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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: PROHIBITED FROM RAISING MONEY FROM PUBLIC

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

(Sub-Broker of VCK SHARE & STOCK BROKING SERVICES LTD. , Member : NSE)
History of entity/person ATIN DAS
  		INVOLVED IN FRAUDULENT ACTIVITIES TO INDUCE INVESTORS TO INVEST MONEY

DEALT IN CASH WITH CLIENTS

ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

COMMITTED IRREGULARITIES PERTAINING TO CLIENTS SECURITIES

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS  		PROHIBITED FROM RAISING MONEY FROM PUBLIC FROM 20-FEB-2007 TILL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-FEB-2007 TILL FURTHER ORDERS

DIRECTED TO REFUND ALL MONEYS COLLECTED FROM INVESTORS UNDER THE MIS SCHEME

20-FEB-2007 		ENQUIRY PROCEEDINGS DISPOSED OFF WITHOUT IMPOSING ANY FURTHER PENALTY, AS SUB BROKER HAS ALREADY BEEN PROHIBITED FROM BUYING, SELLING OR DEALING IN SECURITIES FROM 20/02/2007

DIRECTIONS IMPOSED VIDE AD-INTERIM EX-PARTE ORDER DATED 20/02/2007 RESTRAINING FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET IN ANY MANNER, DIRECTLY OR INDIRECTLY, VACATED  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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