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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: POOR FINANCIAL POSITION NOT IN INTEREST OF INVESTORS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person MARISA FINANCIAL SERVICES PVT.LTD.  

(Member : MPSE)
  FAILED TO REPAY SECURITY DEPOSITS TO CLIENTS

FINANCIAL POSITION DETERIORATED TO SUCH AN EXTENT THAT CONTINUANCE IN SECURITIES MARKET WAS NOT IN INTEREST OF INVESTORS  		CANCELLED REGISTRATION AS STOCK BROKER FROM 10-JAN-2002

10-JAN-2002
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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