| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
20TH CENTURY SECURITIES LTD.
(Member : NSE/BSE/OTC)
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF GLOBAL TRUST BANK LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF GLOBAL TRUST BANK LTD.
PARKED SHARES TO CIRCUMVENT SEBI TAKEOVER CODE, 1997
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2002 TILL INVESTIGATION COMPLETED
31-DEC-2002
|
INTERIM ORDER DATED 31/12/2002 REVOKED BY SEBI
|
| 2 |
|
|
5PAISA CAPITAL LTD.
(PAN:AABCI7142M)
(Member : NSE/BSE)
|
|
|
MADE INCORRECT AND/OR DID NOT REPORT ENHANCED SUPERVISION OF DATA TO STOCK EXCHANGES
DID NOT PROVIDE CORRECT DATA TO STOCK EXCHANGE UNDER RISK-BASED SUPERVISION
MADE INCORRECT REPORTING OF TRADING TERMINAL LOCATION TO STOCK EXCHANGES
MADE INCORRECT REPORTING OF LOCATION OF AUTHORISED PERSONS
COLLECTED INADEQUATE MARGIN UNDER MARGIN TRADING FACILITY FROM CLIENTS
DID NOT ADHERE TO CYBER SECURITY REQUIREMENTS
DID NOT REPORT TECHNICAL GLITCHES TO STOCK EXCHANGES
|
IMPOSED PENALTY RS.8,00,000
31-OCT-2024
|
|
| 3 |
|
|
5PAISA CAPITAL LTD.
(PAN:AABCI7142M)
(Member : MCX)
|
|
|
UPLOADED WRONG/MISMATCHED UNIQUE CLIENT CODE (UCC) DATA IN MCX PLATFORM INCLUDING SIKKIM BASED CLIENTS VIOLATING REGULATION 9(F) READ WITH CLAUSE A(2) OF CODE OF CONDUCT SPECIFIED IN SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
IMPOSED PENALTY RS.2,00,000
30-JUL-2024
|
SAT: SAT VIDE ITS ORDER DATED 13/11/2024 GRANTED APPELLANT A WEEK TO FILE REJOINDER
|
| 4 |
|
|
A & P CAPITAL SERVICES PVT.LTD.
(Member : COCSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 5 |
|
|
A C AGARWAL COMMODITIES PVT.LTD.
(PAN:AAJCA3827B)
(Member : NSEL)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 26-JUL-2023
26-JUL-2023
|
|
| 6 |
|
|
A C AGARWAL SHARE BROKERS PVT.LTD.
(PAN:AAFCA6859H)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 7 |
|
|
A&A INVESTMENTS
(Member : UPSE)
|
|
|
|
PAWAN KUMAR AGARWAL
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 29-SEP-2004
29-SEP-2004
|
|
| 8 |
|
|
A.A.DOSHI SHARE & STOCK BROKERS LTD.
(Member : BSE)
|
|
|
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
DEALT WITH UN-REGISTERED SUB-BROKERS
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
28-DEC-2005
|
|
| 9 |
|
|
A.A.MATHEW
|
|
|
|
MANU INVESTMENTS
(Member : COCSE)
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-MAR-2007 TO 06-SEP-2007
07-MAR-2007
|
|
| 10 |
|
|
A.ACHUTHAN
|
|
|
|
A.ACHUTHAN,M/S
(Member : COCSE)
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 27-AUG-2004
27-AUG-2004
|
|
| 11 |
|
|
A.ACHUTHAN,M/S
(Member : COCSE)
|
|
|
|
A.ACHUTHAN
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 27-AUG-2004
27-AUG-2004
|
|
| 12 |
|
|
A.C.AGARWAL SHARE BROKERS PVT.LTD.
(Member : BSE/NSE)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
|
IMPOSED PENALTY RS.5,00,000
12-JUL-2019
|
|
| 13 |
|
|
A.C.CHOKSI SHARE BROKERS PVT.LTD.
(PAN:AABCA3464E)
(Member : BSE/NSE/MCX)
|
|
|
DELAY IN UPDATING ITS ANTI MONEY LAUNDERING (AML)/COMBATING FINANCING OF TERRORISM (CFT) POLICY VIOLATING SEBI CIRCULAR CIR/MIRSD/2/2013 DATED 24/01/2013 AND VIOLATING REGULATION 9(F) READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992
DID NOT SETTLE RUNNING ACCOUNT OF ITS CLIENTS VIOLATING OF SEBI CIRCULARS NO.MIRSD/SE/CIR-19/2009 DATED 03/12/2009, MIRSD/SE/CIR-5/2010 DATED 31/03/2010, NSE CIRCULAR NSE/INSP/14048 DATED 03/02/2010, NSE/INSP/21651 DATED 07/09/2012, NSE/INSP/24849 DATED 29/10/2013 AND VIOLATING REGULATION 9(F) READ WITH CLAUSES A(2) AND (5) OF CODE OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992
DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES
|
IMPOSED PENALTY RS.11,00,000
02-MAY-2018
|
|
| 14 |
|
|
A.G.SHARES & SECURITIES LTD.
(PAN:AAACA7646M)
(Member : NSE)
|
|
|
INDULGED IN UNAUTHORISED TRADES VIOLATING REGULATION 9 READ WITH CLAUSES A(1) AND A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF PIPAPAV DEFENCE & OFFSHORE ENGINEERING LTD., PARSVNATH DEVELOPERS LTD., TULIP TELECOM LTD. AND GLODYNE TECHNOSERVE LTD.
INDULGED IN UNAUTHORISED TRADES VIOLATING REGULATIONS 4(1) AND 4(2)(M) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF PIPAPAV DEFENCE & OFFSHORE ENGINEERING LTD., PARSVNATH DEVELOPERS LTD., TULIP TELECOM LTD. AND GLODYNE TECHNOSERVE LTD.
|
IMPOSED PENALTY RS.3,00,000
29-DEC-2020
|
|
| 15 |
|
|
A.G.SHARES & SECURITIES LTD.
(PAN:AAACA7646M)
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
SAT: APPEAL FOR CONDONATION OF DELAY REJECTED. APPEAL DISMISSED WITH NO ORDER AS TO COSTS
SAT: APPEAL FOR CONDONATION OF DELAY DISMISSED WITH NO ORDER AS TO COSTS
SAT: APPEAL DISMISSED WITH COST OF RS.10000 TO BE PAID BY APPELLANT TO SEBI WITHIN A PERIOD OF FOUR WEEKS FROM THE DATE OF THIS ORDER
SEBI VIDE ITS NOTICE DATED 16/06/2014 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS ORDER DATED 26/06/2014 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS/LOCKERS AND DEMAT ACCOUNTS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 16/06/2014
SAT: APPEAL DISMISSED. NO COSTS
|
| 16 |
|
|
A.JAIN & CO.PVT.LTD.
(Member : DSE)
|
|
|
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DEFAULTED IN MAINTENANCE OF STOCK REGISTER
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 13-MAR-2003 TO 12-SEP-2003
07-MAR-2003
|
|
| 17 |
|
|
A.JOB & CO.
(Member : COCSE)
|
|
|
|
ANTHONY JOB
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 16-FEB-2005
16-FEB-2005
|
|
| 18 |
|
|
A.K.AGARWAL & CO.
(Member : JSE)
|
|
|
|
ASHOK KUMAR AGARWAL
|
|
DEFAULTED IN MAINTENANCE OF SAUDA BOOK
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT RECTIFY BAD DELIVERIES IN TIME
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
06-JAN-2000
|
|
| 19 |
|
|
A.K.AHILAN
|
|
|
|
PRIYA ENTERPRISES
(Member : CMBSE)
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 24-MAY-1999
24-MAY-1999
|
|
| 20 |
|
|
A.K.FINANCIAL CO.
(Member : BHSE/ICSE)
|
|
|
|
ANJANI KUMAR SINGH
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-DEC-2004
30-DEC-2004
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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