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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
PERIOD COVERED : 01-JAN-1997 TO 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.

STOCK BROKERS: VIOLATED SEBI DIRECTIVES/INSTRUCTIONS/GUIDELINES IN OPENING OF FRESH DEMAT ACCOUNTS

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

(Member : NSE)
  CONSIDERABLE DELAY IN DEMATERIALIZATION OF SHARES HELD BY PUBLIC SHAREHOLDERS

OPENED BENEFICIARY ACCOUNTS IMPROPERLY IN VIOLATION OF SEBI DIRECTIVES/INSTRUCTIONS/GUIDELINES

DEFICIENCIES IN MEMBER-CLIENT AGREEMENTS

DID NOT VERIFY SIGNATURES PROPERLY AT THE TIME OF RELEASING SECURITIES FROM ACCOUNTS  		IMPOSED PENALTY RS.8,00,000

17-JUN-2009 		SAT: ORDER DATED 17/06/2009 MODIFIED BY REDUCING PENALTY AMOUNT TO RS.4,00,000 FROM RS.8,00,000
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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