Regulatory Action

Regulatory Action

As per the SEBI circular no. SEBI/HO/EFD1/EFD1_DRA4/P/CIR/2022/104 dated July 29, 2022 and MSE Circular No.: MSE/MEM/12246/2022 dated September 02, 2022 regarding framework for automated deactivation of trading and demat accounts with inadequate Know Your Customer (KYC) details. The List of PANs deactivated due to non-delivery of SEBI Show cause Notice / Orders is as under.

Documents relating to PANs deactivated for inadequate KYC
Description	File
List of PANs deactivated on account of non-delivery of SCN Orders in cases of inadequate KYCs

Regulatory Orders Against The Listed Company(S)

Regulatory orders against listed companies
Sr. No.	Date	Company Name	File
1	--	--

Regulatory Orders Against The Trading / Clearing Member(S)

Regulatory orders against trading and clearing members
Sr. No.	Date	Company Name
1	20 May 2010	Sunchan Securities Ltd
2	23 Jun 2010	Ganga Yamuna Finvest Pvt. Ltd.
3	09 Nov 2011	Mudra Bullions Pvt Ltd.
4	24 Aug 2012	Jaypee Capital Services Limited
5	24 Aug 2012	Swastika Investmart Ltd.
6	24 Aug 2012	Marigold Vanijya Pvt. Ltd.
7	21 Mar 2013	Composite Securities Ltd.
8	07 May 2013	Mudra Bullion Pvt. Ltd.
9	20 May 2013	Credo Securities Pvt. Ltd.
10	20 May 2013	Pushpak Finstock
11	16 Jul 2013	Mauzampuria Securities Broking Pvt. Ltd
12	31 Mar 2014	SAARC Net Ltd
13	31 Mar 2014	Prime Broking Company (India) Ltd.
14	25 Apr 2014	Kundan Care Products Ltd.
15	26 Jun 2014	Aanya Commodities Pvt Ltd.
16	26 Jun 2014	Aastha Agencies
17	26 Jun 2014	Jain Broking Pvt Ltd.
18	26 Jun 2014	Amber Solutions Pvt Ltd.
19	24 Sept 2014	Unickon Securities Pvt. Ltd.
20	09 Dec 2014	Aastha Agencies
21	09 Dec 2014	Jain broking Pvt Ltd.
22	29 May 2015	Kassa Finvest Private Limited
23	29 May 2015	Max Plan Wealth Securities Ltd
24	18 Aug 2015	Micro forex Equity & Derivatives Private Limited
25	18 Aug 2015	Aimco Finex Limited
26	19 Sept 2015	Fin Brains Securities (India) Limited
27	19 Sept 2015	Click2trade Capital Limited
28	22 Nov 2015	Orion Capital and Debt Market
29	22 Nov 2015	Moongipa Investments Limited
30	22 May 2016	RS Financial Services
31	22 May 2016	Camellia Securities Pvt. Ltd
32	22 May 2016	Maa Padmawati Share And Stock Broking Private Limited
33	30 Nov 2017	Amrapali Aadya Trading & Investment Pvt. Ltd.
34	30 Aug 2024	SEBI Order Against Members

Arbitral Awards

Arbitral awards by applicant, respondent, arbitrator and award reference
Sr. No.	Date	Name Of Applicant	Name Of Respondent	Name Of Arbitrator(s)	Awards
1	20 May 2010	Mr. Binod Kumar Rathi	Religare Securities Ltd.	R.K.Ahooja	A.M. No. DEL-06/2012
2	05 Aug 2011	Ms. Manjulika Rani	Religare Securities Ltd.	R.K.Ahooja	A.M. No. 01/2011
3	05 Aug 2011	Mr. Mahinder Pal Gupta	Religare Securities Ltd.	R.K.Ahooja	A.M. No. 02/2011
4	02 Nov 2011	Mr. Mohit Kumar	Religare Securities Ltd.	R.K.Ahooja	A.M. No. 03/2011
5	18 Jan 2012	Mrs. Jayasree Vijaya Kumar	Anand Rathi Share & Stock Brokers Ltd	Mr. S. Subramanian	A.M. No. CHE-01/2011
6	03 Apr 2012	Mr. Rishi Gupta	Religare Securities Ltd.	Vijai N. Mathur	A.M. No. DEL-04/2011
7	15 Jun 2012	Mrs. Shashikala Rathi	Religare Securities Ltd.	R.K.Ahooja	A.M. No. DEL-05/2012
8	12 Oct 2012	Mr. Biraham Dutt Sharma	M/s. Angel Broking Ltd.	R.K.Ahooja	A. M. No. DEL. 07/2012
9	15 Nov 2012	Mr. Rohit Shandil	M/s. Religare Securities Ltd.	Smt. Lakshmi Swaminathan	A. M. No. DEL. 08/2012
10	13 Dec 2012	Mr. Asoke Kumar Sinha	M/s. IndiaNivesh Securities Pvt. Ltd.	Shri C. K. Basu	A. M. No. KOL- 02/2012
11	18 Dec 2012	Mr. Jetho Khemani	M/s. Religare Securities Ltd.	Mr. Pradip Kedia	A. M. No. MUM- 01/2012
12	10 Jan 2013	Mr. Prabhakar Bhaskarrao Pawar	M/s. Angel Broking Ltd.	Justice Dr. Pratibha Upasani (Retd.)	A.M. No. MUM-02/2012
13	10 Jan 2013	Mr. Deepanwita Chatterjee	SMC Global Securities Ltd	Shri C. K. Basu	A.M. No. KOL-01/2012
14	10 Jan 2013	Mr. Ravindra Kumar Srivastava	Religare Securities Ltd.	R. K. Ahooja	A.M. No. DEL-09/2012
15	14 Feb 2013	Mr. Deepak Kumar	M/s. Angel Broking Ltd.	Neeraj Aarora	A.M. No. DEL-10/2012
16	15 Mar 2013	Mr. Amanpreet Singh	M/s. Angel Broking Ltd.	Neeraj Aarora	A.M. No. DEL-11/2012
17	16 Apr 2013	Mrs. Debjani Gautam Nandi	SMC Global Securities Ltd.	Justice A. S. Aguiar (Retd.)	A.M. No. KOL-01/2012
18	25 Apr 2013	Mr. Sailendra Kumar	Kaynet Capital Ltd	Justice Mahmood Ali Khan (Retd.)	A.M. No. DEL-12/2013
19	30 Apr 2013	Mrs. Sunita Gupte	RTG Share Broking Ltd.	Mr. Deba Prasad Roy	A.M No. MUM-04/2012
20	13 May 2013	Ms. Pooja Kalra	Angel Broking Ltd	Shri R. K. Ahooja	A.M No. DEL-13/2013
21	23 May 2013	Ms. Taposi Mitra	Nirmal Bang Securities Pvt. Ltd.	Shri Chandan Kumar Basu	A.M No. KOL-03/2013
22	26 Jun 2013	Mr. Dheeraj Agarwal	Nirmal Bang Securities Pvt. Ltd.	Shri Vijay Mathur	A.M No. DEL-14/2013
23	19 Aug 2013	Kedia Stocks & Commodities Research Pvt.Ltd.	Gauri Shankar Sharma	Shri. Anil Agrawal	A.M.No. DEL-15/2013
24	06 Sept 2013	HRIM Finance and Securities Pvt. Ltd.	Globe Capital Market Ltd.	Mr. Narendra J. Mehta	CCL/A.M No.MUM-01/2013
25	21 Oct 2013	Mr. Sambhu Nath Rudra Pal	Nirmal Bang Securities Pvt. Ltd.	Mr. Amitabha Mandal	A.M No. KOL-04/2013
26	12 Mar 2014	Mrs. Usha Devi Banka	Nirmal Bang Securities Pvt. Ltd.	Mr. Sanjay Bajoria	A.M No. KOL-05/2013
27	13 Mar 2014	Mr. Ashish Gupta	Click2Trade Capital Ltd.	Mr. Tejinder Singh Laschar	A.M No. DEL-17/2013
28	03 Apr 2014	Fairwealth Securities Ltd	Mrs. Rashpal Kaur	Mr. Ashok Jain	A.M No. DEL-18/2013
29	03 Apr 2014	Mr. Prasanta Kumar Aditya	Nirmal Bang Securities Pvt. Ltd.	Mr. P. K. Bhattacharjee	A.M No. KOL-06/2013
30	10 Apr 2014	Religare Securities Ltd.	Mr. Hemanshu Shah	Mr. P. K. Thothawala	A.M No. AMD-01/2013
31	05 May 2014	Mr. Gyan Chandra Jain	Angel Broking Ltd	Mr. Vinod Kumar Shantilal Jain	A.M. No. IND-01/2014
32	26 May 2014	Mr. Liyakat Ali Khan	Fairwealth Securities Ltd.	Mr. Narendra Mehta	A.M. No. MUM-01/2014
33	11 Jul 2014	Mrs. Vinnie Srivastava	Angel Broking Ltd	Mr. Dileep Kumar Srivastava	A.M. No. KAN-01/2014
34	11 Jul 2014	Mr. Vyom Srivastava	Angel Broking Ltd	Mr. Dileep Kumar Srivastava	A.M. No. KAN-01/2014
35	04 Sept 2014	Religare Securities Ltd.	Mr. Rohit C Patel	Mr. Divyabhash C Anjaria	A.M.No AMD-01/2014
36	08 Oct 2014	Mr. Shyamal Majumder	Nirmal Bang Securities Pvt. Ltd.	Ms Priti Todi Justice Arunabha Barua Ms Neeloo Biswas	A.M.No KOL-01/2014
37	15 Oct 2014	Mr. Shib Kumar Dey	Achiievers Equities Ltd.	Mr. C K Basu	A.M.No KOL-02/2014
38	24 Nov 2014	Ms. Rabika Sultana Mondal	Religare Securities Ltd.	Mr. Natraj Radhakrishnan	A.M.No KOL-03/2014
39	26 Dec 2014	Mr. Dev Raj Gupta	Kassa Finvest Limited	Mr. Ashutosh Aggarwa	A.M.No DEL-02/2014
40	27 Dec 2014	Angel Broking Ltd.	Mr. Vijay Rochlani	Dwarkanath Annappa Kamat	A.M.No MUM-03/2014
41	05 Jan 2015	Mrs. Kanta Gupta	Kassa Finvest Pvt. Ltd.	Mr. P. K. Banerji	A.M.No DEL-01/2014
42	03 Feb 2015	Nirmal Bang Securities Pvt.	Mr. Ambarish Ghose	Mr. Sanjay Bajoria	A.M.No KOL-04/2014
43	12 Feb 2015	Ms. Kinjal Joshi	Monarch Project and Finmarkets Ltd.	Mr. Ajay Pandey	A.M.No AMD-03/2014
44	24 Feb 2015	Mr. Jayesh N. Doshi	Monarch Project and Finmarkets Ltd.	Mr. Dharmendra Dhelariya	A.M.No AMD-02/2014
45	06 Aug 2015	Mr. Vijendra Kumar	Religare Securities Ltd	Mr. Govind Krishna	A.M.No KAN-01/2015
46	21 Oct 2015	Mrs. Nidhi S Kedia	Religare Securities Ltd	Justice D. K. Trivedi (Retd.)	A.M.No AMD-01/2015
47	22 Feb 2016	Angel Broking Pvt Ltd	Mr. Raymond J. Patel	Mr. Shailesh R. Ghedia	A.M.No MUM-02/2015
48	04 Mar 2016	Mr. Girishkumar Panchal	Mr. Arvind D. Gaonkar- Respondent 1 SMC Global Securities Limited- Respondent 2	Mr. Rajesh Lalji Shethia	A.M.No MUM-01/2015
49	30 May 2016	Purti Vanaspati Pvt. Ltd.	Karvy Stock Broking Ltd	Mr. Sanwar Mal Gupta (Presiding Arbitrator) Mr. Vasudeo Agarwal Mr. Chandan Kumar Basu	A.M.No KOL-01/2016
50	05 Sept 2016	Mrs. Radhika Sareen	Religare Securities Limited	Mr. Anil Agrawal	A.M.No DEL-02/2016
51	05 Jan 2017	Maverick Share Brokers Limited	Vama Gems Private Limited	Mr. Neeraj Aarora(Presiding Arbitrator) Mr. P. K. Banerjee Mr. Anil Agarwal	A.M.No. DEL-01/2016
52	20 Dec 2019	Mrs. Purnima Barodia	Religare Securities Limited	Mr. Ashwin Ankhad(Presiding Arbitrator), Mr. D P Roy and Mr. Rajkumar Adukia	ARB/MUM-02-2019
53	20 Dec 2019	Mr. Prafull Barodia	Religare Securities Limited	Mr. Ashwin Ankhad(Presiding Arbitrator), Mr. D P Roy and Mr. Rajkumar Adukia	ARB/MUM-01-2019

Appellate Arbitral Awards

Appellate arbitral awards by appellant, respondent, arbitrators and award reference
Sr. No.	Date	Name Of Appellant	Name Of Respondent	Name Of Arbitrator(s)	Awards
1	10 Aug 2012	Mrs. Jayasree Vijaya Kumar	Anand Rathi Share & Stock Brokers Ltd	Shri C. Rangamani (Presiding Member), Shri A.V. Haridasan, Shri R. Ravi	A.A.M No. CHE-Appellate-01/2012
2	02 Mar 2013	Mr. Rohit Shandil	Religare Securities Ltd.	Justice S. N. Kapoor (Presiding Member), Shri R. K. Ahooja, Shri Vijay Mathur	A.A.M No. DEL-Appellate-01/2012
3	21 May 2013	Mr. Deepak Kumar	M/s. Angel Broking Ltd.	Shri Vijai Mathur, Shri R K Ahooja, Justice S N Kapoor	A.A.M No. DEL-Appellate-02/2012
4	28 May 2013	Mr. Prabhakar Bhaskarrao Pawar	M/s. Angel Broking Ltd.	Mr. Deba P. Roy (Presiding Member), Mr. Deepak Shah, Mr. Pradip Kedia	A.A.M No. MUM-Appellate-01/2012
5	24 Sept 2013	Mrs. Debjani Gautam Nandi	SMC Global Securities Ltd.	Mr Babulal Mundada (Presiding Arbitrator) Mr.Pankaj M Patel Mr Brijmohan L. Sarda	A.A.M No. MUM-Appellate-02/2012
6	24 Sept 2014	Fairwealth Securities Ltd.	Mr. Liyakat Ali Khan	Mr. S C. Gupta (Presiding Member) Mr. Pankaj M Patel Mr. Babulal Mundada	A.A.M NoARB/MUM-Appellate-01/2014
7	05 Jan 2015	Mr. Rohit Patel	Religare Securities Ltd.	Mr. Viral Bhatt (Presiding Member) Mr. Fenil Shah Mr. Paresh Thothawala	A.A.M No. AMD-Appellate-01/2014
8	13 Feb 2015	Nirmal Bang Securities Pvt. Ltd.	Mr. Shyamal Majumder	Mr. Alok Bhattacharyya (Presiding Arbitrator) Mr. Arup Ratan Chattopadhyay Mr. Saubir Bhattacharyya	A.A.M No. KOL-Appellate-01/2014
9	29 Apr 2015	Mr. Vijay Rochlani	Angel Broking Pvt. Ltd.	Mr. Anil Shah (Presiding Arbitrator) Mr. Bharat Sharma Mr. Jasbir Saluja	MUM/APPELLATE-01/2015
10	24 Jun 2015	Monarch Project and Finmarkets Ltd.	Ms. Kinjal Doshi	Mr. Ashwin Shah (Presiding Arbitrator) Mr. Rasesh Parikh Mr. Dharmendra Thelariya	AMD/APPELLATE-01/2015
11	24 Jun 2015	Monarch Project and Finmarkets Ltd.	Mr. Jayesh Doshi	Mr. Anil Shah (Presiding Arbitrator) Mr. Ashwin Shah Mr. Rasesh Parikh	AMD/APPELLATE-02/2015
12	16 Jul 2015	Nirmal Bang Securities Pvt. Ltd.	Mr. Ambarish Ghose	Ms. Anjali Agrawal (Presiding Arbitrator) Mr. Anil Murarka Mr. Shashi Mishra	KOL/APPELLATE-01/2015
13	07 Nov 2016	Purti Vanaspati Pvt. Ltd.	Karvy Stock Broking Ltd.	Mr. Dilip Kumar Das (Presiding Arbitrator) Smt. Priti Todi Mr. Mahesh Mathur	KOL/APPELLATE-01/2016
14	03 Dec 2020	Mr. Prafull Barodia.	Religare Broking Limited	Shri. S C Gupta (Presiding Arbitrator), Shri. Debasish Rabindra Mallick and Shri. Paresh Manilal Joshi	ARB/MUM/-APPELLATE-01/2020
15	03 Dec 2020	Mrs. Purnima Prafull Barodia	Religare Broking Limited	Shri. S C Gupta (Presiding Arbitrator), Shri. Debasish Rabindra Mallick and Shri. Paresh Manilal Joshi	ARB/MUM/-APPELLATE-02/2020

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Regulatory Action

Regulatory Action

Regulatory Orders Against The Listed Company(S)

Regulatory Orders Against The Trading / Clearing Member(S)

Arbitral Awards

Appellate Arbitral Awards