If you are an Existing User, please enter your Username & Password below

Forgot Password?

Are you a New User? Click here to enrol

close

Click here to visit old website
Co-Sponsors
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 : 17-AUG-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
1
History of entity/person A.K.AGARWAL & CO.

(Member : JSE)  
Click here to view complete history of this specific entity/person ASHOK KUMAR AGARWAL
  		DEFAULTED IN MAINTENANCE OF SAUDA BOOK

COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES

DID NOT DELIVER SECURITIES TO CLIENTS IN TIME

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

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DEALT WITH UN-REGISTERED SUB-BROKERS

DID NOT RECTIFY BAD DELIVERIES IN TIME   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

06-JAN-2000 		 
2
History of entity/person A.R.AGGARWAL & CO.

(Member : LSE)  
Click here to view complete history of this specific entity/person ASHOK KUMAR 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

20-OCT-1999 		 
3
History of entity/person AARAYAA FINSTOCK PVT.LTD.

(Member : BSE)  
Click here to view complete history of this specific entity/person S.S.VIJAYAKAR
  		DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE EXECUTING TRANSACTIONS IN SCRIP OF DATABASE FINANCE LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

13-JAN-2009 		 
4
History of entity/person ACME SHARES & STOCK PVT.LTD.

(Member : BSE)  
  DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE IN MATTER OF SAWACA BUSINESS MACHINES LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

06-OCT-2004 		 
5
History of entity/person ACML CAPITAL MARKETS LTD.

(CIN:U67120GJ2000PLC037431
PAN:AADCA4629D)

(Member : BSE)  
  DEALT WITH UN-REGISTERED SUB-BROKERS   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

20-FEB-2002 		 
6
History of entity/person ADOLF PATRICK PINTO,M/S

(Member : BSE)  
Click here to view complete history of this specific entity/person ADOLF PATRICK PINTO
  		COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES

DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS AND/OR DOCUMENTS

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DID NOT REDRESS INVESTOR COMPLAINTS

NON-COOPERATION WITH SEBI IN INVESTIGATIONS   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

17-MAY-2000 		 
7
History of entity/person ADROIT FINANCIAL SERVICES PVT.LTD.

(PAN:AABCA1156D)

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

22-JAN-2007 		 
8
History of entity/person AJAY S.SHAH,M/S

(Member : PSE)  
Click here to view complete history of this specific entity/person AJAY S.SHAH
  		DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS AND/OR DOCUMENTS

DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

02-FEB-2000 		 
9
History of entity/person ALLIANZ SECURITIES LTD.

(Member : NSE)  
  VIOLATED SEBI CODE OF CONDUCT   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

28-SEP-1999 		 
10
History of entity/person AMAN PORTFOLIO PVT.LTD.

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

30-JAN-2008 		 
11
History of entity/person ANANTRAI A.PAREKH & SONS

(Member : BSE)  
  ALLEGED MANIPULATION OF PRICE OF BARASIA HOLDING & TRADING CO.LTD.

INDULGED IN CROSS DEALS TO CREATE FALSE MARKET IN SCRIP OF BARASIA HOLDING & TRADING CO.LTD.

DEFICIENCIES IN CLIENT DATABASE   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

28-NOV-2001 		 
12
History of entity/person ANANTRAI A.PAREKH & SONS

(Member : BSE)  
  DID NOT EXERCISE DUE CARE AND DILIGENCE IN SCRIP OF EONOUR SOFTWARE LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

16-SEP-2004 		 
13
History of entity/person ANVEE SHARE BROKER PVT.LTD.

(Member : DSE)  
  MANIPULATED PRICE IN SCRIP OF VATSA WORLD LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

31-AUG-2004 		 
14
History of entity/person ANVEE SHARE BROKER PVT.LTD.

(Member : DSE)  
  DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING ON BEHALF OF CLIENTS IN SCRIP OF TACTFULL INVESTMENTS LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

21-AUG-2007 		 
15
History of entity/person APEX STOCK BROKERS PVT.LTD.

(Member : BSE)  
Click here to view complete history of this specific entity/person AMOL HOGADE
Click here to view complete history of this specific entity/person P.K.NAGPAL
  		DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE EXECUTING TRANSACTIONS IN SCRIP OF DATABASE FINANCE LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

13-JAN-2009 		 
16
History of entity/person APS CAPITAL SERVICES PVT.LTD.

(Member : PSE)  
  DID NOT ADHERE TO "KNOW YOUR CLIENT" DIRECTIVES/INSTRUCTIONS/GUIDELINES

DID NOT COLLECT MARGINS FROM CLIENTS

COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES

ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS AND/OR DOCUMENTS

DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK

INDULGED IN UNAUTHORISED FUND-BASED ACTIVITIES

INDULGED IN OFF-THE-FLOOR TRANSACTIONS   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

16-JAN-2008 		 
17
History of entity/person ARGUS STOCK BROKING LTD.

(Member : DSE)  
  DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING ON BEHALF OF CLIENTS IN SCRIP OF TACTFULL INVESTMENTS LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

21-AUG-2007 		 
18
History of entity/person ARGUS STOCK BROKING LTD.

(Member : DSE)  
  MANIPULATED PRICE IN SCRIP OF VATSA WORLD LTD.

VIOLATED SEBI CODE OF CONDUCT   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

31-AUG-2004 		 
19
History of entity/person ARJ SHARES & STOCK BROKERS PVT.LTD.

(Member : BSE)  
Click here to view complete history of this specific entity/person SURESH KUMAR JHUNJHUNWALA
  		DEALT WITH UN-REGISTERED SUB-BROKERS   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

16-JAN-2008 		 
20
History of entity/person ARTISTIC FINANCE PVT.LTD.

(PAN:AAACA0546Q)

(Member : NSE)  
  DID NOT EXERCISE DUE SKILL, DILIGENCE AND CARE IN MATTER OF MARUTI ORGANICS LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

05-JUL-2002 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
First Next Last  
Page 1 of 15  

This website is not comprehensive and is being updated on a regular basis. Users are requested to carefully look at the formats and the information about the coverage period that appears on search results pages.

DISCLAIMER BY NSE

NSE is the co-sponsor of this website and supportive of the initiative taken for protection of interest of investors by Praxis Consulting & Information Services Pvt.Ltd. (PRAXIS), the creator of this website. However, NSE bear no responsibility for the views/information that is available on this website and as responsibility of the contents of this website solely rests with PRAXIS. NSE shall not be responsible for, and expressly disclaims all liability for, damages of any kind arising out of use, reference to or reliance on any information available on this website. Investors/visitors of this website are also advised to read through the other general disclaimer(s) and terms and conditions available on this website before using the website.

Site designed and maintained by watchoutinvestors.com
© PRIME DATABASE GROUP 2004-2026
No part of this site may be reproduced without the explicit permission of the owners.

top