Regulatory Actions
Exchange
- Members
Sr. No. | Member Name | Member Code | Reason of Suspended / Expelled | Date of Declaration Of Suspended / Expelled | Date of revocation | Circular No. | Current Status | Current Status Date |
---|---|---|---|---|---|---|---|---|
1 | CLARIDGES INVESTMENTS & FINANCE PRIVATE LIMITED | 10605 | Failure of the trading member in meeting the capital adequacy requirements for continued admittance to the trading membership of the Exchange | 2-Apr-07 | till date | Vide Press release dated 4/2/2007 | Suspended | 2-Apr-07 |
2 | GROWTH AVENUES LTD | 07781 | Failure of the trading member in meeting the capital adequacy requirements for continued admittance to the trading membership of the Exchange | 2-Apr-07 | till date | Vide Press release dated 4/2/2007 | Suspended | 2-Apr-07 |
3 | JAICO SECURITIES P. LTD | 06007 | Pursuant to SEBI order no.-CO/IVD-6/292/2009 dated October 23, 2009 | 27-Oct-09 | 25-Dec-09 | NSE/COMP/13347 | Enabled | 29-Dec-09 |
4 | BANHEM SECURITIES PVT LTD | 06536 | Pursuant to SEBI order no.-WTM/MSS / MIRSD /25/2009 dated October 29, 2009 | 19-Nov-09 | 19-Nov-09 | NSE/COMP/13492 | Enabled | 19-Nov-09 |
5 | MONEYCARE SECURITIES & FINANCIAL SERVICES LTD. | 06471 | Pursuant to SEBI Order dated February 20, 2008 | 13-Mar-08 | 13-Mar-08 | Not applicable since member was suspended for only one day. | Enabled | 14-Mar-08 |
6 | DGP SECURITIES LIMITED | 06541 | Pursuant to SEBI Order dated September 25, 2008 | 17-Oct-08 | 16-Nov-08 | NSE/COMP/11504 | Enabled CM, Disabled FnO | 17-Nov-08 |
7 | ANUGRAH STOCK & BROKING PVT. LTD. | 11856 | Pursuant to SEBI order dated May 22, 2009 | 25-May-09 | 4-Jun-09 | NSE/COMP/12437 | Enabled | 5-Jun-09 |
8 | NARAYAN SECURITIES LTD. | 09354 | Pursuant to SEBI order dated Jan 13, 2009 | 24-Jun-09 | 7-Jul-09 | NSE/COMP/12627 | Enabled | 8-Jul-09 |
9 | CREDENTIAL STOCK BROKERS LTD. | 09033 | Pursuant to SEBI order dated Jan 13, 2009 | 24-Jun-09 | 7-Jul-09 | NSE/COMP/12627 | Enabled | 8-Jul-09 |
10 | ANIL KUMAR SEHGAL | 07792 | Pursuant to SEBI order no.-WTM/MSS / MIRSD /25/2009 dated October 29, 2009 | 19-Nov-09 | Till payment of SEBI Registration Fees | NSE/COMP/13492 | Suspended | 19-Nov-09 |
11 | RAJKUMAR CHAINRAI BASANTANI | 06494 | Pursuant to SEBI order dated December 12, 2008 | 2-Jan-09 | 2-Jan-11 | NSE/COMP/11839 | Suspended | 2-Jan-09 |
Pursuant to SEBI order dated October 16, 2009 | 16-Oct-09 | 15-Oct-11 | No Circular Downloaded, as the member was already suspended on Jan 2, 2009 | Suspended | 2-Jan-09 | |||
Pursuant to SEBI order no.WTM/MSS/MIRSD/35/2010 dated February 3, 2010 | 24-Feb-10 | Till payment of SEBI Registration Fees | No Circular Downloaded, as the member was already suspended on Jan 2, 2009 | Suspended | 2-Jan-09 | |||
12 | PARNI SECURITIES LTD | 06444 | Pursuant to SEBI order no.-WTM/MSS/MIRSD/11/2009 dated August 10, 2009 | 31-Aug-09 | Till payment of SEBI Registration Fees | NSE/COMP/12976 | Suspended | 31-Aug-09 |
13 | MAHESH INVESTMENTS | 06601 | Pursuant to SEBI order no.-WTM/MSS/MIRSD/11/2009 dated August 10, 2009 | 31-Aug-09 | Till payment of SEBI Registration Fees | NSE/COMP/12976 | Suspended | 31-Aug-09 |
14 | PRACHI FINANCIAL SERVICES (P) LTD | 08817 | Pursuant to SEBI order no.-WTM/MSS/MIRSD/11/2009 dated August 10, 2009 | 31-Aug-09 | Till payment of SEBI Registration Fees | NSE/COMP/12976 | Suspended | 31-Aug-09 |
15 | BHARAT RASAYAN FINANCE LTD | 08142 | Pursuant to SEBI order no.-WTM/MSS / MIRSD /25/2009 dated October 29, 2009 | 19-Nov-09 | Till payment of SEBI Registration Fees | NSE/COMP/13492 | Suspended CM, Enabled FnO | 19-Nov-09 |
16 | MEKASTER SECURITIES PVT. LTD. | 08262 | Pursuant to SEBI order dated December 12, 2008 | 2-Jan-09 | 1-Feb-09 | NSE/COMP/11839 | Surrendered Membership | 8-Sep-09 |
17 | C. MACKERTICH LTD. | 07694 | Pursuant to SEBI order dated December 12, 2008 | 2-Jan-09 | 1-Feb-09 | NSE/COMP/11839 | Applied for Surrender | 5-Jun-09 |
18 | M ASHOK MOOTHA | 01389 | Pursuant to SEBI order no.- WTM/MSS/MIRSD/38/2010>dated March 08, 2010 | 29-Mar-10 | 30-Mar-10 | NSE/COMP/14425 | Disabled | 12-Mar-07 |
19 | AKI FINANCE & SECURITIES (P) LTD | 08554 | Pursuant to SEBI order no.-WTM/MSS / MIRSD /25/2009 dated October 29, 2009 | 19-Nov-09 | Till payment of SEBI Registration Fees | NSE/COMP/13492 | Suspended CM, Disabled FnO | 15-Mar-04 |
20 | H K FINANCE & CAPITALS LTD | 06812 | Pursuant to SEBI order no.-WTM/MSS / MIRSD /25/2009 dated October 29, 2009 | 19-Nov-09 | Till payment of SEBI Registration Fees | NSE/COMP/13492 | Suspended | 30-Aug-05 |
21 | DUGAR CAPITAL MANAGEMENT SERVICES LTD. | 08551 | Pursuant to SEBI order no.-WTM/MSS / MIRSD /25/2009 dated October 29, 2009 | 19-Nov-09 | Till payment of SEBI Registration Fees | NSE/COMP/13492 | Surrender Approved | 1-Dec-99 |
22 | GILTEDGE CREDIT CAPITAL LTD. | 08864 | Pursuant to SEBI order no.-WTM/MSS / MIRSD /25/2009 dated October 29, 2009 | 19-Nov-09 | Till payment of SEBI Registration Fees | NSE/COMP/13492 | Suspended | 30-Aug-05 |
23 | NIKKO CAPITAL MARKET PVT. LTD. | 07531 | Pursuant to SEBI order no.-WTM/MSS / MIRSD /25/2009 dated October 29, 2009 | 19-Nov-09 | Till payment of SEBI Registration Fees | NSE/COMP/13492 | Suspended CM, Disabled FnO | 26-Oct-01 |
24 | ALKA SECURITIES LTD | 06292 | Pursuant to SEBI order dated October 30, 2009 | 23-Jan-10 | 22-Mar-10 | NSE/COMP/13974 | Enabled | 11-May-10 |
Pursuant to SEBI order no. WTM/KMA/IVD/260/04/2010 dated April 29, 2010 | 30-Apr-10 | 10-May-10 | NSE/INVG/14685 | Enabled | 11-May-10 | |||
25 | RAJANARAYAN CAPITAL MARKETS SERVICES LTD. | 07532 | Pursuant to SEBI order no.-WTM/MSS/MIRSD/35/2010 dated February 03, 2010 | 24-Feb-10 | Till payment of SEBI Registration Fees | No Circular Downloaded, as the member was already suspended | Suspended | 4-Aug-06 |
List of trading members who have been issued show cause for dealing on behalf of entities debarred by SEBI.
Sr.No. | Name of Trading Members | Details |
---|---|---|
1 | India Infoline Ltd. | SEBI order no WTM/KMA/60/04/2009 dated April 23, 2009 in the matter of Pyramid Saimira Theatre Limited. |
2 | Monarch Project And Finmarkets Ltd | SEBI order no WTM/KMA/60/04/2009 dated April 23, 2009 in the matter of Pyramid Saimira Theatre Limited. |
3 | Sankalp Share Brokers (P) Ltd. | SEBI order no WTM/KMA/60/04/2009 dated April 23, 2009 in the matter of Pyramid Saimira Theatre Limited. |
4 | Transparent Shares & Securities Pvt Ltd | SEBI order no WTM/KMA/60/04/2009 dated April 23, 2009 in the matter of Pyramid Saimira Theatre Limited. |
5 | Action Financial Services (India) Ltd | SEBI order no WTM/KMA/60/04/2009 dated April 23, 2009 in the matter of Pyramid Saimira Theatre Limited. |
Updated on: 30/09/2024