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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 : 02-MAR-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: CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
101
History of entity/person I.P.SINGH & CO.

(PAN:AAYPS1851P)

(Member : DSE)  
Click here to view complete history of this specific entity/person INDER PAL SINGH
  		DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 7 READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF KARISHMA FLORICULTURE LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

01-FEB-2012 		 
102
History of entity/person ICAP INDIA PVT.LTD.

(Member : NSE)  
  DID NOT REPORT NEGOTIATED TRANSACTIONS TO NSE   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

21-NOV-2008 		 
103
History of entity/person IFB SECURITIES LTD.

(Member : NSE)  
  DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS

DEFAULTED IN MAINTENANCE OF VARIOUS RECORDS

COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES

COMMITTED IRREGULARITIES REGARDING DEALING WITH CLIENTS

IRREGULARITIES IN REGISTRATION OF CLIENTS

DID NOT MAKE PAYMENTS TO CLIENTS IN TIME

DID NOT DELIVER SECURITIES TO CLIENTS IN TIME

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

19-FEB-2002 		 
104
History of entity/person IKM INVESTORS SERVICES LTD.

(Member : BSE/CSE/NSE/DSE)  
Click here to view complete history of this specific entity/person PRAMOD JAIN
Click here to view complete history of this specific entity/person RAHUL MALIK
  		DEALT WITH UN-REGISTERED SUB-BROKERS

DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING WITH ITS SUB-BROKERS   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

06-DEC-2007 		 
105
History of entity/person INDAVARA STOCKS

(Member : BGSE)  
  DID NOT ENTER INTO AGREEMENT WITH CLIENTS

DEFAULTED IN VERIFYING FINANCIAL CAPABILITIES AND NET WORTH OF CLIENTS

DID NOT ADHERE TO "KNOW YOUR CLIENT" DIRECTIVES/INSTRUCTIONS/GUIDELINES

DID NOT EXERCISE DUE CARE & DILIGENCE WHILE EXECUTING SUBSTANTIAL TRANSACTIONS IN HOME TRADE LTD.   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

25-SEP-2006 		 
106
History of entity/person INDIABULLS SECURITIES LTD.

(PAN:AAACO0870B)

(Member : NSE)  
Click here to view complete history of this specific entity/person SAMIT GEHLAUT
  		MANIPULATION IN SCRIP OF AMARA RAJA BATTERIES LIMITED DURING THE PERIOD AUGUST 2000 TO MARCH 2001   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

01-AUG-2002 		 
107
History of entity/person INDIABULLS SECURITIES LTD.

(PAN:AAACO0870B)

(Member : NSE)  
  DID NOT RECORD TIME OF PLACEMENT OF ORDERS ON CONTRACT NOTES

DEALT WITH UN-REGISTERED SUB-BROKERS

ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS

DID NOT TAKE PRIOR APPROVAL FROM NSE FOR ISSUING ADVERTISEMENTS RELATED TO BUSINESS ACTIVITIES   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

02-FEB-2006 		 
108
History of entity/person INTERFACE BROKERAGE & RESEARCH LTD.

(Member : ASE)  
  DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK

DID NOT HAVE PRE-PRINTED SERIAL NUMBERS ON CONTRACT NOTES

DID NOT CHARGE MINIMUM BROKERAGE

DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE

DID NOT MAINTAIN SEPARATE CLIENT ACCOUNT   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

24-MAY-1999 		 
109
History of entity/person INTERLINK FINANCIAL SERVICES LTD.

(Member : MPSE)  
  DEFAULTED IN MAINTENANCE OF BOOKS/DOCUMENTS

EXECUTED FICTITIOUS TRANSACTIONS

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

19-NOV-1999 		 
110
History of entity/person ISE SECURITIES & SERVICES LTD.

(PAN:AAACI6011L)

(Member : NSE)  
  DEALT WITH UN-REGISTERED SUB-BROKERS

DID NOT ISSUANCE OF CONTRACT NOTES IN TIME

PAN NO. OF CLIENTS NOT APPEARING ON CONTRACT NOTES   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

02-FEB-2006 		 
111
History of entity/person J.BHATTACHARJEE & CO.

(Member : DSE)  
Click here to view complete history of this specific entity/person J.BHATTACHARJEE
  		ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

17-SEP-2007 		 
112
History of entity/person J.G.A.SHAH SHARE BROKERS PVT.LTD.

(Member : BSE)  
  VIOLATED REGULATION 12 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992

DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK

DEFICIENCIES IN CLIENT DATABASE

ALLOWED TERMINAL TO UNAUTHORISED USERS   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

26-FEB-2008 		 
113
History of entity/person J.P.SURANA,M/S

(Member : PSE)  
Click here to view complete history of this specific entity/person J.P.SURANA
  		INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

13-AUG-1997 		 
114
History of entity/person J.R.MOTISHAW & CO.

(Member : BSE)  
  EXECUTED TRANSACTIONS FOR THE PURPOSE OF ARTIFICIALLY RAISING PRICE OF SCRIP OF MJP LEASING LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

12-FEB-2002 		 
115
History of entity/person JAIDEEP AGGARWAL & CO.

(Member : LSE)  
Click here to view complete history of this specific entity/person JAIDEEP AGGARWAL
  		DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

08-OCT-1999 		 
116
History of entity/person JARDINE FLEMING INDIA BROKING LTD.

(Member : NSE)  
  ALLEGED IRREGULARITIES IN DEALINGS IN SCRIP OF STATE BANK OF INDIA   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

29-JUL-2002 		 
117
History of entity/person JAYANT PRANJIWANDAS,M/S

(Member : CMBSE)  
Click here to view complete history of this specific entity/person J.PRANJIWANDAS
  		DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK

DID NOT ISSUE CONTRACT NOTES

DID NOT RECTIFY BAD DELIVERIES IN TIME

DID NOT MAKE PAYMENTS TO CLIENTS IN TIME

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DID NOT PAY FEES TO SEBI   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

08-OCT-1998 		 
118
History of entity/person JHP SECURITIES PVT.LTD.

(PAN:AAACJ2847H)

(Member : BSE)  
  DEFAULTED IN VERIFYING FINANCIAL CAPABILITIES AND NET WORTH OF CLIENTS

DEALT WITH UN-REGISTERED SUB-BROKERS

ALLOWED TERMINALS TO UNREGISTERED SUB-BROKERS   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

12-JAN-2006 		 
119
History of entity/person JM MORGAN STANLEY RETAIL SERVICES PVT.LTD.

(Member : BSE)  
  COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES

DEFAULTED IN MAINTENANCE OF DUPLICATE COPY OF BILLS

DID NOT MAINTAIN CLIENT AGREEMENTS

DID NOT MAINTAIN CLIENT REGISTRATION FORMS   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

02-JUN-2004 		 
120
History of entity/person JOINDRE CAPITAL SERVICES LTD.

(PAN:AAACJ1480E)

(Member : BSE)  
  DID NOT EXERCISE DUE SKILL AND DILIGENCE   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

07-OCT-2004 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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