If you are an Existing User, please enter your Username & Password below

Forgot Password?

Are you a New User? Click here to enrol

close

Click here to visit old website
Co-Sponsors

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: DELAYED/NON-PAYMENT OF STAMP DUTY

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

(Member : NSE)
  DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS

COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES

DELAYED PAYMENT OF CONSOLIDATED STAMP DUTY

DID INTER-CLIENT ADJUSTMENT OF BALANCES

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DID NOT COLLECT MARGINS FROM CLIENTS  		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

18-MAY-2004
2 
History of entity/person INSIGHT SHARE BROKERS PVT.LTD.  

(Member : NSE)
  DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DID NOT DELIVER SECURITIES TO CLIENTS IN TIME

DID NOT MAKE PAYMENTS TO CLIENTS IN TIME

COMMITTED IRREGULARITIES/DEFAULTED IN ISSUANCE OF CONFIRMATION MEMOS

DID NOT OPEN SEPARATE BENEFICIARY ACCOUNTS FOR ALL CLIENTS AVAILING MARGIN TRADING FACILITY FROM THE BROKER

DID NOT MAINTAIN CLIENT REGISTRATION FORMS

DID NOT PAY STAMP DUTY ON CONTRACT NOTES  		WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

06-JAN-2006
3 
History of entity/person YADAV & CO.  

(Member : DSE)
  INDULGED IN PRICE MANIPULATION AND CREATED FALSE MARKET IN SCRIP OF M.S.SHOES (EAST) LTD.

COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES

DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS

DID NOT PAY STAMP DUTY ON CONTRACT NOTES

DID NOT INFORM SEBI ABOUT CHANGE OF ADDRESS  		SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-JUN-1998 TO 29-SEP-1998

26-JUN-1998
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

This website is not comprehensive and is being updated on a regular basis. Users are requested to carefully look at the formats and the information about the coverage period that appears on search results pages.

DISCLAIMER BY NSE

NSE is the co-sponsor of this website and supportive of the initiative taken for protection of interest of investors by Praxis Consulting & Information Services Pvt.Ltd. (PRAXIS), the creator of this website. However, NSE bear no responsibility for the views/information that is available on this website and as responsibility of the contents of this website solely rests with PRAXIS. NSE shall not be responsible for, and expressly disclaims all liability for, damages of any kind arising out of use, reference to or reliance on any information available on this website. Investors/visitors of this website are also advised to read through the other general disclaimer(s) and terms and conditions available on this website before using the website.

Site designed and maintained by watchoutinvestors.com
© PRIME DATABASE GROUP 2004-2024
No part of this site may be reproduced without the explicit permission of the owners.

top