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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 : 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: ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person ARIHANT STOCKS LTD.

(Member : BGSE)  
  ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION   WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

02-DEC-2009 		 
2
History of entity/person SHRADDHA STOCK BROKING PVT.LTD.

(PAN:AAECS6307D)

(Member : CSE)  
Click here to view complete history of this specific entity/person SURESH KUMAR SARAF
  		ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION   WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

02-DEC-2009 		 
3
History of entity/person SHREE CHAMUNDI STOCKS

(Member : BGSE)  
Click here to view complete history of this specific entity/person M.S.CHANDRASHEKHAR
  		ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION

DID NOT ISSUE CONTRACT NOTES

DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS AND/OR DOCUMENTS

DID NOT MAKE PAYMENTS TO CLIENTS IN TIME

DID NOT RECTIFY BAD DELIVERIES IN TIME   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-1998 TO 19-FEB-1999

16-NOV-1998 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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