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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: CHARGED GALA FROM CLIENTS

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

(Sub-Broker of HSE SECURITIES LTD. , Member : NSE)
  EXECUTED MATCHING TRANSACTIONS AT RATES DIFFERENT FROM MARKET RATES DIRECTLY FROM ITS TRADING ACCOUNT AND NOT ROUTED THROUGH BROKER/STOCK EXCHANGE

CHARGED GALA FROM CLIENTS

DEALT WITH BROKERS/SUB-BROKERS ON PRINCIPAL AND AGENT BASIS TO AID AND ASSIST THEM IN EVASION OF MARKET, COLLECTION OF MARGINS  		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 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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