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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: CERTIFICATE OF REGISTRATION EXPIRED/SURRENDERED/CEASED/SUSPENDED

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
281
History of entity/person ALPESH H.SHAH,M/S

(Sub-Broker of LATIN MANHARLAL SECURITIES PVT.LTD., Member : BSE/NSE)  
Click here to view complete history of this specific entity/person ALPESH HASMUKHLAL SHAH
  		SUB-BROKER REGISTRATION TERMINATED BY BROKER   CANCELLED REGISTRATION AS SUB-BROKER FROM 31-OCT-2011

24-NOV-2011 		 
282
History of entity/person ALPESH MODI,M/S

(Sub-Broker of INDIA CAPITAL MARKETS PVT.LTD., Member : BSE)  
Click here to view complete history of this specific entity/person ALPESH MODI
  		NO LONGER AFFILIATED AS SUB-BROKER   CANCELLED REGISTRATION AS SUB-BROKER FROM 04-AUG-2009

04-AUG-2009 		 
283
History of entity/person ALPESH RAMESHBHAI BHATTI,M/S

(Sub-Broker of DANI SHARES & STOCKS PVT.LTD., Member : NSE)  
Click here to view complete history of this specific entity/person ALPESH RAMESHBHAI BHATTI
  		NO LONGER AFFILIATED AS SUB-BROKER   CANCELLED REGISTRATION AS SUB-BROKER

05-MAR-2015 		 
284
History of entity/person ALPESHKUMAR J.SHAH,M/S

(Sub-Broker of EDELWEISS STOCK BROKING LTD., Member : BSE)  
Click here to view complete history of this specific entity/person ALPESHKUMAR J.SHAH
  		NO LONGER AFFILIATED AS SUB-BROKER   CANCELLED REGISTRATION AS SUB-BROKER

14-MAR-2012 		 
285
History of entity/person ALPHA CAPITAL MANAGEMENT

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

20-FEB-2012 		 
286
History of entity/person ALPHA PECIFIC ENGINEERS PVT.LTD.

(Sub-Broker of INDIA INFOLINE LTD., Member : BSE)  
  NO LONGER AFFILIATED AS SUB-BROKER   CANCELLED REGISTRATION AS SUB-BROKER

23-MAY-2012 		 
287
History of entity/person ALS CONSULTANTS

(Sub-Broker of RELIANCE SECURITIES LTD., Member : BSE)  
Click here to view complete history of this specific entity/person NEENA AGGARWAL
  		NO LONGER AFFILIATED AS SUB-BROKER   CANCELLED REGISTRATION AS SUB-BROKER

24-MAR-2012 		 
288
History of entity/person ALURI SRINU,M/S

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

23-JUL-2012 		 
289
History of entity/person AM CONSULTANTS

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

10-MAR-2016 		 
290
History of entity/person AMAL MUKHERJEE,M/S

(Sub-Broker of MOTILAL OSWAL SECURITIES LTD., Member : NSE/BSE)  
Click here to view complete history of this specific entity/person AMAL MUKHERJEE
  		NO LONGER AFFILIATED AS SUB-BROKER   CANCELLED REGISTRATION AS SUB-BROKER FROM 22-NOV-2008

22-NOV-2008 		 
291
History of entity/person AMAL SAHA,M/S

(Sub-Broker of MOTILAL OSWAL SECURITIES LTD., Member : BSE/NSE)  
Click here to view complete history of this specific entity/person AMAL SAHA
  		NO LONGER AFFILIATED AS SUB-BROKER   CANCELLED REGISTRATION AS SUB-BROKER FROM 26-AUG-2010

26-AUG-2010 		 
292
History of entity/person AMAN FINANCIAL SERVICES

(Sub-Broker of RELIANCE SECURITIES LTD., Member : NSE/BSE)  
  NO LONGER AFFILIATED AS SUB-BROKER   CANCELLED REGISTRATION AS SUB-BROKER FROM 01-APR-2017

14-MAR-2017 		 
293
History of entity/person AMAN SAWHNEY,M/S

(Sub-Broker of RELIANCE SECURITIES LTD., Member : BSE/NSE)  
Click here to view complete history of this specific entity/person AMAN SAWHNEY
  		NO LONGER AFFILIATED AS SUB-BROKER   CANCELLED REGISTRATION AS SUB-BROKER

19-JAN-2012 		 
294
History of entity/person AMAR SARAF,M/S

(Sub-Broker of SMC GLOBAL SECURITIES LTD., Member : BSE)  
Click here to view complete history of this specific entity/person AMAR SARAF
  		NO LONGER AFFILIATED AS SUB-BROKER   CANCELLED REGISTRATION AS SUB-BROKER

04-FEB-2012 		 
295
History of entity/person AMAR STOCK BROKING

(Sub-Broker of SMC GLOBAL SECURITIES LTD., Member : BSE)  
  NO LONGER AFFILIATED AS SUB-BROKER   CANCELLED REGISTRATION AS SUB-BROKER

20-FEB-2012 		 
296
History of entity/person AMBE FINANCIAL SOLUTIONS

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

10-MAR-2012 		 
297
History of entity/person AMBICA INVESTMENTS

(Sub-Broker of ANUGRAH STOCK & BROKING PVT.LTD., Member : BSE/NSE)  
  NO LONGER AFFILIATED AS SUB-BROKER   CANCELLED REGISTRATION AS SUB-BROKER

04-MAR-2013 		 
298
History of entity/person AMBIENCE TECHNOLOGIES PVT.LTD.

(CIN:U72900WB2004PTC097634)

(Sub-Broker of EDELWEISS STOCK BROKING LTD., Member : BSE)  
  NO LONGER AFFILIATED AS SUB-BROKER   CANCELLED REGISTRATION AS SUB-BROKER

14-MAR-2012 		 
299
History of entity/person AMBIKA INVESTMENTS

(Sub-Broker of IL&FS INVESTSMART SECURITIES LTD., Member : NSE/BSE)  
  NO LONGER AFFILIATED AS SUB-BROKER   CANCELLED REGISTRATION AS SUB-BROKER FROM 30-JAN-2009

30-JAN-2009 		 
300
History of entity/person AMBIKA SECURITIES

(Sub-Broker of SAMRUDDHI FINSTOCK LTD., Member : NSE)  
Click here to view complete history of this specific entity/person KAUSHAL A.GANDHI
  		NO LONGER AFFILIATED AS SUB-BROKER   CANCELLED REGISTRATION AS SUB-BROKER

03-FEB-2012 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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