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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 COMPANIES ACT, 1956

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

(Member : NSE)
History of entity/person COMANDUR PARTHASARATHY
History of entity/person M.S.RAMAKRISHNA
History of entity/person M.YAGUANDHAR
  		FILED APPLICATION FOR SUBSCRIPTION AND/OR ACQUISITION OF SHARES IN FICTITIOUS NAME

VIOLATED SECTION 12A OF SEBI ACT.,1992

VIOLATED SECTION 24 (1) OF SEBI ACT, 1992  		PROSECUTION LAUNCHED

15-MAY-2006
2 
History of entity/person KARVY STOCK BROKING LTD.  

(Member : BSE)
History of entity/person COMANDUR PARTHASARATHY
History of entity/person M.S.RAMAKRISHNA
History of entity/person M.YAGUANDHAR
  		FILED APPLICATION FOR SUBSCRIPTION AND/OR ACQUISITION OF SHARES IN FICTITIOUS NAME

VIOLATED SECTION 12A OF SEBI ACT.,1992

VIOLATED SECTION 24 (1) OF SEBI ACT, 1992  		PROSECUTION LAUNCHED

15-MAY-2006
3 
History of entity/person KARVY STOCK BROKING LTD.  

(Member : HSE)
History of entity/person COMANDUR PARTHASARATHY
History of entity/person M.S.RAMAKRISHNA
History of entity/person M.YAGUANDHAR
  		FILED APPLICATION FOR SUBSCRIPTION AND/OR ACQUISITION OF SHARES IN FICTITIOUS NAME

VIOLATED SECTION 12A OF SEBI ACT.,1992

VIOLATED SECTION 24 (1) OF SEBI ACT, 1992  		PROSECUTION LAUNCHED

15-MAY-2006
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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