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SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – CONSENT ORDERS/ PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS
PERIOD COVERED : 30-OCT-2007 TO 13-JUL-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.

STOCK BROKERS: VIOLATED SEBI REGULATION REGARDING DEMATERIALISATION/DEPOSITORY PARTICIPANTS

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

(Member : BSE)
  ALLEGED FAILURE IN REDRESSAL OF INVESTOR GRIEVANCE

ALLEGED FAILURE IN TRANSFER OF SECURITIES TO INVESTORS

ALLEGED REJECTION OF DEMAT REQUEST OF INVESTORS  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,000, ADMINISTRATION CHARGES RS.5,000 VIDE CONSENT ORDER)

02-MAR-2009
2 
History of entity/person HSE SECURITIES LTD.  

(Member : NSE)
  ALLEGED FAILURE IN REDRESSAL OF INVESTOR GRIEVANCE

ALLEGED FAILURE IN TRANSFER OF SECURITIES TO INVESTORS

ALLEGED REJECTION OF DEMAT REQUEST OF INVESTORS  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,000, ADMINISTRATION CHARGES RS.5,000 VIDE CONSENT ORDER)

02-MAR-2009
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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