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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.

UN-AUTHORISED SUB-BROKERS: FAILED TO MAINTAIN PROPER BOOKS OF ACCOUNTS/RECORDS

S.No. ENTITY DIRECTORS/ PERSONS  REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person JOGLEKAR INVESTMENTS PVT.LTD.  
History of entity/person MADHAV PRASAD JOGLEKAR
  		ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS  		DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-OCT-2007 TILL COMPLETION OF INQUIRY

17-OCT-2007 		WITHDRAWN INTERIM ORDER DATED 17/10/2007  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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