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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: DEFAULTED IN MAKING DISCLOSURE OF BULK DEALS TO STOCK EXCHANGES

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

(Member : BSE)
  USED WRONG INCOME TAX PERMANENT ACCOUNT NO. (PAN) FOR LARGE NUMBER OF CLIENTS AND USED SAME PAN FOR MULTIPLE CLIENTS

ALLOWED CLIENTS TO TRADE AND PAID MONEY DESPITE HUGE DEBIT BALANCES FOR LONG PERIOD IN THEIR ACCOUNTS

DID NOT MAKE DISCLOSURE OF BULK DEALS TO STOCK EXCHANGES IN STIPULATED PERIOD  		IMPOSED PENALTY RS.2,50,000

11-OCT-2010
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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