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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: MANIPULATED MARKET AND/OR INDULGED IN UNFAIR TRADE PRACTICES

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1221
History of entity/person YATIN D.SHAH,M/S

(Member : PSE)  
Click here to view complete history of this specific entity/person YATIN D.SHAH
  		DID NOT EXERCISE DUE CARE & DILIGENCE WHILE EXECUTING SUBSTANTIAL TRANSACTIONS IN HOME TRADE LTD.

INVOLVED IN CREATION OF FALSE MARKET, CIRCULAR TRADING AND PRICE MANIPULATION IN SCRIP OF HOME TRADE LTD.   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-DEC-2007 TO 19-JUN-2009

29-NOV-2007 		 
1222
History of entity/person YOHA SECURITIES LTD.

(PAN:AAACY0254D)

(Member : NSE)  
  INDULGED IN PRICE MANIPULATION IN SCRIP OF MARUTI ORGANICS LTD.

DID NOT EXERCISE DUE CARE AND DILIGENCE   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-SEP-2002 TO 07-OCT-2002

16-SEP-2002 		SAT: APPEAL DISMISSED  
1223
History of entity/person YOKE SECURITIES LTD.

(Member : BSE/NSE)  
  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF PYRAMID SAIMIRA THEATRE LTD.   DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 12-NOV-2021 TO 11-MAR-2022

12-NOV-2021 		 
1224
History of entity/person ZERODHA BROKING LTD.

(PAN:AABCZ2616B)

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