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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 TO CEASE & DESIST FROM COMMITTING VIOLATIONS OF CODE OF CONDUCT FRAMED FOR SUB BROKERS

S.No. ENTITY DIRECTORS/ PERSONS  REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person MATHEW EASOW FINANCIAL SERVICES  

(Sub-Broker of EUREKA STOCK & SHARE BROKING SERVICES LTD. , Member : NSE)
History of entity/person MATHEW EASOW
  		FAILURE ON PART OF EMPLOYEE/REPRESENTATIVES IN DISCLOSING SELF INTEREST AND POSITIONS IN SECURITIES WHILE MAKING INVESTMENT RECOMMENDATIONS ON PUBLICLY ACCESSIBLE MEDIA  DIRECTED TO CEASE & DESIST FROM COMMITTING VIOLATIONS OF CODE OF CONDUCT FRAMED FOR SUB BROKERS

19-JAN-2006 		SEBI DECIDED, NO NEED TO CONTINUE DIRECTIONS PASSED VIDE INTERIM ORDER DATED 19/01/2006  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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