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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 : 10-SEP-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.

STOCK BROKERS: DID NOT ADHERE TO PROVISION REGULATION OF SEBI

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
321
History of entity/person MUTUAL FINANCIAL SERVICES LTD.

(Member : OTC)  
  DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED

DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992   		CANCELLED REGISTRATION AS STOCK BROKER FROM 22-JUN-2004

22-JUN-2004 		 
322
History of entity/person N.K.MANGLA & CO.

(Member : MNGSE)  
Click here to view complete history of this specific entity/person NARESH KUMAR MANGALA
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 16-JUL-2004

16-JUL-2004 		 
323
History of entity/person N.KAUL & ASSOCIATES

(Member : JSE)  
  DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 08-FEB-2007

08-FEB-2007 		 
324
History of entity/person N.S.K.SECURITIES

(Member : HSE)  
  DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 30-JUN-2004

30-JUN-2004 		 
325
History of entity/person N.SIDDHURAJAN,M/S

(Member : CMBSE)

(Along with : NETMORE INVESTMENTS)  
Click here to view complete history of this specific entity/person N.SIDDHURAJAN
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002

22-OCT-2002 		 
326
History of entity/person NAGARJUNA SECURITIES LTD.

(Member : OTC)  
  DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 03-SEP-2004

03-SEP-2004 		 
327
History of entity/person NAGARJUNA SECURITIES LTD.

(Member : NSE)  
  DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 28-FEB-2005

28-FEB-2005 		 
328
History of entity/person NAGINDAS C.SHAH,M/S

(Member : ASE)  
Click here to view complete history of this specific entity/person NAGINDAS C.SHAH
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 10-APR-2002

10-APR-2002 		 
329
History of entity/person NANDA SHARES CONSULTANTS

(Member : UPSE)  
Click here to view complete history of this specific entity/person ANIL KUMAR NANDA
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 06-DEC-2004

06-DEC-2004 		 
330
History of entity/person NANDANI & CO.

(Member : VSE)  
Click here to view complete history of this specific entity/person KIRTI MANSUKHLAL NANDANI
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 29-OCT-2004

29-OCT-2004 		 
331
History of entity/person NANJIBHAI L.CHOVATIA,M/S

(Member : SKSE)  
Click here to view complete history of this specific entity/person NANJIBHAI L.CHOVATIA
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 13-MAY-2002

13-MAY-2002 		 
332
History of entity/person NAQVI & CO.

(Member : UPSE)  
Click here to view complete history of this specific entity/person ABID HUSSAIN NAQVI
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 29-SEP-2004

29-SEP-2004 		 
333
History of entity/person NARESH DUA & CO.

(Member : LSE)  
Click here to view complete history of this specific entity/person AMITA DUA
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 18-SEP-2004

18-SEP-2004 		 
334
History of entity/person NARESH PRANLAL BHUKANWALA,M/S

(Member : MNGSE)  
Click here to view complete history of this specific entity/person NARESH PRANLAL BHUKANWALA
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 16-JUL-2004

16-JUL-2004 		 
335
History of entity/person NATH SECURITIES LTD.

(PAN:AAACN1475H)

(Member : OTC)  
  DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED

DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992   		CANCELLED REGISTRATION AS STOCK BROKER FROM 22-JUN-2004

22-JUN-2004 		 
336
History of entity/person NAVAL KISHORE V.SHARMA,M/S

(Member : COCSE)  
Click here to view complete history of this specific entity/person NAVAL KISHORE V.SHARMA
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 06-DEC-2004

06-DEC-2004 		 
337
History of entity/person NAVEEN FERNANDES,M/S

(Member : MNGSE)  
Click here to view complete history of this specific entity/person NAVEEN FERNANDES
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 05-NOV-2002

05-NOV-2002 		 
338
History of entity/person NAVKETAN MERCHANTS LTD.

(Member : OTC)  
  DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED

DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992   		CANCELLED REGISTRATION AS STOCK BROKER FROM 22-JUN-2004

22-JUN-2004 		 
339
History of entity/person NAYANKUMAR RASIKLAL CHOKSHI,M/S

(Member : ASE)  
Click here to view complete history of this specific entity/person NAYANKUMAR RASIKLAL CHOKSHI
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 03-SEP-2004

03-SEP-2004 		 
340
History of entity/person NCM NEHA SECURITIES LTD.

(Member : NSE)  
  DID NOT PAY FEES TO SEBI

DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED   		CANCELLED REGISTRATION AS STOCK BROKER FROM 23-JAN-2008

23-JAN-2008 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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