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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
301
History of entity/person AJAY JAIN

(Sub-Broker of RENAISSANCE SECURITIES LTD., Member : BSE, SHAILESH HIRALAL DOSHI, Member : NSE)  
Click here to view complete history of this specific entity/person MPS SECURITIES

(Sub-Broker of RENAISSANCE SECURITIES LTD., Member : BSE, SHAILESH HIRALAL DOSHI, Member : NSE)
  		DEALT WITH UN-REGISTERED SUB-BROKERS

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

FAILED TO COMPLY WITH THE UNIQUE CLIENT CODE AS PRESCRIBED BY SEBI   		IMPOSED PENALTY RS.1,00,000

16-JUN-2010 		INCLUDED IN SEBI LIST DATED 30/09/2010, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI  
302
History of entity/person AJAY KUMAR BHATT

(Sub-Broker of JAGRUTI SECURITIES LTD., Member : BSE)  
Click here to view complete history of this specific entity/person AJAI INVESTMENT

(Sub-Broker of JAGRUTI SECURITIES LTD., Member : BSE)
  		NO LONGER AFFILIATED AS SUB-BROKER   CANCELLED REGISTRATION AS SUB-BROKER FROM 09-JAN-2008

09-JAN-2008 		 
303
History of entity/person AJAY KUMAR JAISWAL

(Sub-Broker of ANAGRAM SECURITIES LTD., Member : NSE)  
Click here to view complete history of this specific entity/person AJAY KUMAR JAISWAL,M/S

(Sub-Broker of ANAGRAM SECURITIES LTD., Member : NSE)
  		NO LONGER AFFILIATED AS SUB-BROKER   CANCELLED REGISTRATION AS SUB-BROKER FROM 09-JAN-2008

09-JAN-2008 		 
304
History of entity/person AJAY KUMAR JAISWAL,M/S

(Sub-Broker of ANAGRAM SECURITIES LTD., Member : NSE)  
Click here to view complete history of this specific entity/person AJAY KUMAR JAISWAL
  		NO LONGER AFFILIATED AS SUB-BROKER   CANCELLED REGISTRATION AS SUB-BROKER FROM 09-JAN-2008

09-JAN-2008 		 
305
History of entity/person AJAY KUMAR KYAL

(Sub-Broker of MOTILAL OSWAL SECURITIES LTD., Member : NSE/BSE)  
Click here to view complete history of this specific entity/person AJAY KUMAR KYAL,M/S

(Sub-Broker of MOTILAL OSWAL SECURITIES LTD., Member : NSE/BSE)
  		NO LONGER AFFILIATED AS SUB-BROKER   CANCELLED REGISTRATION AS SUB-BROKER FROM 25-JUN-2011

25-JUN-2011 		 
306
History of entity/person AJAY KUMAR KYAL,M/S

(Sub-Broker of MOTILAL OSWAL SECURITIES LTD., Member : NSE/BSE)  
Click here to view complete history of this specific entity/person AJAY KUMAR KYAL
  		NO LONGER AFFILIATED AS SUB-BROKER   CANCELLED REGISTRATION AS SUB-BROKER FROM 25-JUN-2011

25-JUN-2011 		 
307
History of entity/person AJAY KUMAR MITTAL

(Sub-Broker of ANAGRAM CAPITAL LTD., Member : NSE)  
Click here to view complete history of this specific entity/person AJAY KUMAR MITTAL,M/S

(Sub-Broker of ANAGRAM CAPITAL LTD., Member : NSE)
  		NO LONGER AFFILIATED AS SUB-BROKER   CANCELLED REGISTRATION AS SUB-BROKER FROM 17-SEP-2010

17-SEP-2010 		 
308
History of entity/person AJAY KUMAR MITTAL,M/S

(Sub-Broker of ANAGRAM CAPITAL LTD., Member : NSE)  
Click here to view complete history of this specific entity/person AJAY KUMAR MITTAL
  		NO LONGER AFFILIATED AS SUB-BROKER   CANCELLED REGISTRATION AS SUB-BROKER FROM 17-SEP-2010

17-SEP-2010 		 
309
History of entity/person AJAY KUMAR R.DALMIA

(Sub-Broker of MOTILAL OSWAL SECURITIES LTD., Member : NSE/BSE)  
Click here to view complete history of this specific entity/person AJAY KUMAR R.DALMIA,M/S

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

11-JUN-2012 		 
310
History of entity/person AJAY KUMAR R.DALMIA,M/S

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

11-JUN-2012 		 
311
History of entity/person AJAY KUMAR SHARMA

(Sub-Broker of SWASTIKA INVESTMART LTD., Member : NSE)  
Click here to view complete history of this specific entity/person AJAY KUMAR SHARMA,M/S

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

07-FEB-2013 		 
312
History of entity/person AJAY KUMAR SHARMA

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

(Sub-Broker of ANAGRAM SECURITIES LTD., Member : NSE)
  		NO LONGER AFFILIATED AS SUB-BROKER   CANCELLED REGISTRATION AS SUB-BROKER FROM 09-JAN-2008

09-JAN-2008 		 
313
History of entity/person AJAY KUMAR SHARMA,M/S

(Sub-Broker of ANAGRAM SECURITIES LTD., Member : NSE)  
Click here to view complete history of this specific entity/person AJAY KUMAR SHARMA
  		NO LONGER AFFILIATED AS SUB-BROKER   CANCELLED REGISTRATION AS SUB-BROKER FROM 09-JAN-2008

09-JAN-2008 		 
314
History of entity/person AJAY KUMAR SHARMA,M/S

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

07-FEB-2013 		 
315
History of entity/person AJAY KUMAR VIJAY SHANKAR UPADHYAY

(Sub-Broker of SUSHIL FINANCIAL SERVICES PVT.LTD., Member : BSE/NSE)  
Click here to view complete history of this specific entity/person GOLDMINE CAPITAL

(Sub-Broker of SUSHIL FINANCIAL SERVICES PVT.LTD., Member : BSE/NSE)
  		IN THE PROCESS OF CANCELING SUB-BROKER REGISTRATION   CANCELLED REGISTRATION AS SUB-BROKER

04-JUN-2013 		 
316
History of entity/person AJAY M.BAROT

(Sub-Broker of ASIT C.MEHTA INVESTMENT INTERRMEDIATES LTD., Member : BSE/NSE)  
Click here to view complete history of this specific entity/person AJAY M.BAROT,M/S

(Sub-Broker of ASIT C.MEHTA INVESTMENT INTERRMEDIATES LTD., Member : BSE/NSE)
  		NO LONGER AFFILIATED AS SUB-BROKER   CANCELLED REGISTRATION AS SUB-BROKER

01-MAR-2012 		 
317
History of entity/person AJAY M.BAROT,M/S

(Sub-Broker of ASIT C.MEHTA INVESTMENT INTERRMEDIATES LTD., Member : BSE/NSE)  
Click here to view complete history of this specific entity/person AJAY M.BAROT
  		NO LONGER AFFILIATED AS SUB-BROKER   CANCELLED REGISTRATION AS SUB-BROKER

01-MAR-2012 		 
318
History of entity/person AJAY M.MISTRY

(Sub-Broker of J.L.SHAH SECURITIES PVT.LTD., Member : BSE)  
Click here to view complete history of this specific entity/person AJAY M.MISTRY,M/S

(Sub-Broker of J.L.SHAH SECURITIES PVT.LTD., Member : BSE)
  		NO LONGER AFFILIATED AS SUB-BROKER   CANCELLED REGISTRATION AS SUB-BROKER FROM 16-FEB-2005

16-FEB-2005 		 
319
History of entity/person AJAY M.MISTRY,M/S

(Sub-Broker of J.L.SHAH SECURITIES PVT.LTD., Member : BSE)  
Click here to view complete history of this specific entity/person AJAY M.MISTRY
  		NO LONGER AFFILIATED AS SUB-BROKER   CANCELLED REGISTRATION AS SUB-BROKER FROM 16-FEB-2005

16-FEB-2005 		 
320
History of entity/person AJAY MALHOTRA

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

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