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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
PERIOD COVERED : 30-NOV-2007 TO 07-AUG-2025

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: DID NOT FILE FIRST INFORMATION REPORT IN RESPECT OF STOLEN/FAKE/FORGED SHARES

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

(Member : BSE)  
  ALLEGED FAILURE IN COLLECTION OF MARGIN FROM CLIENTS

DEALT WITH UN-REGISTERED SUB-BROKERS

ALLEGED FAILURE TO FILE FIR IN RESPECT OF STOLEN/FAKE/FORGED SHARES   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,00,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)

28-NOV-2008 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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