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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: DIRECTED NOT TO ENGAGE IN THE ACTIVITY OF BORROWING AND LENDING OF SECURITIES WITHOUT OBTAINING REGISTRATION FROM SEBI

S.No. ENTITY DIRECTORS/ PERSONS  REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person MEGA MILLENNIUM INVESTMENT PVT.LTD.  

(Sub-Broker of ISE SECURITIES & SERVICES LTD. , Member : NSE)
History of entity/person SWAMINATHAN MAHALINGAM
  		COMMITTED IRREGULARITIES IN SHARE LENDING/BORROWING

DID NOT REDRESS INVESTOR COMPLAINTS  		DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-SEP-2007 TILL COMPLETION OF THE ENQUIRY PROCEEDINGS

DIRECTED TO FREEZE DEMAT ACCOUNTS

DIRECTED NOT TO ENGAGE IN THE ACTIVITY OF BORROWING AND LENDING OF SECURITIES WITHOUT OBTAINING REGISTRATION FROM SEBI

03-SEP-2007 		 
2
History of entity/person MEGA MILLENNIUM INVESTMENT PVT.LTD.  

(Sub-Broker of ISE SECURITIES & SERVICES LTD. , Member : BSE)
History of entity/person SWAMINATHAN MAHALINGAM
  		COMMITTED IRREGULARITIES IN SHARE LENDING/BORROWING

DID NOT REDRESS INVESTOR COMPLAINTS  		DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-SEP-2007 TILL COMPLETION OF THE ENQUIRY PROCEEDINGS

DIRECTED TO FREEZE DEMAT ACCOUNTS

DIRECTED NOT TO ENGAGE IN THE ACTIVITY OF BORROWING AND LENDING OF SECURITIES WITHOUT OBTAINING REGISTRATION FROM SEBI

03-SEP-2007 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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