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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 : 28-AUG-2025

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.

UN-AUTHORISED SUB-BROKERS: ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
21
History of entity/person AMIT BANSAL  
Click here to view complete history of this specific entity/person AMIT BANSAL,M/S
  		INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SHAMKEN MULTIFAB LTD.

ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION   		DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-DEC-2014 TO 08-DEC-2015

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-DEC-2014 TO 08-DEC-2015

09-DEC-2014 		 
22
History of entity/person AMIT BANSAL,M/S  
Click here to view complete history of this specific entity/person AMIT BANSAL
  		INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SHAMKEN MULTIFAB LTD.

ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION   		DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-DEC-2014 TO 08-DEC-2015

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-DEC-2014 TO 08-DEC-2015

09-DEC-2014 		 
23
History of entity/person ANJU & CO.  
  VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		 
24
History of entity/person APPOLLO SINDHOORI CAPITAL INVESTMENT LTD.

(Along with : PATNI SHARES & DERIVATIVES CO.)  
  ALLEGED NOT RESPONDING TO LETTERS/SUMMONS ISSUED BY SEBI

ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION   		DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-JUL-2007 TO 05-JUL-2009

06-JUL-2007 		 
25
History of entity/person ASHISH DHIRAWANI  
Click here to view complete history of this specific entity/person ISHITA INVESTMENTS
  		ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION   WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

29-APR-2009 		 
26
History of entity/person ASHISH PATNI  
Click here to view complete history of this specific entity/person PATNI SHARES & DERIVATIVES CO.
  		ALLEGED NOT RESPONDING TO LETTERS/SUMMONS ISSUED BY SEBI

ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION   		DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-JUL-2007 TO 05-JUL-2009

06-JUL-2007 		 
27
History of entity/person ASHOK GOEL  
Click here to view complete history of this specific entity/person BALAJI & CO.

PAN:AAMFB5175B
  		VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		 
28
History of entity/person ATUL AGARWAL & CO.  
  VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		 
29
History of entity/person AYUSH & CO.  
  CREATED ARTIFICIAL INCREASE IN PRICE IN SCRIP OF GCCL INFRASTRUCTURE & PROJECTS LTD.

DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER   		DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-OCT-2002 TO 19-OCT-2003

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-OCT-2002 TO 19-OCT-2003

14-OCT-2002 		 
30
History of entity/person B.L.INVESTMENT

(Sub-Broker of ULTRACARE SECURITIES PVT.LTD, Member : DSE)  
  DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER   DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-JUL-2003

07-JUL-2003 		 
31
History of entity/person B.L.INVESTMENT  
  VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		 
32
History of entity/person BALACHANDRA HEGDE

(Sub-Broker of ALACRITY SECURITIES LTD., Member : NSE)  
Click here to view complete history of this specific entity/person BALACHANDRA HEGDE,M/S

(Sub-Broker of ALACRITY SECURITIES LTD., Member : NSE)
  		DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER   DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-JUL-2003

07-JUL-2003 		 
33
History of entity/person BALACHANDRA HEGDE  
Click here to view complete history of this specific entity/person BALACHANDRA HEGDE,M/S
  		VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		 
34
History of entity/person BALACHANDRA HEGDE,M/S

(Sub-Broker of ALACRITY SECURITIES LTD., Member : NSE)  
Click here to view complete history of this specific entity/person BALACHANDRA HEGDE
  		DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER   DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-JUL-2003

07-JUL-2003 		 
35
History of entity/person BALACHANDRA HEGDE,M/S  
Click here to view complete history of this specific entity/person BALACHANDRA HEGDE
  		VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		 
36
History of entity/person BALAJI & CO.

(PAN:AAMFB5175B)  
Click here to view complete history of this specific entity/person ASHOK GOEL
Click here to view complete history of this specific entity/person RAMESH GOEL
Click here to view complete history of this specific entity/person VINAY GOEL
  		VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		 
37
History of entity/person BAPNA INVESTMENTS & CONSULTANCY SERIVCES PVT.LTD.

(Sub-Broker of PRAMODKUMAR JAIN SECURITIES PVT.LTD., Member : BSE)  
  DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER   DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-JUL-2003

07-JUL-2003 		 
38
History of entity/person BAPNA INVESTMENTS & CONSULTANCY SERIVCES PVT.LTD.  
  VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		 
39
History of entity/person BCS FINANCIAL SERVICES  
  VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		 
40
History of entity/person BDS SHARE BROKERS PVT.LTD.

(PAN:AACCB0124D)  
  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF-TRADES IN SCRIP OF NAGPUR POWER & INDUSTRIES LTD.   IMPOSED PENALTY RS.7,00,000

09-SEP-2020 		SAT: SAT VIDE ITS ORDER DATED 13/05/2022 ALLOWED THE APPEAL AND QUASHED AND SET ASIDE IMPUGNED ORDER DATED 09/09/2020.NO COSTS  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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