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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: DIRECTED TO FREEZE DEMAT ACCOUNTS

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

(Member : ICSE)
History of entity/person SWAMINATHAN MAHALINGAM
  		COMMITTED IRREGULARITIES IN SHARE LENDING/BORROWING

DID NOT REDRESS INVESTOR COMPLAINTS  		DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-SEP-2007 TILL COMPLETION OF THE ENQUIRY PROCEEDINGS

DIRECTED TO FREEZE DEMAT ACCOUNTS

DIRECTED NOT TO ENGAGE IN THE ACTIVITY OF BORROWING AND LENDING OF SECURITIES WITHOUT OBTAINING REGISTRATION FROM SEBI

03-SEP-2007
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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