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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 : 16-DEC-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 ADHERE TO PROVISION REGULATION OF SEBI

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person A&A INVESTMENTS

(Member : UPSE)  
Click here to view complete history of this specific entity/person PAWAN KUMAR AGARWAL
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 29-SEP-2004

29-SEP-2004 		 
2
History of entity/person A.ACHUTHAN,M/S

(Member : COCSE)  
Click here to view complete history of this specific entity/person A.ACHUTHAN
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 27-AUG-2004

27-AUG-2004 		 
3
History of entity/person A.JOB & CO.

(Member : COCSE)  
Click here to view complete history of this specific entity/person ANTHONY JOB
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 16-FEB-2005

16-FEB-2005 		 
4
History of entity/person A.K.FINANCIAL CO.

(Member : BHSE/ICSE)  
Click here to view complete history of this specific entity/person ANJANI KUMAR SINGH
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 30-DEC-2004

30-DEC-2004 		 
5
History of entity/person A.MALIK & CO.

(Member : CSE)  
  DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 27-AUG-2004

27-AUG-2004 		 
6
History of entity/person A.N.PRASAD,M/S

(Member : OTC)  
Click here to view complete history of this specific entity/person A.N.PRASAD
  		DID NOT PAY FEES TO SEBI

DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED   		CANCELLED REGISTRATION AS STOCK BROKER FROM 23-JAN-2008

23-JAN-2008 		 
7
History of entity/person A.S.P.INVESTMENTS LTD.

(Member : OTC)  
  DID NOT PAY FEES TO SEBI

DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED   		CANCELLED REGISTRATION AS STOCK BROKER FROM 23-JAN-2008

23-JAN-2008 		 
8
History of entity/person A.VENKAT N.REDDY,M/S

(Member : OTC)  
Click here to view complete history of this specific entity/person A.VENKAT N.REDDY
  		DID NOT PAY FEES TO SEBI

DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED   		CANCELLED REGISTRATION AS STOCK BROKER FROM 23-JAN-2008

23-JAN-2008 		 
9
History of entity/person A.VISWANATHAN,M/S

(Member : MDSE)  
Click here to view complete history of this specific entity/person A.VISWANATHAN
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002

22-OCT-2002 		 
10
History of entity/person AAKASH STOCKS & SHARES PVT.LTD.

(Member : MDSE)  
Click here to view complete history of this specific entity/person R.A.RAVICHANDRAN
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 26-SEP-2003

26-SEP-2003 		 
11
History of entity/person AASHISH & CO.

(Member : OTC)  
Click here to view complete history of this specific entity/person MANOHAR RAJ KANKARIA
  		DID NOT PAY FEES TO SEBI

DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED   		CANCELLED REGISTRATION AS STOCK BROKER FROM 23-JAN-2008

23-JAN-2008 		 
12
History of entity/person ABID ASSOCIATES

(Member : BGSE)  
Click here to view complete history of this specific entity/person TAJUDDIN ABID
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 03-SEP-2004

03-SEP-2004 		 
13
History of entity/person ABISHEK ENTERPRISES

(Along with : K.ANANTHANARAYANAN,M/S)  
Click here to view complete history of this specific entity/person K.ANANTHANARAYANAN
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002

22-OCT-2002 		 
14
History of entity/person ACE SECURITIES PVT.LTD.

(Member : OTC)  
  DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED

DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992   		CANCELLED REGISTRATION AS STOCK BROKER FROM 22-JUN-2004

22-JUN-2004 		 
15
History of entity/person ACUMEN SECURITIES LTD.

(Member : NSE)  
  DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED

DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992   		CANCELLED REGISTRATION AS STOCK BROKER FROM 12-MAR-2004

12-MAR-2004 		 
16
History of entity/person ADESHWAR SECURITIES PVT.LTD.

(Member : SKSE)  
Click here to view complete history of this specific entity/person AJAYBHAI MAHENDRABHAI BHARANIA
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 03-SEP-2004

03-SEP-2004 		 
17
History of entity/person AGRASEN ENGINEERING INDUSTRIES LTD.

(Along with : DINESH S.SHARMA,M/S)  
Click here to view complete history of this specific entity/person DINESH SHARMA
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 24-DEC-2002

24-DEC-2002 		 
18
History of entity/person AKHIL K.DALAL,M/S

(Member : BSE)  
Click here to view complete history of this specific entity/person AKHIL K.DALAL
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 15-JUL-2004

15-JUL-2004 		 
19
History of entity/person AKP SECURITIES PVT.LTD.

(Member : NSE)  
  DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 26-SEP-2003

26-SEP-2003 		 
20
History of entity/person AKSHAYA & CO.

(Member : MNGSE)  
Click here to view complete history of this specific entity/person ILA SOMASUNDARAM
  		DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992   CANCELLED REGISTRATION AS STOCK BROKER FROM 16-JUL-2004

16-JUL-2004 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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