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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: DEFAULTED/IRREGULARITIES IN NCFM/NISM CERTIFICATES

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

(PAN:AAACE7613A)

(Member : BSE)  
  DID NOT MAINTAIN PRE-ORDER CONFIRMATION FOR TRADES

DELAY IN UPDATION OF AUTHORISED PERSONS ADDRESS WITH STOCK EXCHANGE RECORDS AND CLIENTS MAPPED TO AP DID NOT NOTIFY AT LEAST THIRTY DAYS BEFORE CHANGE OF ADDRESS

DID NOT MAINTAIN ADEQUATE SUPERVISION OF AUTHORISED PERSONS

REPRESENTATIVES/EMPLOYEES/AUTHORISED PERSONS DID NOT HAVE REQUISITE QUALIFICATION AND CERTIFICATION

TRADING TERMINALS MAPPED TO AUTHORISED PERSON OPERATED BY UNAPPROVED AND UNAUTHORISED USERS

DID NOT MAINTAIN APPROPRIATE SEGREGATION OF CTCL TERMINALS   		IMPOSED PENALTY RS.4,00,000

22-JUL-2026 		 
2
History of entity/person JRK STOCK BROKING PVT.LTD.

(PAN:AABCJ8648K)

(Member : BSE/NSE)  
  DID NOT MAINTAIN CALL RECORDINGS/PROOF OF CLIENTS PLACING ORDERS THROUGH TELEPHONES

AUTHORISED PERSONS DID NOT HAVE NISM CERTIFICATION

DID NOT FIND TRADING TERMINALS OF THE AUTHORIZED PERSONS AT THE LOCATIONS AS REPORTED TO THE STOCK EXCHANGE

MAPPED MOBILE NUMBERS/EMAIL IDS TO THEIR CLIENTS EVEN THOUGH THOSE CLIENTS DID NOT FALL UNDER THE CATEGORY OF FAMILY   		IMPOSED PENALTY RS.1,00,000

20-MAY-2025 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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