| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
ACUMEN SECURITIES LTD.
(Member : NSE)
|
|
|
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 12-MAR-2004
12-MAR-2004
|
|
| 22 |
|
|
ADESHWAR SECURITIES PVT.LTD.
(Member : SKSE)
|
|
|
|
AJAYBHAI MAHENDRABHAI BHARANIA
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 03-SEP-2004
03-SEP-2004
|
|
| 23 |
|
|
AGRASEN ENGINEERING INDUSTRIES LTD.
(Along with : DINESH S.SHARMA,M/S)
|
|
|
|
DINESH SHARMA
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 24-DEC-2002
24-DEC-2002
|
|
| 24 |
|
|
AJAY KUMAR TULSYAN,M/S.
(Member : UPSE)
|
|
|
|
AJAY KUMAR TULSYAN
|
|
DID NOT PAY FEES TO SEBI
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 10-JUN-2010
20-MAY-2010
|
|
| 25 |
|
|
AJAY NATAVARLAL COMMODITIES PVT.LTD.
(Member : NSEL)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-NOV-2023
30-NOV-2023
|
SAT: SAT VIDE ITS ORDER DATED 19/12/2023 STAYED THE EFFECT AND OPERATION OF IMPUGNED ORDER
SAT: SAT VIDE ITS ORDER DATED 14/03/2024 ALLOWED EXTENSION OF FOUR MONTHS W.E.F.11/03/2024 FOR COMING OUT WITH A SCHEME UNDER SEBI (SETTLEMENT PROCEEDINGS) REGULATIONS, 2018 AS DIRECTED BY THIS TRIBUNAL VIDE ORDER DATED 12/12/2023
SAT: SAT VIDE ITS ORDER DATED 12/07/2024 GRANTED EXTENSION OF SIX MONTHS TO COMPLETE THE ENTIRE PROCEEDINGS AND COME OUT WITH A SCHEME UNDER THE SETTLEMENT REGULATIONS
SAT: SAT VIDE ITS ORDER DATED 12/03/2025 GRANTED EXTENSION FOR FOUR MONTHS TO COMPLY WITH ORDER DATED 12/12/2023
|
| 26 |
|
|
AKHIL K.DALAL,M/S
(Member : BSE)
|
|
|
|
AKHIL K.DALAL
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 15-JUL-2004
15-JUL-2004
|
|
| 27 |
|
|
AKP SECURITIES PVT.LTD.
(Member : NSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 26-SEP-2003
26-SEP-2003
|
|
| 28 |
|
|
AKSHAYA & CO.
(Member : MNGSE)
|
|
|
|
ILA SOMASUNDARAM
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 16-JUL-2004
16-JUL-2004
|
|
| 29 |
|
|
ALASRI INVESTMENTS
(Member : CMBSE)
|
|
|
|
A.S.SHRIRAM
|
|
DECLARED DEFAULTER BY THE EXCHANGE
DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 24-JUN-2004
24-JUN-2004
|
|
| 30 |
|
|
ALBA CAPITAL MARKETS PVT.LTD.
(Member : NSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 10-FEB-2010
10-FEB-2010
|
|
| 31 |
|
|
ALBA CAPITAL MARKETS PVT.LTD.
(Member : NSE)
|
|
|
DID NOT PAY FEES TO SEBI
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 21-FEB-2008
21-FEB-2008
|
|
| 32 |
|
|
ALEMBIC SECURITIES PVT.LTD.
(CIN:U67120MH1995PTC092560)
(Member : NSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002
22-OCT-2002
|
|
| 33 |
|
|
ALEYSON SECURITIES
(Member : COCSE)
|
|
|
|
K.GEORGE RAJAN
|
|
DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 16-FEB-2005
16-FEB-2005
|
|
| 34 |
|
|
AL-FALAH INVESTMENTS LTD.
(Member : NSE)
|
|
|
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 03-JAN-2003
03-JAN-2003
|
SAT: DIRECTED SEBI TO CONSIDER APPLICATION FOR FRESH REGISTRATION AS A STOCK BROKER UPON RESTORATION OF MEMBERSHIP BY NSE
|
| 35 |
|
|
AL-FALAH INVESTMENTS 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
|
|
| 36 |
|
|
ALICE KURUVILLA,M/S
(Member : COCSE)
|
|
|
|
ALICE KURUVILLA
|
|
DID NOT PAY FEES TO SEBI
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 17-JAN-2008
17-JAN-2008
|
|
| 37 |
|
|
ALLIANCE INTERMEDIARIES & NETWORK PVT.LTD.
(Member : ICSE)
|
|
|
ISSUED BOGUS CONTRACT NOTES
ISSUED FICTITIOUS CONTRACT NOTES
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 09-MAR-2021
09-MAR-2021
|
|
| 38 |
|
|
ALLIED FINANCIAL SERVICES PVT.LTD.
(PAN:AAACA2020K)
(Depository Participants : NSDL,Member : NSE)
|
|
|
MISAPPROPRIATED CLIENT SECURITIES AND/OR FUNDS
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT MAINTAIN CONTINUOUS NETWORTH
DID NOT CAPTURE INCOME DETAILS OF CLIENTS
MADE INCORRECT AND/OR DID NOT REPORT ENHANCED SUPERVISION OF DATA TO STOCK EXCHANGES
PROVIDED DISPROPORTIONATE EXPOSURE TO CLIENTS
DEALT WITH UNREGISTERED ENTITIES
PROMISED ASSURED RETURNS TO CLIENTS
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 17-MAY-2023
CANCELLED REGISTRATION AS DEPOSITORY PARTICIPANT
17-MAY-2023
|
|
| 39 |
|
|
ALMEIDA & CO.STOCK BROKERS LTD.
(CIN:L67120MH1995PLC089028)
(Member : NSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 03-SEP-2004
03-SEP-2004
|
|
| 40 |
|
|
ALPHA COMMODITY PVT.LTD.
(PAN:AADCM6826A)
(Member : NSEL)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 29-APR-2022
29-APR-2022
|
SAT: SAT VIDE ITS ORDER DATED 29/07/2022 ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER DATED 29/04/2022. MATTER REMITTED TO WTM TO DECIDE MATTER REFRESH
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
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