| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 161 |
|
CITY STOCKS & SERVICES PVT.LTD.
(Member : BGSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002
22-OCT-2002
|
|
| 162 |
|
|
CLASSIC SHARE & STOCK BROKING SERVICES LTD.
(CIN:U67120WB1993PLC060799)
(Member : BSE)
|
|
|
|
KARTIK KIRTIKUMAR PAREKH
DIN:00009502
|
|
|
KETAN VINAYCHANDRA PAREKH
DIN:00009468
PAN:AADPP1505A
|
|
INDULGED IN MARKET MANIPULATION IN SCRIPS OF DSQ SOFTWARE LTD. AND AFTEK INFOSYS LTD. WITH KETAN PAREKH ENTITIES
INDULGED IN SYNCHRONIZED DEALS IN SCRIP OF DSQ SOFTWARE LTD. & AFTEK INFOSYS LTD.
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 08-MAR-2004
31-MAR-2004
|
|
| 163 |
|
|
CLASSIC SHARE & STOCK BROKING SERVICES LTD.
(CIN:U67120WB1993PLC060799)
(Member : NSE)
|
|
|
NO LONGER A MEMBER OF ANY STOCK EXCHANGE
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-AUG-2024
30-AUG-2024
|
|
| 164 |
|
|
CLASSIC SHARE & STOCK BROKING SERVICES LTD.
(CIN:U67120WB1993PLC060799)
(Member : BSE)
|
|
|
INDULGED IN MANIPULATIVE TRADES
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 08-MAR-2004
08-MAR-2004
|
ENQUIRY PROCEEDINGS INITIATED AGAINST NOTICEE IN MATTER OF SSI LTD.DISPOSED OFF VIDE ORDER DATED 03/08/2010,AS CERTIFICATE OF REGISTRATION OF NOTICEE HAS ALREADY BEEN CANCELLED BY SEBI VIDE ORDER DATED 08/03/2004
|
| 165 |
|
|
CLASSIC SHARE DEALERS LTD.
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 23-JAN-2008
23-JAN-2008
|
|
| 166 |
|
|
CLICK2TRADE CAPITAL LTD.
(CIN:U74899UP1995PLC044229
PAN:AAACR1086J)
(Member : BSE/NSE/MSEI)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENTS' SECURITIES AND OWN SECURITIES
INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 13-JAN-2020
13-JAN-2020
|
|
| 167 |
|
|
CMS SECURITIES LTD.
(CIN:U74899DL1995PLC063974)
(Member : NSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 27-OCT-2004
27-OCT-2004
|
|
| 168 |
|
|
CMS SECURITIES LTD.
(CIN:U74899DL1995PLC063974)
(Member : OTC)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002
22-OCT-2002
|
|
| 169 |
|
|
CNB COMMODITIES PVT.LTD.
(PAN:AACCC2440D)
(Member : NSEL)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 28-APR-2023
28-APR-2023
|
SAT: SAT VIDE ITS ORDER DATED 08/08/2023 CONDONED THE DELAY IN FILING OF APPEAL. ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 25/02/2022. MATTER REMITTED TO AO TO PASS A FRESH ORDER
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 VIDE ITS ORDER DATED 12/03/2025 GRANTED EXTENSION FOR FOUR MONTHS TO COMPLY WITH ORDER DATED 12/12/2023
|
| 170 |
|
|
COMCO TRADING & INVESTMENTS CO.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
|
|
| 171 |
|
|
COMTRADE COMMODITIES SERVICES LTD.
(PAN:AABCA2781N)
(Member : NSEL)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 28-MAR-2023
28-MAR-2023
|
SAT: SAT VIDE ITS ORDER DATED 18/05/2023 ALLOWED RESPONDENT FURTHER TWO WEEKS TO FILE REPLY AND REJOINDER TO BE FILED ON 21/06/2023. INTERIM RELIEF TO CONTINUE TILL FURTHER ORDERS
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 VIDE ITS ORDER DATED 12/03/2025 GRANTED EXTENSION FOR FOUR MONTHS TO COMPLY WITH ORDER DATED 12/12/2023
|
| 172 |
|
|
CONARD SECURITIES PVT.LTD.
(PAN:AAHCC3679D)
(Member : NSE)
|
|
|
DID NOT HOLD MEMBERSHIP OF ANY RECOGNISED STOCK EXCHANGES VIOLATING REGULATION 9(A) OF SEBI (STOCK BROKER) REGULATIONS, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 14-FEB-2022
14-FEB-2022
|
|
| 173 |
|
|
CONSOLIDATED CAPITAL INVESTCARE 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
|
|
| 174 |
|
|
CORPORATE DEALS
(Member : BGSE)
|
|
|
|
BHASKAR V.JAHGIRDAR
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 03-SEP-2004
03-SEP-2004
|
|
| 175 |
|
|
CORPTREE 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 16-JAN-2023
16-JAN-2023
|
|
| 176 |
|
|
CPR CAPITAL SERVICES LTD.
(PAN:AAACC3235A)
(Member : BSE/NSE/MSEI)
|
|
|
DID NOT ADHERE TO ‘KNOW YOUR CLIENT’ (KYC), CLIENT DUE DILIGENCE (CDD), ANTI-MONEY LAUNDERING (AML)/PREVENTION OF MONEY LAUNDERING ACT, 2002 (PMLA) AND COMBATING FINANCING OF TERRORISM (CFT)
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 FOLLOW NORMS FOR NOMENCLATURE OF ACCOUNTS
MISUSED PLEDGING OF CLIENT’S SECURITIES
DID NOT PROVIDE INFORMATION TO SEBI
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
DID NOT REDRESS INVESTOR COMPLAINTS
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 20-SEP-2023
20-SEP-2023
|
|
| 177 |
|
|
CRB BROKING LTD.
(Member : OTC)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 12-SEP-2003
12-SEP-2003
|
|
| 178 |
|
|
CRB SHARE BROKING LTD.
(Member : BSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 15-JUL-2004
15-JUL-2004
|
|
| 179 |
|
|
CRECER FINANCIAL SERVICES PVT.LTD.
(Member : BSE/NSE)
|
|
|
NOT A FIT & PROPER PERSON TO ACT AS STOCK BROKER
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-MAR-2020
30-MAR-2020
|
|
| 180 |
|
|
CREDENTIAL STOCK BROKERS LTD.
(PAN:AABCC1868L)
(Member : NSE)
|
|
|
NO LONGER A MEMBER OF ANY STOCK EXCHANGE
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-AUG-2024
30-AUG-2024
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 9 of 43
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