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Penal Actions against Trading Members during 2010-11

Last updated on 31-Dec-2019

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SN NAME OF THE TRADING MEMBER REGISTRATION NO. NO. OF  COMPLAINTS
RECEIVED

ACTION AGAINST TM, ITS SUB-BROKERS/AUTHORIZED PERSON AND EMPLOYEES TOGETHER
NO. OF PENAL ORDERS ISSUED## MONETARY PENALTIES LEVIED (RS. LAKHS)## NO. OF ARBITRATION  AWARDS ISSUED AGAINST
FOR COMPLAINTS FOR OTHERS FOR COMPLAINTS FOR OTHERS
1 A . G. SHARES & SECURITIES LTD. INB230825730 and INF230825730 0 - 2 - 1.55 0
2 A C AGARWAL SHARE BROKERS PVT LTD INB231326431 and INF231326431 0 - 2 - 0.30 0
3 A C CHOKSI SHARE BROKERS PVT. LTD. INB230992936 and INF230992936 1 - 2 - 0.10 0
4 A TO Z STOCK TRADE PRIVATE LIMITED INB231290637 and INF231290637 0 - 2 - 6.29 0
5 A. S. STOCK BROKING AND MANAGEMENT PVT LTD INB231213431 and INF231213431 0 - 2 - 0.10 0
7 AADINATH SECURITIES INB231254435 and INF231254435 0 - 2 - 0.85 0
9 ABHIK FINANCE PRIVATE LIMITED INB231120438 0 - 3 - 18.94 0
12 ACUMEN CAPITAL MARKET INDIA LIMITED INB230930334 and INF230930334 11 - 2 - 0.21 0
13 ADG SECURITIES PRIVATE LIMITED INB231309635 and INF231309635 0 - 2 - 0.16 0
14 ADINATH CAPITAL SERVICES LIMITED INB231254435 and INF231254435 0 - 2 - 0.38 0
15 ADITYA AJAY SHARE BROKERS PRIVATE LTD. INB231097933 and INF231097933 0 - 2 - 0.10 0
17 ADROIT FINANCIAL SERVICES PRIVATE LIMITED INB230853830, INE230853830 and INF230853830 11 - 3 - 0.44 0
18 ADROIT SHARE & STOCK BROKER PVT. LTD. INB231269136 and INF231269136 0 - 2 - 0.15 0
19 ADVENT STOCK BROKING PRIVATE LIMITED INB231270035 and INE231270035 0 - 2 - 0.30 0
20 AFN LANGRANA SHARE & STOCK BROKERS P. LTD INB230977234 and INF230977234 0 - 2 - 0.15 0
21 AGROY FINANCE AND INVESTMENT LIMITED INB230691930 and INF230691930 0 - 2 - 1.29 0
22 AIRAN FINSTOCKS PRIVATE LIMITED INB231323339 and INF231323339 0 - 2 - 0.05 0
23 AJCON GLOBAL SERVICES LIMITED INB230637630 and INF230637630 3 - 2 - 1.20 0
25 ALANKIT ASSIGNMENTS LIMITED INB230881235 28 - 5 - 1.78 0
27 ALDAN INVESTMENTS PRIVATE LIMITED INB231259939 and INF231259939 0 - 2 - 0.10 0
29 ALLEGRO CAPITAL ADVISORS PRIVATE LIMITED INB231299737 0 - 1 - 0.25 0
30 ALLIED FINANCIAL SERVICES PRIVATE LIMITED INB230769237 and INF230769237 0 - 2 - 0.64 0
31 ALMONDZ GLOBAL SECURITIES LTD INB231225237 and INF231225237 13 - 2 - 0.25 0
32 ALTINA SECURITIES PRIVATE LIMITED INB231085235 and INF231085235 0 - 2 - 3.59 0
34 AMAR & SONS STOCK BROKING PVT LTD INB231144537 and INF231144537 0 - 2 - 0.10 0
35 AMBIT CAPITAL PRIVATE LIMITED INB231247637 and INF231247637 0 - 2 - 1.10 0
36 AMBIT SECURITIES BROKING PVT. LTD. INB231217333 and INF231217333 0 - 2 - 0.25 0
37 AMI STOCK AND SHARE BROKERS PVT. LTD. INB231231136 0 - 1 - 0.25 0
38 AMIT JASANI FINANCIAL SERVICES PVT. LTD. INB231107237 0 - 2 - 1.29 0
39 AMIT NALIN SECURITIES PRIVATE LIMITED INB230980733 0 - 1 - 0.10 0
41 AMRAPALI CAPITAL AND FINANCE SERVICES LTD. INF230758835 0 - 4 - 19.29 0
42 AMU SHARE AND STOCK BROKERS PVT LIMITED INB230834438 and INF230834438 0 - 2 - 0.07 0
44 ANANT INVESTMENTS INB230815525 0 - 3 - 1.36 0
45 ANGEL CAPITAL & DEBT MARKET LTD INB231279838 and INF231279838 315 - 6 - 2.13 4
50 ANUSH SHARES AND SECURITIES PRIVATE LIMITED INB230817133 and INF230817133 0 - 2 - 0.05 0
51 ARCADIA SHARE & STOCK BROKERS PRIVATE LIMITED INB230778238 and INF230778238 78 - 3 - 1.30 2
52 ARCH FINANCE LIMITED INB230969834 and INF230969834 0 - 2 - 11.72 0
54 ARIHANT EQUITY INTERNATIONAL PRIVATE LIMITED INB230760637 0 - 1 - 0.20 0
55 ARJ SECURITIES PVT. LTD. INB230642136 0 - 2 - 3.61 0
56 ARJUN HOLDINGS PRIVATE LIMITED INB231129934, INE231129934 and INF231129934 0 - 3 - 0.72 0
58 ARYAN SHARE & STOCK BROKERS LTD. INB230805534 and INF230808834 1 - 2 - 3.14 0

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Note:
## Based on inspections conducted by the Exchange



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