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SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
UPDATED TILL : 21-NOV-2024

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

SUB-BROKERS: FAILED TO ENTER INTO AGREEMENT WITH SUB-BROKERS

S.No. ENTITY DIRECTORS/ PERSONS  REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person CORBETT RIPE SECURITIES  

(Sub-Broker of ANAGRAM STOCKBROKING LTD. , Member : BSE)
History of entity/person RIPENDRA MEHTA
  		DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS AND DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 15 READ WITH CLAUSES A(1) AND A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992

DID NOT EXECUTE TRIPARTITE AGREEMENT WITH CLIENT VIOLATING REGULATION 15 READ WITH CLAUSE C (4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992  		CANCELLED REGISTRATION AS SUB-BROKER FROM 10-SEP-2014

20-AUG-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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