| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 121 |
|
BLUE BLENDS STOCKS & SECURITIES LTD.
(Member : NSE/OTC)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-DEC-2004
30-DEC-2004
|
|
| 122 |
|
|
BLUE CREST 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 31-MAR-2023
31-MAR-2023
|
SAT: SAT VIDE ITS ORDER DATED 20/06/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE. STAYED EFFECT AND OPERATION OF THE IMPUGNED ORDER TILL NEXT DATE OF THE LISTING
SAT: SAT VIDE ITS ORDER DATED 08/08/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 30/10/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 06/12/2023 CONDONED THE DELAY IN FILING OF REPLY AND REPLY AND REJOINDER TAKEN ON RECORD. EXEMPTION APPLICATIONS, IF ANY ALLOWED
SAT: SAT VIDE ITS ORDER DATED 12/12/2023 DISPOSED OF THE GROUP OF APPEALS BY DIRECTING SEBI TO CONSIDER AND COME OUT WITH A SCHEME UNDER SETTLEMENT REGULATIONS PREFERABLY WITHIN THREE MONTHS FROM DATE OF THIS ORDER. IN THE EVENT, SCHEME NOT FRAMED UNDER SETTLEMENT REGULATIONS BY SEBI THEN SAID DECISION TO BE COMMUNICATED TO ALL APPELLANTS
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: SAT VIDE ITS ORDER DATED 12/03/2025 GRANTED EXTENSION FOR FOUR MONTHS TO COMPLY WITH ORDER DATED 12/12/2023
|
| 123 |
|
|
BLUECHIP SHARE BROKER SERV.PVT.LTD.
(Member : ASE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 10-APR-2002
10-APR-2002
|
|
| 124 |
|
|
BONDWELL FINANCIAL SERVICES PVT.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
|
|
| 125 |
|
|
BPS SECURITIES PVT.LTD.
(Member : NSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002
22-OCT-2002
|
|
| 126 |
|
|
BRH COMMODITIES PVT.LTD.
(PAN:AACCB5142K)
(Member : MCX/NCDEX)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT MAINTAIN EMAIL NOTIFICATION OF ELECTRONIC CONTRACTS NOTES
MADE INCORRECT AND/OR DID NOT REPORT ENHANCED SUPERVISION OF DATA TO STOCK EXCHANGES
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 10-MAY-2023
10-MAY-2023
|
|
| 127 |
|
|
BRH WEALTH KREATORS LTD.
(CIN:100717
PAN:AACCB5141L)
(Member : NSE/BSE)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
MISAPPROPRIATED CLIENT SECURITIES AND/OR FUNDS
MADE INCORRECT AND/OR DID NOT REPORT ENHANCED SUPERVISION OF DATA TO STOCK EXCHANGES
DID NOT PROVIDE DATA TO INSPECTING AUTHORITY
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 27-FEB-2023
27-FEB-2023
|
|
| 128 |
|
|
BRIJ STOCKS PVT.LTD.
(Member : UPSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 29-SEP-2004
29-SEP-2004
|
|
| 129 |
|
|
BRINDA TRADING CO.PVT.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
|
|
| 130 |
|
|
BRISK SECURITIES LTD.
(Member : BGSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 29-OCT-2004
29-OCT-2004
|
|
| 131 |
|
|
BROAD LINE CAPFIN SERVICES PVT.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 13-DEC-2001
13-DEC-2001
|
|
| 132 |
|
|
BROTHER CREDIT & INVESTMENT PVT.LTD.
(Member : OTC)
|
|
|
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 22-JUN-2004
22-JUN-2004
|
|
| 133 |
|
|
BRR SECURITIES PVT.LTD.
(Member : UPSE)
|
|
|
DECLARED DEFAULTER AND NOT RE-ADMITTED WITHIN A PERIOD OF SIX MONTHS
DID NOT PRODUCE BOOKS OF ACCOUNTS TO SEBI FOR INSPECTION
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 28-SEP-2006
28-SEP-2006
|
|
| 134 |
|
|
BSI SECURITIES INTERNATIONAL LTD.
(Member : NSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 10-FEB-2010
10-FEB-2010
|
|
| 135 |
|
|
BVK PULSES ONLINE TRADING CO.
(PAN:AAGFB2519K)
(Member : MCX)
|
|
|
NO LONGER A MEMBER OF ANY STOCK EXCHANGE
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-AUG-2024
30-AUG-2024
|
|
| 136 |
|
|
C.B.GHANSHYAMDAS,M/S
(Member : MDSE)
|
|
|
|
C.B.GHANSHYAMDAS
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002
22-OCT-2002
|
|
| 137 |
|
|
C.M.GOENKA STOCK BROKERS PVT.LTD.
(PAN:AACCC6274D)
(Member : NSE/BSE/MSEI)
|
|
|
NO LONGER A MEMBER OF ANY STOCK EXCHANGE
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-AUG-2024
30-AUG-2024
|
|
| 138 |
|
|
C.S.KARKHANIS,M/S
(Member : PSE)
|
|
|
|
C.S.KARKHANIS
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 18-SEP-2002
18-SEP-2002
|
|
| 139 |
|
|
C.SUBRAMANIUM,M/S
(Member : CMBSE)
(Along with : CHANDROO & CO.)
|
|
|
|
C.SUBRAMANIUM
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002
22-OCT-2002
|
|
| 140 |
|
|
C.V.JOSEPH,M/S
(Member : COCSE)
|
|
|
|
C.V.JOSEPH
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 10-APR-2002
10-APR-2002
|
|
| 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 7 of 43
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