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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: DEBARRED FROM UNDERTAKING FRESH BUSINESS AS SUB BROKER

S.No. ENTITY DIRECTORS/ PERSONS  REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person NADI FINANCE & INVESTMENT PVT.LTD.  
  VIOLATED SEBI ACT, RULES & REGULATIONS  DEBARRED FROM UNDERTAKING FRESH BUSINESS AS SUB BROKER FROM 04-JUN-2001 TILL FURTHER ORDER

04-JUN-2001 		 
2
History of entity/person VRUDDHI CONFINVEST INDIA PVT.LTD.  
History of entity/person DEVINA MEHRA

History of entity/person SHANKAR SHARMA
  		VIOLATED SEBI ACT, RULES & REGULATIONS  DEBARRED FROM UNDERTAKING FRESH BUSINESS AS SUB BROKER FROM 25-MAY-2001 TILL PENDING ENQUIRY

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-MAY-2001 TILL PENDING ENQUIRY

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-MAY-2001 TILL PENDING ENQUIRY

25-MAY-2001 		SAT: APPEAL DISMISSED  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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