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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 : 02-MAR-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.

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
61
History of entity/person DIMENSIONAL CAPITAL SERVICES PVT.LTD.  
  VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992

VIOLATED SECTION 17 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		 
62
History of entity/person ENDEE COMMERCIAL STOCK  
  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 		COMPOUNDED  
63
History of entity/person ENDEE COMMERCIAL STOCK

(Sub-Broker of FIRST NATIONAL SECURITIES (INDIA) 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 		 
64
History of entity/person EQUITY INVESTMENT  
  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 		 
65
History of entity/person EQUIWEALTH SECURITIES

(Sub-Broker of SSKI INVESTOR SERVICES 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 		 
66
History of entity/person ESS VEE ASSOCIATES

(Sub-Broker of KOTAK 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 		 
67
History of entity/person ESS VEE ASSOCIATES  
  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 		 
68
History of entity/person FIVE STAR CAPITAL SERVICES LTD.  
  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 		 
69
History of entity/person FORD BROTHERS CAPITAL SERVICES LTD.

(PAN:AAACF0757E)  
  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 		 
70
History of entity/person FORD BROTHERS CAPITAL SERVICES LTD.

(PAN:AAACF0757E)

(Sub-Broker of AMU SHARES & 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 		 
71
History of entity/person FORTUNE 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 		DISMISSED  
72
History of entity/person FORTUNE INVESTMENT

(Sub-Broker of K.M.JAIN STOCK BROKER 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 		 
73
History of entity/person G.LAKSHMINARAYANA  
Click here to view complete history of this specific entity/person G.LAKSHMINARAYANA,M/S
  		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 		 
74
History of entity/person G.LAKSHMINARAYANA,M/S  
Click here to view complete history of this specific entity/person G.LAKSHMINARAYANA
  		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 		 
75
History of entity/person GAGAN SECURITIES PVT.LTD.  
  INDULGED IN PRICE MANIPULATION THROUGH STRUCTURED TRANSACTIONS IN SCRIPS OF KINETIC CAPITAL SERVICES LTD. AND SHUBH INTERNATIONAL LTD.   DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-APR-2015 TO 12-APR-2018

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-APR-2015 TO 12-APR-2018

13-APR-2015 		 
76
History of entity/person GAJANAND AGGARWAL  
Click here to view complete history of this specific entity/person PRASNEETA CONSTRUCTIONS PVT.LTD.
  		AIDED AND ABETED ITS CLIENTS 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 		 
77
History of entity/person GANPATI FINSEC PVT.LTD.

(Sub-Broker of SAM GLOBAL SECURITIES LTD., Member : BSE)  
Click here to view complete history of this specific entity/person DEVENDER MITTAL
Click here to view complete history of this specific entity/person K.C.MITTAL
Click here to view complete history of this specific entity/person RITU MITTAL
  		ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION   DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-OCT-2005 TILL FURTHER ORDERS

05-OCT-2005 		SEBI VIDE ORDER DATED 28/09/2007 REDUCED THE DEBARED PERIOD FOR 3 YEARS I.E. FROM 05/10/2005 TO 04/10/2008

SEBI VIDE ORDER DATED 28/09/2007 DIRECTED CDSL TO VERIFY OWNERSHIP OF SHARES AND ENSURE TRANSFER OF SHARES IN THE RESPECTIVE DEMAT ACCOUNT

SAT: ORDER MODIFIED BY REDUCING PERIOD OF DEBARMENT FROM 3 YEARS TO 6 MONTHS, AS APPELLANT HAVE ALREADY UNDERGONE PUNISHMENT MORE THAN THIS, APPEAL DISPOSED OF  
78
History of entity/person GOEL INVESTOR  
  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 		 
79
History of entity/person GOPI INVESTMENT

(Sub-Broker of ACME SHARE & STOCK 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 		 
80
History of entity/person GOPI 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 		THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.1,00,000 AS THE COMPOUNDINGCHARGES BY THE ACCUSED  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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