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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: DID NOT REFUND MONEY COLLECTED UNDER CIS

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

(Sub-Broker of HSE SECURITIES LTD. , Member : NSE)
  DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE

DEALT WITH ENTITIES WHICH WERE REFRAINED FROM TRADING  		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

24-JAN-2006 		 
2
History of entity/person MUKESH K.MEHTA,M/S  

(Sub-Broker of ASE CAPITAL MARKETS LTD. , Member : BSE)
History of entity/person MUKESH K.MEHTA
  		DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER

DEALT WITH UNREGISTERED ENTITIES  		WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

13-JAN-2006 		 
3
History of entity/person S.R.AGARWAL & CO.  

(Sub-Broker of VSE SECURITIES LTD. , Member : BSE)
  DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DID NOT OBTAIN WRITTEN CONSENT FROM CLIENTS FOR MAINTAINING RUNNING ACCOUNT

DEALT IN CASH WITH CLIENTS

DID NOT DELIVER SECURITIES TO CLIENTS IN TIME

DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE

DID NOT MAINTAIN CLIENT AGREEMENTS

DID NOT MAINTAIN CLIENT REGISTRATION FORMS

PERMITTED TRADING TERMINALS AT UNAUTHORISED LOCATIONS

DEALT WITH UNREGISTERED ENTITIES  		SUSPENDED REGISTRATION AS SUB-BROKER FROM 07-FEB-2006 TO 06-AUG-2006

17-JAN-2006 		 
4
History of entity/person SHITAL SECURITIES PVT.LTD.  

(Sub-Broker of SKSE SECURITIES LTD. , Member : BSE)
  DEALT WITH UNREGISTERED ENTITIES  WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

13-JAN-2006 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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