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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 MAINTAIN BASE MINIMUM CAPITAL

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person RELIANCE SHARE & STOCK BROKERS PVT.LTD.

(Member : BSE/NSE/CSE/VSE/BGSE/ASE/OTC)  
Click here to view complete history of this specific entity/person AMITABH JHUNJHUNWALA
Click here to view complete history of this specific entity/person D.H.SHAH
Click here to view complete history of this specific entity/person R.P.MEHTA
  		DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS

DEFAULTED IN MAINTENANCE OF SAUDA BOOK

DID NOT ISSUE CONTRACT NOTES

DID NOT MENTION CLIENT NUMBERS ON CONTRACT NOTES

CARRIED OUT TRANSACTION IN ITS OWN NAME INSTEAD OF CLIENTS NAME

COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES

PAN NO. OF CLIENTS NOT APPEARING ON CONTRACT NOTES

SEBI REGISTRATION NO., TRADE NO. AND ORDER NO. NOT INDICATED ON CONTRACT NOTES

PENDING EXECUTION OF THE ORDER AS MANDATORY ACCORDING TO THE REGULATIONS 6(B) OF PFUTP

VIOLATED REGULATION 7 READ WITH CODE OF CONDUCT AS SPECIFIED IN SCHEDULE 11 OF STOCK BROKER REGULATION

EXCEEDED INTRA DAY TRADING LIMITS

DID NOT MAINTAIN RECORD OF CLIENT'S ORDER

DID NOT ACCOUNT FOR MISSING CONTRACT NOTES

DID NOT KEEP PROPER PROPORTION OF CASH & FIXED DEPOSITS FOR CAPITAL ADEQUACY

VIOLATED CODE OF CONDUCT AS PRESCRIBED UNDER STOCK BROKER REGULATIONS

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENTS' SECURITIES AND OWN SECURITIES

MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-JAN-2007 TO 30-APR-2007

11-DEC-2006

REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.48,00,000, LEGAL EXPENSES RS.2,00,000 VIDE CONSENT ORDER)

07-DEC-2007 		SAT: IMPUGNED ORDER SHALL REMAIN STAYED DURING PENDENCY OF THE APPEAL

SAT: ORDER SET ASIDE AS APPLICANT PAID RS.48,00,000 TOWARDS SETTLEMENT CHARGES AND RS.2,00,000 TOWARDS LEGAL EXPENSES AS PER CONSENT ORDER DATED 07/12/2007  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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