| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 241 |
|
ADITYA CAPITAL
(Sub-Broker of RELIANCE SECURITIES LTD., Member : NSE/BSE)
|
|
|
NO LONGER AFFILIATED AS SUB-BROKER
|
CANCELLED REGISTRATION AS SUB-BROKER FROM 08-OCT-2015
08-OCT-2015
|
|
| 242 |
|
|
ADITYA CONSULTANT
(Sub-Broker of ANAGRAM SECURITIES LTD., Member : NSE)
|
|
|
|
RAJESH R.SHIROLE
|
|
NO LONGER AFFILIATED AS SUB-BROKER
|
CANCELLED REGISTRATION AS SUB-BROKER FROM 22-OCT-2007
22-OCT-2007
|
|
| 243 |
|
|
ADITYA CONSULTANT
(Sub-Broker of ANAGRAM STOCKBROKING LTD., Member : BSE)
|
|
|
|
RAJESH R.SHIROLE
|
|
NO LONGER AFFILIATED AS SUB-BROKER
|
CANCELLED REGISTRATION AS SUB-BROKER FROM 22-OCT-2007
22-OCT-2007
|
|
| 244 |
|
|
ADITYA FINANCIAL SERVICES
(Sub-Broker of RELIANCE SECURITIES LTD., Member : BSE/NSE)
|
|
|
|
SHARAD VYAS
|
|
NO LONGER AFFILIATED AS SUB-BROKER
|
CANCELLED REGISTRATION AS SUB-BROKER
24-MAR-2012
|
|
| 245 |
|
|
ADITYA FINANCIAL SERVICES
(Sub-Broker of RELIANCE SECURITIES LTD., Member : BSE/NSE)
|
|
|
NO LONGER AFFILIATED AS SUB-BROKER
|
CANCELLED REGISTRATION AS SUB-BROKER FROM 01-APR-2013
05-MAR-2013
|
|
| 246 |
|
|
ADITYA INVESTMENT
(Sub-Broker of J.L.SHAH SECURITIES PVT.LTD., Member : BSE)
|
|
|
|
ASHOK JAYANTILAL SHAH
|
|
NO LONGER AFFILIATED AS SUB-BROKER
|
CANCELLED REGISTRATION AS SUB-BROKER FROM 18-FEB-2009
18-FEB-2009
|
|
| 247 |
|
|
ADITYA INVESTMENT
(Sub-Broker of ANGEL BROKING LTD., Member : BSE)
|
|
|
NO LONGER AFFILIATED AS SUB-BROKER
|
CANCELLED REGISTRATION AS SUB-BROKER
31-MAR-2012
|
|
| 248 |
|
|
ADITYA INVESTMENTS
(Sub-Broker of MAGNUM EQUITY BROKING LTD., Member : BSE)
|
|
|
NO LONGER AFFILIATED AS SUB-BROKER
|
CANCELLED REGISTRATION AS SUB-BROKER
12-MAR-2012
|
|
| 249 |
|
|
ADITYA INVESTMENTS
(Sub-Broker of KISAN RATILAL CHOKSEY SHARES & SECURITIES PVT.LTD., Member : BSE/NSE)
|
|
|
|
RINKU SINGH
|
|
NO LONGER AFFILIATED AS SUB-BROKER
|
CANCELLED REGISTRATION AS SUB-BROKER
01-MAR-2014
|
|
| 250 |
|
|
ADITYA INVESTMENTS
(Sub-Broker of MOTILAL OSWAL SECURITIES LTD., Member : BSE/NSE)
|
|
|
|
AMIT ANANDRAO KANASE
|
|
NO LONGER AFFILIATED AS SUB-BROKER
|
CANCELLED REGISTRATION AS SUB-BROKER FROM 01-DEC-2006
01-DEC-2006
|
|
| 251 |
|
|
ADITYA INVESTMENTS
(Sub-Broker of HSBC INVESTDIRECT SECURITIES (INDIA) LTD., Member : BSE)
|
|
|
NO LONGER AFFILIATED AS SUB-BROKER
|
CANCELLED REGISTRATION AS SUB-BROKER FROM 09-JUN-2011
09-JUN-2011
|
|
| 252 |
|
|
ADITYA KASTURIA
(Sub-Broker of ANGEL BROKING LTD., Member : NSE)
|
|
|
|
ADITYA KASTURIA,M/S
(Sub-Broker of ANGEL BROKING LTD., Member : NSE)
|
|
NO LONGER AFFILIATED AS SUB-BROKER
|
CANCELLED REGISTRATION AS SUB-BROKER
21-FEB-2012
|
|
| 253 |
|
|
ADITYA KASTURIA,M/S
(Sub-Broker of ANGEL BROKING LTD., Member : NSE)
|
|
|
|
ADITYA KASTURIA
|
|
NO LONGER AFFILIATED AS SUB-BROKER
|
CANCELLED REGISTRATION AS SUB-BROKER
21-FEB-2012
|
|
| 254 |
|
|
ADITYA SECURITIES
(Sub-Broker of MOTILAL OSWAL SECURITIES LTD., Member : NSE/BSE)
|
|
|
|
VADILAL PATEL
|
|
NO LONGER AFFILIATED AS SUB-BROKER
|
CANCELLED REGISTRATION AS SUB-BROKER
13-MAR-2012
|
|
| 255 |
|
|
ADITYA SECURITIES
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ALLEGED SUBMISSION OF FALSE INFORMATION TO INSPECTION OFFICIALS
ALLEGED EXTENDING MARGIN FACILITY TO CLIENTS
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
04-DEC-2007
|
|
| 256 |
|
|
ADITYA SECURITIES
(Sub-Broker of RELIANCE SECURITIES LTD., Member : NSE)
|
|
|
|
ANJU BANSAL
|
|
NO LONGER AFFILIATED AS SUB-BROKER
|
CANCELLED REGISTRATION AS SUB-BROKER
24-MAR-2012
|
|
| 257 |
|
|
ADITYA SECURITIES
(Sub-Broker of RELIANCE SECURITIES LTD., Member : BSE)
|
|
|
|
ANJU BANSAL
|
|
NO LONGER AFFILIATED AS SUB-BROKER
|
CANCELLED REGISTRATION AS SUB-BROKER
24-MAR-2012
|
|
| 258 |
|
|
ADMIRABLE FINANCIAL SERVICES LTD.
(Sub-Broker of BONANZA STOCK BROKERS LTD., Member : BSE)
|
|
|
|
SHALINI GOEL
|
|
NO LONGER AFFILIATED AS SUB-BROKER
|
CANCELLED REGISTRATION AS SUB-BROKER FROM 01-OCT-2005
01-OCT-2005
|
|
| 259 |
|
|
ADMIRAL SECURITIES
(Sub-Broker of VSE SECURITIES LTD., Member : BSE,Member : VSE)
|
|
|
DID NOT EXERCISE DUE CARE AND SKILL IN DEALING WITH CLIENTS
OFFLOADED UNLISTED SHARES OF DESIGN AUTO SYSTEMS LTD. IN MARKET WITH ACTIVE CONNIVANCE OF COMPANY MANAGEMENT
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 03-JAN-2009 TO 09-JAN-2009
SUSPENDED REGISTRATION AS SUB-BROKER FROM 03-JAN-2009 TO 09-JAN-2009
12-DEC-2008
|
|
| 260 |
|
|
ADVANCE ASSET MANAGEMENT
(Sub-Broker of EDELWEISS SECURITIES LTD., Member : NSE/BSE)
|
|
|
NO LONGER AFFILIATED AS SUB-BROKER
|
CANCELLED REGISTRATION AS SUB-BROKER FROM 20-OCT-2008
20-OCT-2008
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 13 of 621
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