| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ALANKIT ASSIGNMENTS LTD.
(Member : BSE)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
ALLEGED GRANT OF TRADING TERMINALS AT LOCATIONS OTHER THAN REGISTERED OFFICES AND REGISTERED SUB-BROKERS’ OFFICES
ALLEGED NON-SEGREGATION OF CLIENTS FUND AND SECURITIES FROM OWN FUNDS AND SECURITIES
ALLEGED MISUTILISATION OF CLIENTS FUNDS
ALLEGED CHANGE OF SHAREHOLDING PATTERN WITHOUT PRIOR PERMISSION OF SEBI
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
11-SEP-2008
|
|
| 2 |
|
|
ALANKIT ASSIGNMENTS LTD.
(Member : NSE)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
ALLEGED GRANT OF TRADING TERMINALS AT LOCATIONS OTHER THAN REGISTERED OFFICES AND REGISTERED SUB-BROKERS’ OFFICES
ALLEGED NON-SEGREGATION OF CLIENTS FUND AND SECURITIES FROM OWN FUNDS AND SECURITIES
ALLEGED MISUTILISATION OF CLIENTS FUNDS
ALLEGED CHANGE OF SHAREHOLDING PATTERN WITHOUT PRIOR PERMISSION OF SEBI
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
11-SEP-2008
|
|
| 3 |
|
|
ALANKIT ASSIGNMENTS LTD.
(Member : OTC)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
ALLEGED GRANT OF TRADING TERMINALS AT LOCATIONS OTHER THAN REGISTERED OFFICES AND REGISTERED SUB-BROKERS’ OFFICES
ALLEGED NON-SEGREGATION OF CLIENTS FUND AND SECURITIES FROM OWN FUNDS AND SECURITIES
ALLEGED MISUTILISATION OF CLIENTS FUNDS
ALLEGED CHANGE OF SHAREHOLDING PATTERN WITHOUT PRIOR PERMISSION OF SEBI
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
11-SEP-2008
|
|
| 4 |
|
|
ALLIANCE FINSTOCK LTD.
(Member : BSE)
|
|
|
ALLEGED FAILURE/DELAY IN PAYMENT OF DIVIDENDS TO CLIENTS
ALLEGED INSTALLATION OF TERMINALS AT UNAUTHORIZED PLACES
DEALT WITH UN-REGISTERED SUB-BROKERS
ALLEGED MISUTILISATION OF CLIENTS FUNDS
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
16-SEP-2008
|
|
| 5 |
|
|
ALLIANCE FINSTOCK LTD.
(Member : OTC)
|
|
|
ALLEGED FAILURE/DELAY IN PAYMENT OF DIVIDENDS TO CLIENTS
ALLEGED INSTALLATION OF TERMINALS AT UNAUTHORIZED PLACES
DEALT WITH UN-REGISTERED SUB-BROKERS
ALLEGED MISUTILISATION OF CLIENTS FUNDS
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
16-SEP-2008
|
|
| 6 |
|
|
ALLIANCE FINSTOCK LTD.
(Member : PSE)
|
|
|
ALLEGED FAILURE/DELAY IN PAYMENT OF DIVIDENDS TO CLIENTS
ALLEGED INSTALLATION OF TERMINALS AT UNAUTHORIZED PLACES
DEALT WITH UN-REGISTERED SUB-BROKERS
ALLEGED MISUTILISATION OF CLIENTS FUNDS
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
16-SEP-2008
|
|
| 7 |
|
|
ANGEL BROKING PVT.LTD.
(Member : BSE)
|
|
|
MISUTILIZED CLIENTS FUNDS FOR DEBIT OBLIGATION OF OWN/OTHER CLIENTS
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.31,87,500 VIDE CONSENT ORDER)
22-JUL-2019
|
|
| 8 |
|
|
ANGEL BROKING PVT.LTD.
(Member : NSE)
|
|
|
MISUTILIZED CLIENTS FUNDS FOR DEBIT OBLIGATION OF OWN/OTHER CLIENTS
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.31,87,500 VIDE CONSENT ORDER)
22-JUL-2019
|
|
| 9 |
|
|
ANUGRAH STOCK & BROKING PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED NON-SEGREGATION OF CLIENTS FUND AND SECURITIES FROM OWN FUNDS AND SECURITIES
ALLEGED PLEDGING SECURITIES OF CLIENTS EVEN THOUGH CREDIT BALANCE
ALLEGED FAILURE IN SENDING STATEMENT OF ACCOUNT TO CLIENTS
ALLEGED TRANSFERRING SECURITIES FROM CLIENT BENEFICIARY ACCOUNT TO POOL ACCOUNT TO MEET PROPRIETARY OBLIGATIONS
ALLEGED REPORTING WRONG MARGINS
ALLEGED FAILURE IN MAINTENANCE OF HIGH STANDARDS OF INTEGRITY, PROMPTITUDE & FAIRNESS IN CONDUCT OF BUSINESS AS A STOCK BROKER
ALLEGED DISCREPANCIES IN MAINTENANCE OF CLIENT REGISTRATION FORMS & CLIENT AGREEMENT
ALLEGED INDULGENCE IN FUND-BASED ACTIVITIES BY LENDING MONEY TO OTHER CLIENTS
ALLEGED INDULGENCE IN TRANSFER OF SECURITIES IN CONTRAVENTION OF SEBI’S ORDER DATED 22/05/2009
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.28,00,000 VIDE CONSENT ORDER)
18-OCT-2010
|
|
| 10 |
|
|
ANUGRAH STOCK & BROKING PVT.LTD.
(Member : NSE)
|
|
|
ALLEGED NON-SEGREGATION OF CLIENTS FUND AND SECURITIES FROM OWN FUNDS AND SECURITIES
ALLEGED PLEDGING SECURITIES OF CLIENTS EVEN THOUGH CREDIT BALANCE
ALLEGED FAILURE IN SENDING STATEMENT OF ACCOUNT TO CLIENTS
ALLEGED TRANSFERRING SECURITIES FROM CLIENT BENEFICIARY ACCOUNT TO POOL ACCOUNT TO MEET PROPRIETARY OBLIGATIONS
ALLEGED REPORTING WRONG MARGINS
ALLEGED FAILURE IN MAINTENANCE OF HIGH STANDARDS OF INTEGRITY, PROMPTITUDE & FAIRNESS IN CONDUCT OF BUSINESS AS A STOCK BROKER
ALLEGED DISCREPANCIES IN MAINTENANCE OF CLIENT REGISTRATION FORMS & CLIENT AGREEMENT
ALLEGED INDULGENCE IN FUND-BASED ACTIVITIES BY LENDING MONEY TO OTHER CLIENTS
ALLEGED INDULGENCE IN TRANSFER OF SECURITIES IN CONTRAVENTION OF SEBI’S ORDER DATED 22/05/2009
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.28,00,000 VIDE CONSENT ORDER)
18-OCT-2010
|
|
| 11 |
|
|
BALJIT SECURITIES PVT.LTD.
(Member : NSE)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
ALLEGED MISUTILISATION OF CLIENTS FUNDS
ALLEGED FAILURE IN COLLECTION OF MARGIN FROM CLIENTS
ALLEGED FAILURE IN MAKING PAYMENTS OF CORPORATE BENEFITS TO CLIENTS WITHIN STIPULATED TIME
ALLEGED INDULGENCE IN INDIRECT FUND-BASED ACTIVITIES
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.4,00,000 VIDE CONSENT ORDER)
28-JUL-2010
|
|
| 12 |
|
|
BALJIT SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
ALLEGED MISUTILISATION OF CLIENTS FUNDS
ALLEGED FAILURE IN COLLECTION OF MARGIN FROM CLIENTS
ALLEGED FAILURE IN MAKING PAYMENTS OF CORPORATE BENEFITS TO CLIENTS WITHIN STIPULATED TIME
ALLEGED INDULGENCE IN INDIRECT FUND-BASED ACTIVITIES
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.4,00,000 VIDE CONSENT ORDER)
28-JUL-2010
|
|
| 13 |
|
|
CAPSTOCKS & SECURITIES (INDIA) PVT.LTD.
(Member : BSE)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
ALLEGED MISUTILISATION OF CLIENTS FUNDS
ALLEGED DISCREPANCIES IN KNOW YOUR CLIENT FORMS
ALLEGED DELAY IN DELIVERY OF SECURITIES WITHIN STIPULATED TIME
ALLEGED FAILURE IN MAKING PAYMENTS OF CORPORATE BENEFITS TO CLIENTS WITHIN STIPULATED TIME
ALLEGED ACCEPTANCE OF CASH TOWARDS MARGINS/PAY-INS IN EXCESS OF LIMITS PRESCRIBED BY INCOME TAX ACT
ALLEGED INDULGENCE IN IMPRUDENT RISK MANAGEMENT PRACTICES
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,25,000 VIDE CONSENT ORDER)
10-AUG-2010
|
|
| 14 |
|
|
CAPSTOCKS & SECURITIES (INDIA) PVT.LTD.
(Member : NSE)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
ALLEGED MISUTILISATION OF CLIENTS FUNDS
ALLEGED DISCREPANCIES IN KNOW YOUR CLIENT FORMS
ALLEGED DELAY IN DELIVERY OF SECURITIES WITHIN STIPULATED TIME
ALLEGED FAILURE IN MAKING PAYMENTS OF CORPORATE BENEFITS TO CLIENTS WITHIN STIPULATED TIME
ALLEGED ACCEPTANCE OF CASH TOWARDS MARGINS/PAY-INS IN EXCESS OF LIMITS PRESCRIBED BY INCOME TAX ACT
ALLEGED INDULGENCE IN IMPRUDENT RISK MANAGEMENT PRACTICES
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,25,000 VIDE CONSENT ORDER)
10-AUG-2010
|
|
| 15 |
|
|
EDELWEISS SECURITIES LTD.
(Member : BSE)
|
|
|
ALLEGED FAILURE IN SEGREGATING CLIENTS FUNDS AND SECURITIES
ALLEGED MAPPING OF OWN BANK ACCOUNT INSTEAD OF CLIENT’S BANK ACCOUNT IN DEMAT ACCOUNT WHEREIN CLIENT SECURITIES WERE KEPT
ALLEGED FAILURE IN USING WORD CLIENT IN NAME OF CLIENT’S BANK ACCOUNT
ALLEGED LAPSES IN INTERNAL CONTROL MEASURES FOR ACCESS TO INSTITUTIONAL TRADING DESK DEALING ROOM OPERATION
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.35,31,537 VIDE CONSENT ORDER)
13-MAR-2019
|
|
| 16 |
|
|
EDELWEISS SECURITIES LTD.
(Member : NSE)
|
|
|
ALLEGED FAILURE IN SEGREGATING CLIENTS FUNDS AND SECURITIES
ALLEGED MAPPING OF OWN BANK ACCOUNT INSTEAD OF CLIENT’S BANK ACCOUNT IN DEMAT ACCOUNT WHEREIN CLIENT SECURITIES WERE KEPT
ALLEGED FAILURE IN USING WORD CLIENT IN NAME OF CLIENT’S BANK ACCOUNT
ALLEGED LAPSES IN INTERNAL CONTROL MEASURES FOR ACCESS TO INSTITUTIONAL TRADING DESK DEALING ROOM OPERATION
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.35,31,537 VIDE CONSENT ORDER)
13-MAR-2019
|
|
| 17 |
|
|
EDELWEISS SECURITIES LTD.
(Member : OTC)
|
|
|
ALLEGED FAILURE IN SEGREGATING CLIENTS FUNDS AND SECURITIES
ALLEGED MAPPING OF OWN BANK ACCOUNT INSTEAD OF CLIENT’S BANK ACCOUNT IN DEMAT ACCOUNT WHEREIN CLIENT SECURITIES WERE KEPT
ALLEGED FAILURE IN USING WORD CLIENT IN NAME OF CLIENT’S BANK ACCOUNT
ALLEGED LAPSES IN INTERNAL CONTROL MEASURES FOR ACCESS TO INSTITUTIONAL TRADING DESK DEALING ROOM OPERATION
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.35,31,537 VIDE CONSENT ORDER)
13-MAR-2019
|
|
| 18 |
|
|
FMS SECURITIES LTD.
(Member : BSE)
|
|
|
ALLEGED DELAY IN MAKING PAYMENT TO CLIENTS
ALLEGED FAILURE IN MAKING PAYMENTS OF CORPORATE BENEFITS TO CLIENTS WITHIN STIPULATED TIME
ALLEGED FAILURE IN SEGREGATING CLIENTS FUNDS AND SECURITIES
ALLEGED DISCREPANCY IN ISSUANCE OF CONTRACT NOTES
ALLEGED DISCREPANCIES IN MAINTENANCE OF CLIENT REGISTRATION FORMS & CLIENT AGREEMENT
ALLEGED NON-DISCLOSURE OF PROPRIETARY TRADING TO CLIENTS
DEALT WITH UN-REGISTERED SUB-BROKERS
ALLEGED INSTALLATION OF TERMINALS AT UNAUTHORIZED PLACES
ALLEGED FAILURE IN TRANSFER OF SECURITIES TO INVESTORS
ALLEGED FAILURE IN MAKING DISCLOSURE OF CONTENTS OF RISK DISCLOSURE DOCUMENT TO CLIENTS
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.4,00,000 VIDE CONSENT ORDER)
12-AUG-2010
|
|
| 19 |
|
|
GSB CAPITAL MARKETS LTD.
(Member : BSE)
|
|
|
ALLEGED NON-SEGREGATION OF CLIENTS ACCOUNT
ALLEGED EVASION OF MARGIN BY UNDER REPORTING OF CARRY FORWARD POSITION
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
31-DEC-2008
|
|
| 20 |
|
|
GUINESS SECURITIES LTD.
(Member : BSE)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
ALLEGED MISUTILISATION OF CLIENTS FUNDS
ALLEGED FAILURE IN MAKING PAYMENTS OF CORPORATE BENEFITS TO CLIENTS WITHIN STIPULATED TIME
ALLEGED FAILURE IN REDRESSAL OF INVESTOR COMPLAINTS IN STIPULATED PERIOD
ALLEGED CHARGING OF HIGHER BROKERAGE FROM CLIENTS TOWARDS PURCHASED AND SALE OF SHARES
ALLEGED INDULGENCE IN FUND-BASED ACTIVITIES BY LENDING AND BORROWING FUNDS FOR TRANACTIONS OF CLIENTS AND CHARGING INTEREST
ALLEGED NON-COLLECTION OF MARGINS FROM CLIENTS AND PERMITTED THEM TO TRADE WITHOUT SUFFICIENT CASH BALANCE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.15,00,000 VIDE CONSENT ORDER)
02-AUG-2011
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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