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SOURCE OF INFORMATION

SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
UPDATED TILL : 04-NOV-2026

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.

SUB-BROKERS: CANCELLED REGISTRATION AS STOCK BROKER

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
261
History of entity/person ADVENT INVESTMENT

(Sub-Broker of SATCO CAPITAL MARKETS LTD., Member : BSE/NSE)  
  NO LONGER AFFILIATED AS SUB-BROKER   CANCELLED REGISTRATION AS SUB-BROKER

09-JUN-2012 		 
262
History of entity/person ADVISE INVESTMENT CONSULTANCY

(Sub-Broker of HSBC INVESTDIRECT SECURITIES (INDIA) LTD., Member : NSE/BSE)  
  NO LONGER AFFILIATED AS SUB-BROKER   CANCELLED REGISTRATION AS SUB-BROKER FROM 03-DEC-2010

03-DEC-2010 		 
263
History of entity/person ADWAIT C.DATAR

(Sub-Broker of INDIA INFOLINE LTD., Member : NSE/BSE)  
Click here to view complete history of this specific entity/person ADWAIT C.DATAR,M/S

(Sub-Broker of INDIA INFOLINE LTD., Member : NSE/BSE)
  		NO LONGER AFFILIATED AS SUB-BROKER   CANCELLED REGISTRATION AS SUB-BROKER FROM 24-MAR-2011

24-MAR-2011 		 
264
History of entity/person ADWAIT C.DATAR,M/S

(Sub-Broker of INDIA INFOLINE LTD., Member : NSE/BSE)  
Click here to view complete history of this specific entity/person ADWAIT C.DATAR
  		NO LONGER AFFILIATED AS SUB-BROKER   CANCELLED REGISTRATION AS SUB-BROKER FROM 24-MAR-2011

24-MAR-2011 		 
265
History of entity/person ADWEALTH

(Sub-Broker of MOTILAL OSWAL SECURITIES LTD., Member : NSE/BSE)  
Click here to view complete history of this specific entity/person ASHOK DATTATRAY SARANGUL
  		NO LONGER AFFILIATED AS SUB-BROKER   CANCELLED REGISTRATION AS SUB-BROKER

07-JUL-2012 		 
266
History of entity/person AEKTA SHARMA

(Sub-Broker of RELIANCE SECURITIES LTD., Member : BSE/NSE)  
Click here to view complete history of this specific entity/person AEKTA SHARMA,M/S

(Sub-Broker of RELIANCE SECURITIES LTD., Member : BSE/NSE)
  		NO LONGER AFFILIATED AS SUB-BROKER   CANCELLED REGISTRATION AS SUB-BROKER

24-MAR-2012 		 
267
History of entity/person AEKTA SHARMA,M/S

(Sub-Broker of RELIANCE SECURITIES LTD., Member : BSE/NSE)  
Click here to view complete history of this specific entity/person AEKTA SHARMA
  		NO LONGER AFFILIATED AS SUB-BROKER   CANCELLED REGISTRATION AS SUB-BROKER

24-MAR-2012 		 
268
History of entity/person AGARWAL & CO.

(Sub-Broker of EDELWEISS STOCK BROKING LTD., Member : BSE)  
  NO LONGER AFFILIATED AS SUB-BROKER   CANCELLED REGISTRATION AS SUB-BROKER

14-MAR-2012 		 
269
History of entity/person AGARWAL INVESTMENT

(Sub-Broker of DHAN STOCK & SHARE BROKERS PVT.LTD., Member : BSE)  
  NO LONGER AFFILIATED AS SUB-BROKER   CANCELLED REGISTRATION AS SUB-BROKER FROM 09-MAR-2006

09-MAR-2006 		 
270
History of entity/person AGARWAL SECURITIES

(Sub-Broker of NNM SECURITIES PVT.LTD., Member : BSE)  
  NO LONGER AFFILIATED AS SUB-BROKER   CANCELLED REGISTRATION AS SUB-BROKER

12-MAY-2017 		 
271
History of entity/person AGARWAL SECURITIES & INVESTMENTS

(Sub-Broker of ANGEL BROKING LTD., Member : NSE)  
  NO LONGER AFFILIATED AS SUB-BROKER   CANCELLED REGISTRATION AS SUB-BROKER

14-MAR-2012 		 
272
History of entity/person AGARWALLA SECURITIES PVT.LTD.

(Sub-Broker of SANJAY KUMAR THARD, Member : CSE)  
  COMMITTED IRREGULARITIES IN MAINTENANCE OF CONFIRMATION NOTES ISSUED TO CLIENTS

DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER

DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK

IRREGULARITIES IN REGISTRATION OF CLIENTS

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DID NOT TRANSFER SECURITIES FROM POOL ACCOUNT TO CLIENTS' ACCOUNT IN TIME   		SUSPENDED REGISTRATION AS SUB-BROKER FROM 13-NOV-2002 TO 12-MAY-2003

05-NOV-2002 		 
273
History of entity/person AGARWALS INVESTMENT

(Sub-Broker of SUSHIL FINANCIAL SERVICES PVT.LTD., Member : BSE/NSE)  
Click here to view complete history of this specific entity/person DOLLY ASHUTOSH AGRAWAL
  		IN THE PROCESS OF CANCELING SUB-BROKER REGISTRATION   CANCELLED REGISTRATION AS SUB-BROKER

16-FEB-2013 		 
274
History of entity/person AGARWALS SHARES & STOCK BROKERS

(Sub-Broker of MOTILAL OSWAL SECURITIES LTD., Member : NSE/BSE)  
Click here to view complete history of this specific entity/person ABHISHEK PAWAN KUMAR AGARWAL
  		NO LONGER AFFILIATED AS SUB-BROKER   CANCELLED REGISTRATION AS SUB-BROKER

29-DEC-2011 		 
275
History of entity/person AGGARWAL FINANCIAL SERVICES

(Sub-Broker of ANGEL BROKING LTD., Member : NSE)  
Click here to view complete history of this specific entity/person MUNISH GOEL
  		NO LONGER AFFILIATED AS SUB-BROKER   CANCELLED REGISTRATION AS SUB-BROKER

14-MAR-2012 		 
276
History of entity/person AGGARWAL INVESTMENT

(Sub-Broker of SMC GLOBAL SECURITIES LTD., Member : NSE/BSE)  
  NO LONGER AFFILIATED AS SUB-BROKER   CANCELLED REGISTRATION AS SUB-BROKER

16-FEB-2012 		 
277
History of entity/person AGGARWAL INVESTMENTS

(Sub-Broker of UTI SECURITIES LTD., Member : BSE)  
  NO LONGER AFFILIATED AS SUB-BROKER   CANCELLED REGISTRATION AS SUB-BROKER FROM 16-FEB-2006

16-FEB-2006 		 
278
History of entity/person AGGARWAL SECURITIES

(Sub-Broker of RELIANCE SECURITIES LTD., Member : BSE/NSE)  
Click here to view complete history of this specific entity/person YASHPAL GARG
  		NO LONGER AFFILIATED AS SUB-BROKER   CANCELLED REGISTRATION AS SUB-BROKER

24-MAR-2012 		 
279
History of entity/person AGRAHAR SECURITIES PVT.LTD.

(PAN:AABCA8883B)

(Sub-Broker of BGSE FINANCIALS LTD., Member : BSE/NSE)  
  ALLOWED/ALLOTTED TRADING TERMINALS TO UNAUTHORISED PERSONS AT PLACE WHICH WERE NOT REGISTERED/BRANCH OFFICE OF STOCK BROKER VIOLATING SEBI CIRCULAR NO.SMDRP/POLICY/CIR-49/2001 DATED 22/10/2001 READ WITH CLAUSES A(1) AND D(1) OF CODE OF CONDUCT UNDER SCHEDULE II UNDER REGULATION 9 OF (STOCK BROKERS) REGULATIONS, 1992   IMPOSED PENALTY RS.4,00,000

11-MAY-2018 		 
280
History of entity/person AGRAWAL ASSOCIATES

(Sub-Broker of RELIANCE SECURITIES LTD., Member : NSE/BSE)  
Click here to view complete history of this specific entity/person DEEPAK KUMAR AGRAWALA
  		NO LONGER AFFILIATED AS SUB-BROKER   CANCELLED REGISTRATION AS SUB-BROKER

01-MAR-2014 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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