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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.

UN-AUTHORISED STOCK BROKERS: VIOLATED SECURITIES CONTRACTS (REGULATION) ACT, 1956

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

(CIN:U51109WB1991PTC053673)  
Click here to view complete history of this specific entity/person BASUDEO SINGHANIA

DIN:00268785
Click here to view complete history of this specific entity/person SANJAY KUMAR JAIN
  		VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956

VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995

VIOLATED RULE 4 OF SEBI (STOCK BROKERS & SUB BROKERS) RULES, 1992

VIOLATED REGULATION 7 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 24 OF SEBI ACT, 1992   		PROSECUTION LAUNCHED

15-MAY-2006 		 
2
History of entity/person ASHOK KUMAR PODDAR,M/S  
Click here to view complete history of this specific entity/person ASHOK KUMAR PODDAR
  		VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956

VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995

VIOLATED RULE 4 OF SEBI (STOCK BROKERS & SUB BROKERS) RULES, 1992

VIOLATED REGULATION 7 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 24 OF SEBI ACT, 1992   		PROSECUTION LAUNCHED

15-MAY-2006 		 
3
History of entity/person BIYANI SECURITIES PVT.LTD.  
Click here to view complete history of this specific entity/person ALOKE BIYANI
Click here to view complete history of this specific entity/person RAVINDRA BIYANI
  		VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956

VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995

VIOLATED RULE 4 OF SEBI (STOCK BROKERS & SUB BROKERS) RULES, 1992

VIOLATED REGULATION 7 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 24 OF SEBI ACT, 1992   		PROSECUTION LAUNCHED

15-MAY-2006 		 
4
History of entity/person DINESH KUMAR SINGHANIA & CO.  
Click here to view complete history of this specific entity/person DINESH KUMAR SINGHANIA
  		VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956

VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995

VIOLATED RULE 4 OF SEBI (STOCK BROKERS & SUB BROKERS) RULES, 1992

VIOLATED REGULATION 7 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 24 OF SEBI ACT, 1992   		PROSECUTION LAUNCHED

15-MAY-2006 		 
5
History of entity/person DOE JONES INVESTMENTS & CONSULTANTS PVT.LTD.  
Click here to view complete history of this specific entity/person GOPAL SINGHANIA
Click here to view complete history of this specific entity/person RAJ KUMAR JAIN
Click here to view complete history of this specific entity/person RAJ KUMAR PATNI
  		VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956

VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995

VIOLATED RULE 4 OF SEBI (STOCK BROKERS & SUB BROKERS) RULES, 1992

VIOLATED REGULATION 7 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 24 OF SEBI ACT, 1992   		PROSECUTION LAUNCHED

15-MAY-2006 		 
6
History of entity/person HARISH CHANDRA BIYANI,M/S

(Member : CSE)  
Click here to view complete history of this specific entity/person HARISH CHANDRA BIYANI
  		VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956

VIOLATED SEBI (PFUTP) REGULATIONS, 1995

VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995

VIOLATED RULE 4 OF SEBI (STOCK BROKERS & SUB BROKERS) RULES, 1992

VIOLATED REGULATION 7 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 24 OF SEBI ACT, 1992   		PROSECUTION LAUNCHED

15-MAY-2006 		 
7
History of entity/person PREMA PODDAR,M/S  
Click here to view complete history of this specific entity/person PREMA PODDAR
  		VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956

VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995

VIOLATED RULE 4 OF SEBI (STOCK BROKERS & SUB BROKERS) RULES, 1992

VIOLATED REGULATION 7 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 24 OF SEBI ACT, 1992   		PROSECUTION LAUNCHED

15-MAY-2006 		 
8
History of entity/person RAJ KUMAR PODDAR,M/S  
Click here to view complete history of this specific entity/person RAJ KUMAR PODDAR
  		VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956

VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995

VIOLATED RULE 4 OF SEBI (STOCK BROKERS & SUB BROKERS) RULES, 1992

VIOLATED REGULATION 7 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 24 OF SEBI ACT, 1992   		PROSECUTION LAUNCHED

15-MAY-2006 		 
9
History of entity/person RATAN LAL PODDAR,M/S  
Click here to view complete history of this specific entity/person RATAN LAL PODDAR
  		VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956

VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995

VIOLATED RULE 4 OF SEBI (STOCK BROKERS & SUB BROKERS) RULES, 1992

VIOLATED REGULATION 7 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 24 OF SEBI ACT, 1992   		PROSECUTION LAUNCHED

15-MAY-2006 		 
10
History of entity/person TRIPOLI CONSULTANCY SERVICES PVT.LTD.  
Click here to view complete history of this specific entity/person BHAGWATI PRASAD SINGHANIA
Click here to view complete history of this specific entity/person PRAVEEN KUMAR AGARWAL
  		VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956

VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995

VIOLATED RULE 4 OF SEBI (STOCK BROKERS & SUB BROKERS) RULES, 1992

VIOLATED REGULATION 7 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 24 OF SEBI ACT, 1992   		PROSECUTION LAUNCHED

15-MAY-2006 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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