| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 341 |
|
GALAXY BROKING LTD.
(PAN:AABCG5457B)
(Member : BSE)
|
|
|
ACTED IN CONCERT WITH OTHER BROKERS/CLIENTS TO CREATE ARTIFICIAL MARKET AND PRICE RISE THROUGH CROSS DEALS AND BULK DEALS IN SCRIP OF IND TRA DECO LTD.
NON-COOPERATIVE AND DEFIANT ATTITUDE HAMPERING SEBI IN DISCHARGING ITS STATUTORY FUNCTIONS
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-OCT-2005 TILL FURTHER ORDERS
IMPOSED PENALTY RS.10,00,000
05-OCT-2005
|
DIRECTED THAT INTERIM ORDER DATED 05/10/2005 SHALL REMAIN IN FORCE TILL FINAL ORDERS PASSED BY SEBI
|
| 342 |
|
|
GALAXY BROKING LTD.
(PAN:AABCG5457B)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KARUNA CABLES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-NOV-2005 TILL FURTHER ORDERS
29-NOV-2005
|
CONFIRMED INTERIM ORDER DATED 29/11/2005
|
| 343 |
|
|
GALAXY BROKING LTD.
(PAN:AABCG5457B)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR/SYNCHRONIZED/STRUCTURED DEALS AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF SYSTEL INFOTECH LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SYSTEL INFOTECH LTD.
|
IMPOSED PENALTY RS.2,00,000
09-FEB-2011
|
INCLUDED IN SEBI LIST DATED 30/09/2013, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 344 |
|
|
GALAXY BROKING LTD.
(PAN:AABCG5457B)
(Member : BSE)
|
|
|
AIDED AND ABETED ITS CLIENTS IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF T.SPIRITUAL WORLD LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A (1) TO A (5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF T.SPIRITUAL WORLD LTD.
|
IMPOSED PENALTY RS.1,75,000
04-SEP-2012
|
SEBI VIDE ITS ORDER DATED 08/08/2017 CONFIRMED THAT THE NOTICE HAS PAID THE PENALTIES DUE TO SEBI. FURTHER, SEBI WARNED NOTICEE TO BE MORE CAUTIOUS IN FUTURE AND ALSO PROMPTLY RESPOND TO THE NOTICES AND COMMUNICATION FROM SEBI
|
| 345 |
|
|
GALAXY BROKING LTD.
(PAN:AABCG5457B)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF HIT KIT GLOBAL SOLUTIONS LTD. (FORMERLY KNOWN AS SUN BEAM INFOTECH LTD.)
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLY WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF HIT KIT GLOBAL SOLUTIONS LTD. (FORMERLY KNOWN AS SUN BEAM INFOTECH LTD.)
|
IMPOSED PENALTY RS.5,00,000
30-NOV-2010
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 07/07/2014 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 12/12/2014 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 07/07/2014
SEBI VIDE ITS ORDER DATED 08/08/2017 CONFIRMED THAT THE NOTICE HAS PAID THE PENALTIES DUE TO SEBI. FURTHER, SEBI WARNED NOTICEE TO BE MORE CAUTIOUS IN FUTURE AND ALSO PROMPTLY RESPOND TO THE NOTICES AND COMMUNICATION FROM SEBI
|
| 346 |
|
|
GALAXY BROKING LTD.
(PAN:AABCG5457B)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR TRANSACTIONS/REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF GRAVITY INDIA LTD.
FAILED IN MAINTAINING INTEGRITY, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLIED WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF GRAVITY INDIA LTD.
|
IMPOSED PENALTY RS.4,00,000
27-NOV-2009
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
INCLUDED IN SEBI LIST DATED 30/06/2012, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 347 |
|
|
GALAXY BROKING LTD.
(PAN:AABCG5457B)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND CIRCULAR TRANSACTIONS AND REVERSAL OF TRADE TRANSACTONS IN SCRIP OF KRBL LTD.
DID NOT MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE ,INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF KRBL LTD.
|
IMPOSED PENALTY RS.2,50,000
15-MAR-2010
|
INCLUDED IN SEBI LIST DATED 30/09/2010, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 348 |
|
|
GALAXY BROKING LTD.
(PAN:AABCG5457B)
(Member : BSE)
|
|
|
|
ANIL AMRUITLAL GANDHI
PAN:ACIPG8954B
|
|
ACTED IN CONCERT WITH ITS CLIENTS AND PROMOTERS OF COMPANIES/INTER CONNECTED ENTITIES TO CREATE ARTIFICIAL MARKET AND PRICE RISE IN CASE OF MANY COMPANIES
DID NOT ADHERE TO "KNOW YOUR CLIENT" DIRECTIVES/INSTRUCTIONS/GUIDELINES
DID NOT EXERCISE DUE SKILL AND DILIGENCE WHILE OPENING CLIENTS' ACCOUNTS
INDULGED IN INDIRECT FUNDING TO CLIENTS
DID NOT EXPLAIN VARIOUS AMOUNTS SHOWN IN CREDIT SIDE OF ITS BOOKS OF ACCOUNTS
DID NOT ENTER INTO TRIPARTITE AGREEMENT WITH CLIENTS COMING THROUGH SUB-BROKERS
PERMITTED TRADING TERMINALS AT UNAUTHORISED LOCATIONS
DID NOT ADHERE TO CONDITIONS OF PROVISIONAL REGISTRATION
DEALT WITH UN-REGISTERED SUB-BROKERS
DEALT IN CASH WITH CLIENTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 24-JAN-2006 TILL FURTHER ORDERS
24-JAN-2006
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
07-JAN-2008
|
CONFIRMED AD-INTERIM ORDER DATED 24/01/2006 AND DIRECTED DEPOSITORIES NO TO GIVE EFFECT TO ANY TRANSFER OF SHARES OF THE COMPANIES AS PER TABLE 1 IN ORDER, LYING IN THE BENEFICIAL OWNER ACCOUNTS OF CLIENTS, AS PER ORDER DATED 21/12/2006
AD-INTERIM ORDER DATED 24/01/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.1,00,000 TOWARDS SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 07/01/2008
|
| 349 |
|
|
GALAXY BROKING LTD.
(PAN:AABCG5457B)
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(2) AND A(3) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF GENUS COMMU-TRADE LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF GENUS COMMU-TRADE LTD.
|
IMPOSED PENALTY RS.75,000
30-DEC-2010
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 350 |
|
|
GALAXY BROKING LTD.
(PAN:AABCG5457B)
(Member : BSE)
|
|
|
ASSISTED/ABETTED IN CREATING ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF ENRICH INDUSTRIES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 15-FEB-2006 TO 14-MAY-2006
25-JAN-2006
|
|
| 351 |
|
|
GAUTAMBHAI NANUBHAI JHAVERI,M/S
(PAN:ADAPJ5993J)
(Member : ASE)
|
|
|
|
GAUTAM NANUBHAI JHAVERI
PAN:ADAPJ5993J
|
|
FACILITATED ALLOTMENT OF PREFERENTIAL SHARES TO CERTAIN ENTITIES WITHOUT INFUSION OF MONEY AND SUBSEQUENTLY CREATED ARTIFICIAL MARKET BY TRADING ON BEHALF OF PROMOTERS & RELATED ENTITIES TO OFFLOAD THEIR SHARES AT INFLATED PRICE TO GENUINE INVESTORS IN MATTER OF OJAS TECHNOCHEM PRODUCTS LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS & SUB-BROKERS) REGULATIONS, 1992 IN MATTER OF OJAS TECHNOCHEM PRODUCTS LTD.
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 22-OCT-2014 TO 21-APR-2015
01-OCT-2014
|
|
| 352 |
|
|
GAUTAMBHAI NANUBHAI JHAVERI,M/S
(PAN:ADAPJ5993J)
(Member : ASE)
|
|
|
|
GAUTAM NANUBHAI JHAVERI
PAN:ADAPJ5993J
|
|
AIDED AND ABETTED PREFERENTIAL ALLOTTEES, BROKERS/SUB-BROKERS AND CLIENTS IN OFFLOADING UNLISTED SHARES OF SOFTRACK TECHNOLOGY EXPORTS LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 17-MAY-2012 TO 16-NOV-2012
26-APR-2012
|
|
| 353 |
|
|
GAUTAMBHAI NANUBHAI JHAVERI,M/S
(PAN:ADAPJ5993J)
(Member : ASE)
|
|
|
|
GAUTAM NANUBHAI JHAVERI
PAN:ADAPJ5993J
|
|
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
AIDED AND ABETTED SHAH IN CREATION OF FALSE MARKET IN SCRIP OF SAWACA BUSINESS MACHINES LTD.
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 28-OCT-2004
08-OCT-2004
|
SAT: IMPUGNED ORDER MODIFIED AND APPEAL DISPOSED OFF
|
| 354 |
|
|
GAUTAMBHAI NANUBHAI JHAVERI,M/S
(PAN:ADAPJ5993J)
(Member : ASE)
|
|
|
|
GAUTAM NANUBHAI JHAVERI
PAN:ADAPJ5993J
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH MATCHED AND CIRCULAR TRANSACTIONS IN SCRIP OF MANNA GLASS TECH INDUSTRIES LTD.
FACILIATATED PROMOTERS AND NON-PROMOTERS ALLOTTEES IN OFFLOADING 24,82,500 SHARES OF MANNA GLASS TECH INDUSTRIES LTD. AND HELPED THEM IN REALIZATION OF RS.87 LACS FROM SALE OF THESE SHARES
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 22-OCT-2014 TO 21-DEC-2014
30-OCT-2014
|
|
| 355 |
|
|
GAZI SECURITIES LTD.
(Member : NSE)
|
|
|
|
MUNIR ABDULLATIF GAZI
|
|
ACTED IN CONNIVANCE WITH VINAYAK INVESTMENTS GROUP AND PROMOTERS OF HITECHI JEWELLERY INDUSTRIES LTD. IN COMMITTING IRREGULARITIES IN THE PUBLIC ISSUE OF HITECHI JEWELLERY INDUSTRIES LTD.
ACTED IN CONNIVANCE WITH VINAYAK INVESTMENTS GROUP AND PROMOTERS OF HITECHI JEWELLERY INDUSTRIES LTD. IN PRICE MANIPULATION IN SCRIP OF HITECHI JEWELLERY INDUSTRIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 16-JUL-2003 TO 15-JUL-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-JUL-2003 TO 15-JUL-2005
16-JUL-2003
|
|
| 356 |
|
|
GEOMETRY VANIJYA PVT.LTD.
(PAN:AACCG6000B)
(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
|
|
| 357 |
|
|
GEOMETRY VANIJYA PVT.LTD.
(PAN:AACCG6000B)
(Member : USEIL)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH REVERSAL OF TRADE AND FICTITIOUS TRANSACTIONS IN STOCK OPTIONS UNDER EQUITY DERIVATIVE SEGMENT
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-FEB-2016 TILL FURTHER ORDERS
17-FEB-2016
|
SAT: SAT VIDE ITS ORDER DATED 04/03/2016 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 17/02/2016 AND DIRECTED SEBI TO INITIATE PROCEEDINGS IN ACCORDANCE WITH LAW AND PASS ORDER AS IT DEEMED FIT. NO COSTS
SEBI VIDE ITS ORDER DATED 12/08/2016 BROUGHT ON RECORD THAT TRADING MEMBER HAVE VOLUNTARILY CLOSED THE BUSINESS AT BSE EQUITY DERIVATIVES SEGMENT W.E.F. 13/04/2016
SEBI VIDE ITS ORDER DATED 12/08/2016 DIRECTED TRADING MEMBERS TO CO-OPERATE WITH SEBI IN THE ON-GOING INVESTIGATION AND PROVIDE ALL THE INFORMATION AND DOCUMENTS THAT MAY BE SOUGHT BY SEBI IN THIS REGARD
|
| 358 |
|
|
GIRIRAJ STOCK BROKING PVT.LTD.
(PAN:AACCG7581R)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH REVERSAL OF TRADE AND FICTITIOUS TRANSACTIONS IN STOCK OPTIONS UNDER EQUITY DERIVATIVE SEGMENT
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-FEB-2016 TILL FURTHER ORDERS
17-FEB-2016
|
SAT: SAT VIDE ITS ORDER DATED 14/03/2016 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 17/02/2016 AND DIRECTED SEBI TO INITIATE PROCEEDINGS IN ACCORDANCE WITH LAW AND PASS APPROPRIATE ORDER THEREON AS IT DEEMED FIT. NO COSTS
SEBI VIDE ITS ORDER DATED 12/08/2016 DIRECTED TRADING MEMBERS TO CO-OPERATE WITH SEBI IN THE ON-GOING INVESTIGATION AND PROVIDE ALL THE INFORMATION AND DOCUMENTS THAT MAY BE SOUGHT BY SEBI IN THIS REGARD
|
| 359 |
|
|
GIRIRAJ STOCK BROKING PVT.LTD.
(PAN:AACCG7581R)
(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
|
|
| 360 |
|
|
GKK CAPITAL MARKETS PVT.LTD.
(PAN:AAACG9906E)
(Member : CSE)
|
|
|
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF ORIENT TRADE LINK LTD.
AIDED AND ABETED ITS CLIENTS IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH MATCHING TRADES IN SCRIP OF ORIENT TRADELINK LTD.
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 21-AUG-2013 TO 20-SEP-2013
31-JUL-2013
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
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| Page 18 of 62
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