CLIENT MARGIN COLLECTION
PENALTY IMPOSED RS.2,275
833
18-JAN-2012
ANAND RATHI SHARE & STOCK BROKERS LTD.
MSEI
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
CLAIM ADMITTED
MSEI VIDE ITS ARBITRATION AWARD DATED 10/08/2012 ALLOWED AND SET ASIDE THE AWARD DATED 18/01/2012 PASSED BY SOLE ARBIRATOR
834
09-NOV-2011
MUDRA BULLIONS PVT.LTD.
MSEI
SUBMITTED FALSE OR MISLEADING STATEMENT IN ITS CLEARING FORMS OR RETURNS TO STOCK EXCHANGE
SUSPENDED FROM MEMBERSHIP FROM 09-NOV-2011
835
23-JUN-2010
GANGA YAMUNA FINVEST PVT.LTD.
MSEI
DECLARED DEFAULTER ON CURRENCY DERIVATIVES SEGMENT BY THE EXCHANGE
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 23-JUN-2010
836
20-MAY-2010
SUNCHAN SECURITIES LTD.
MSEI
DECLARED DEFAULTER ON CURRENCY DERIVATIVES SEGMENT BY THE EXCHANGE
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 20-MAY-2010
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
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