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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 : 16-DEC-2025

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: MISUSED/DEFAULTED IN MAINTAINING CLIENT ACCOUNTS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
581
History of entity/person YES SECURITIES (INDIA) LTD.

(PAN:AAACY6065C)

(Member : BSE/NSE/MSEI)  
  DELAY IN SENDING RETENTION STATEMENT TO CLIENTS

INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES

DID NOT ADHERE TO LEVERAGE AND EXPOSURE LIMITS AS PRESCRIBED WHILE GRANTING MARGIN TRADING FACILITY

DISCREPANCIES IN NETWORTH REPORTED TO STOCK EXCHANGE

MADE INCORRECT AND/OR DID NOT REPORT ENHANCED SUPERVISION OF DATA TO STOCK EXCHANGES   		IMPOSED PENALTY RS.5,00,000

27-SEP-2023 		 
582
History of entity/person YOGENDRA SHARMA,/MS

(Member : UPSE)  
Click here to view complete history of this specific entity/person YOGENDRA SHARMA
  		INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS

MISUSED DEBIT NOTE FACILITY IN STOCK EXCHANGE

DID NOT REPORT PRINCIPAL-TO-PRINCIPAL TRANSACTIONS TO THE EXCHANGE

DID NOT REPORT SPOT TRANSACTIONS TO THE EXCHANGE

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-JUN-1999 TO 30-NOV-1999

24-MAY-1999 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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