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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: VIOLATED BYE-LAWS/REGULATIONS/RULES OF NSE CLEARING LTD.

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

(PAN:AAACG2906L)

(Member : BSE/NSE/MCX)  
  DID NOT MAINTAIN MINIMUM NETWORTH

DID NOT MAINTAIN BOOKS OF ACCOUNT AND OTHER DOCUMENTS

ENGAGED IN BUSINESS OTHER THAN SECURITIES

DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES

MADE INCORRECT RETENTION STATEMENT

DID NOT PROVIDE BENEFIT OF SECURITIES RE-PLEDGED TO CLEARING CORPORATION/CLEARING MEMBER   		PROHIBITED FROM TAKING ANY NEW ASSIGNMENT AS A STOCK BROKER FROM 06-OCT-2025 TO 05-NOV-2025

06-OCT-2025 		 
2
History of entity/person MONEYLICIOUS SECURITIES PVT.LTD.

(PAN:AAICM0935B)

(Member : NSE/BSE/MCX/ICEX)  
  DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

MADE INCORRECT AND/OR DID NOT REPORT ENHANCED SUPERVISION OF DATA TO STOCK EXCHANGES

REPORTED WRONG NET WORTH TO EXCHANGE

DID NOT MAINTAIN MINIMUM NETWORTH   		IMPOSED PENALTY RS.3,00,000

25-NOV-2022 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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