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SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – CONSENT ORDERS/ PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS
PERIOD COVERED : 30-OCT-2007 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: FAILED TO PAY DIVIDENDS TO SHAREHOLDERS

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

(Member : BSE)
  ALLEGED FAILURE/DELAY IN PAYMENT OF DIVIDENDS TO CLIENTS

ALLEGED INSTALLATION OF TERMINALS AT UNAUTHORIZED PLACES

DEALT WITH UN-REGISTERED SUB-BROKERS

ALLEGED MISUTILISATION OF CLIENTS FUNDS  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)

16-SEP-2008
2 
History of entity/person ALLIANCE FINSTOCK LTD.  

(Member : OTC)
  ALLEGED FAILURE/DELAY IN PAYMENT OF DIVIDENDS TO CLIENTS

ALLEGED INSTALLATION OF TERMINALS AT UNAUTHORIZED PLACES

DEALT WITH UN-REGISTERED SUB-BROKERS

ALLEGED MISUTILISATION OF CLIENTS FUNDS  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)

16-SEP-2008
3 
History of entity/person ALLIANCE FINSTOCK LTD.  

(Member : PSE)
  ALLEGED FAILURE/DELAY IN PAYMENT OF DIVIDENDS TO CLIENTS

ALLEGED INSTALLATION OF TERMINALS AT UNAUTHORIZED PLACES

DEALT WITH UN-REGISTERED SUB-BROKERS

ALLEGED MISUTILISATION OF CLIENTS FUNDS  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)

16-SEP-2008
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.

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