| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 281 |
|
AGRAWAL BANDHU SHARES
(Sub-Broker of MANUBHAI MANGALDAS SECURITIES PVT.LTD., Member : BSE)
|
|
|
|
SUNILKUMAR AGARWAL
|
|
NO LONGER AFFILIATED AS SUB-BROKER
|
CANCELLED REGISTRATION AS SUB-BROKER FROM 08-MAR-2007
08-MAR-2007
|
|
| 282 |
|
|
AGRAWAL INVESTMENT CONSULTANTS
(Sub-Broker of RELIANCE SECURITIES LTD., Member : BSE/NSE)
|
|
|
|
R.K.AGRAWAL
|
|
NO LONGER AFFILIATED AS SUB-BROKER
|
CANCELLED REGISTRATION AS SUB-BROKER
24-MAR-2012
|
|
| 283 |
|
|
AHUJA INVESTMENT
(Sub-Broker of RELIANCE SECURITIES LTD., Member : BSE/NSE)
|
|
|
NO LONGER AFFILIATED AS SUB-BROKER
|
CANCELLED REGISTRATION AS SUB-BROKER FROM 01-APR-2011
24-MAR-2011
|
|
| 284 |
|
|
AHUJA SHARES & STOCK INVESTMENT
(Sub-Broker of ANGEL BROKING LTD., Member : BSE)
|
|
|
NO LONGER AFFILIATED AS SUB-BROKER
|
CANCELLED REGISTRATION AS SUB-BROKER
21-MAR-2012
|
|
| 285 |
|
|
AIMON SECURITIES
(Sub-Broker of RELIANCE SECURITIES LTD., Member : NSE)
|
|
|
NO LONGER AFFILIATED AS SUB-BROKER
|
CANCELLED REGISTRATION AS SUB-BROKER FROM 01-APR-2017
14-MAR-2017
|
|
| 286 |
|
|
AIMON SECURITIES
(Sub-Broker of RELIANCE SECURITIES LTD., Member : BSE/NSE)
|
|
|
|
SYED GHAZALA NAZKI
|
|
NO LONGER AFFILIATED AS SUB-BROKER
|
CANCELLED REGISTRATION AS SUB-BROKER
24-MAR-2012
|
|
| 287 |
|
|
AISHWARY LAXMI CAPITAL MARKET PVT.LTD.
(Sub-Broker of MOTILAL OSWAL SECURITIES LTD., Member : NSE/BSE)
|
|
|
NO LONGER AFFILIATED AS SUB-BROKER
|
CANCELLED REGISTRATION AS SUB-BROKER
16-MAR-2012
|
|
| 288 |
|
|
AISHWARYA
(Sub-Broker of MF GLOBAL-SIFY SECURITIES INDIA PVT.LTD., Member : NSE/BSE)
|
|
|
|
AISHWARYA,M/S
(Sub-Broker of MF GLOBAL-SIFY SECURITIES INDIA PVT.LTD., Member : NSE/BSE)
|
|
NO LONGER AFFILIATED AS SUB-BROKER
|
CANCELLED REGISTRATION AS SUB-BROKER FROM 24-JAN-2011
24-JAN-2011
|
|
| 289 |
|
|
AISHWARYA & CO.
(Sub-Broker of A.C.CHOKSI SHARE BROKERS PVT.LTD., Member : BSE)
|
|
|
APPLIED FOR CANCELLATION OF SUB-BROKERSHIP
|
CANCELLED REGISTRATION AS SUB-BROKER FROM 03-NOV-2003
03-NOV-2003
|
|
| 290 |
|
|
AISHWARYA AVENUES PVT.LTD.
(PAN:AAECA1109R)
(Sub-Broker of SKSE SECURITIES LTD., Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED/CIRCULAR AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF RAJESH EXPORTS LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1),A(2),D(1),(4) AND (5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF RAJESH EXPORTS LTD.
|
IMPOSED PENALTY RS.50,000
29-SEP-2010
|
|
| 291 |
|
|
AISHWARYA AVENUES PVT.LTD.
(PAN:AAECA1109R)
(Sub-Broker of SKSE SECURITIES LTD., Member : BSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 15 READ WITH CLAUSES A(2) OF CODE OF CONDUCT SPECIFIED UNDER SCHEDULE II READ WITH REGULATION 15 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992 IN MATTER OF ANUKARAN COMMERCIAL ENTERPRISES LTD.
|
IMPOSED PENALTY RS.1,00,000
10-MAR-2021
|
|
| 292 |
|
|
AISHWARYA S.OAK
(Sub-Broker of MOTILAL OSWAL SECURITIES LTD., Member : NSE/BSE)
|
|
|
|
AISHWARYA S.OAK,M/S
(Sub-Broker of MOTILAL OSWAL SECURITIES LTD., Member : NSE/BSE)
|
|
NO LONGER AFFILIATED AS SUB-BROKER
|
CANCELLED REGISTRATION AS SUB-BROKER
24-JAN-2012
|
|
| 293 |
|
|
AISHWARYA S.OAK,M/S
(Sub-Broker of MOTILAL OSWAL SECURITIES LTD., Member : NSE/BSE)
|
|
|
|
AISHWARYA S.OAK
|
|
NO LONGER AFFILIATED AS SUB-BROKER
|
CANCELLED REGISTRATION AS SUB-BROKER
24-JAN-2012
|
|
| 294 |
|
|
AISHWARYA,M/S
(Sub-Broker of MF GLOBAL-SIFY SECURITIES INDIA PVT.LTD., Member : NSE/BSE)
|
|
|
|
AISHWARYA
|
|
NO LONGER AFFILIATED AS SUB-BROKER
|
CANCELLED REGISTRATION AS SUB-BROKER FROM 24-JAN-2011
24-JAN-2011
|
|
| 295 |
|
|
AJAI INVESTMENT
(Sub-Broker of JAGRUTI SECURITIES LTD., Member : BSE)
|
|
|
|
AJAY KUMAR BHATT
|
|
NO LONGER AFFILIATED AS SUB-BROKER
|
CANCELLED REGISTRATION AS SUB-BROKER FROM 09-JAN-2008
09-JAN-2008
|
|
| 296 |
|
|
AJAY AGARWALLA
(Sub-Broker of RELIANCE SECURITIES LTD., Member : BSE/NSE)
|
|
|
|
ARZEE SECURITIES
(Sub-Broker of RELIANCE SECURITIES LTD., Member : BSE/NSE)
|
|
NO LONGER AFFILIATED AS SUB-BROKER
|
CANCELLED REGISTRATION AS SUB-BROKER
24-MAR-2012
|
|
| 297 |
|
|
AJAY ENTERPRISES
(Sub-Broker of RELIANCE SECURITIES LTD., Member : BSE)
|
|
|
|
AJAY GOYAL
|
|
NO LONGER AFFILIATED AS SUB-BROKER
|
CANCELLED REGISTRATION AS SUB-BROKER
24-MAR-2012
|
|
| 298 |
|
|
AJAY GOYAL
(Sub-Broker of RELIANCE SECURITIES LTD., Member : BSE)
|
|
|
|
AJAY ENTERPRISES
(Sub-Broker of RELIANCE SECURITIES LTD., Member : BSE)
|
|
NO LONGER AFFILIATED AS SUB-BROKER
|
CANCELLED REGISTRATION AS SUB-BROKER
24-MAR-2012
|
|
| 299 |
|
|
AJAY HIRAMANJI UMREDKAR
(Sub-Broker of MOTILAL OSWAL SECURITIES LTD., Member : NSE/BSE)
|
|
|
|
AJAY HIRAMANJI UMREDKAR,M/S
(Sub-Broker of MOTILAL OSWAL SECURITIES LTD., Member : NSE/BSE)
|
|
NO LONGER AFFILIATED AS SUB-BROKER
|
CANCELLED REGISTRATION AS SUB-BROKER FROM 10-AUG-2011
10-AUG-2011
|
|
| 300 |
|
|
AJAY HIRAMANJI UMREDKAR,M/S
(Sub-Broker of MOTILAL OSWAL SECURITIES LTD., Member : NSE/BSE)
|
|
|
|
AJAY HIRAMANJI UMREDKAR
|
|
NO LONGER AFFILIATED AS SUB-BROKER
|
CANCELLED REGISTRATION AS SUB-BROKER FROM 10-AUG-2011
10-AUG-2011
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
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| Page 15 of 621
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