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Penal Actions against Trading Members during 2011-12

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 1 - 2 - 0.25 0
2 A C AGARWAL SHARE BROKERS PVT LTD INB231326431 and INF231326431 1 - 2 - 0.10 0
3 A TO Z STOCK TRADE PRIVATE LIMITED INB231290637 and INF231290637 0 - 4 - 0.40 0
4 A. S. STOCK BROKING AND MANAGEMENT PRIVATE LIMITED INB231213431 and INF231213431 0 - 2 - 0.10 0
5 A.K.STOCKMART PVT. LTD INB231269532 and INF231269532 0 - 2 - 0.70 0
7 AADINATH SECURITIES INB231347825,INF231347825 0 - 2 - 0.15 0
9 ABHIK FINANCE PRIVATE LIMITED INB231120438,INF231120438,INE231120438 0 - 3 - 0.10 0
10 ABHIPRA CAPITAL LTD. INB230815035,INF230815035 and INE230815035 10 - 3 - 1.01 0
11 ACHINTYA SECURITIES INB231330227 and INF231330227 0 - 2 - 0.20 0
13 ACUMEN CAPITAL MARKET (INDIA) LTD INB230881431,INF230881431,INE230881431 0 - 3 - 1.00 0
14 ACUMEN SHARE SERVICES PRIVATE LIMITED INB230881431and INF230881431 0 - 2 - 0.29 0
16 ADINATH CAPITAL SERVICES LIMITED INB230692136,INF230692136 0 - 2 - 0.15 0
17 ADINATH STOCK BROKING PRIVATE LIMITED INB231280539 and INF231280539 0 - 2 - 0.30 0
18 ADITYA BIRLA MONEY LIMITED INB231347031,INF231347031,INE231347031 24 - 3 - 0.10 4
19 ADROIT FINANCIAL SERVICES PRIVATE LIMITED INB230853830,INF230853830 and INE230853830 6 - 3 - 0.35 0
20 AFN LANGRANA SHARE & STOCK BROKERS PRIVATE LIMITED INB230977234 and INF230977234 1 - 2 - 0.36 0
21 AGROY FINANCE AND INVESTMENT LIMITED INB230691930 and INF230691930 0 - 2 - 0.10 0
22 AIRAN FINSTOCKS PRIVATE LIMITED INB231323339 and INF231323339 0 - 2 - 0.20 0
23 AJCON GLOBAL SERVICES LIMITED INB230637630,INF230637630 1 - 2 - 0.75 0
25 ALACRITY SECURITIES LTD. INB230909834,INF230909834 0 - 2 - 0.55 0
29 ALDAN INVESTMENTS PVT LTD INB231259939 and INF231259939 1 - 2 - 0.30 0
30 ALLIED FINANCIAL SERVICES PVT LTD INB230769237,INF230769237 0 - 2 - 0.10 0
32 ALTINA SECURITIES PVT. LTD INB231085235,INF231085235 0 - 2 - 0.40 0
33 ALTIUS FINCAP MARKETS LIMITED INB230804633,INF230804633 0 - 2 - 0.10 0
34 AMAR & SONS STOCK INB231144537 and INF231144537 0 - 2 - 0.15 0
35 AMGIS HOLDINGS PRIVATE LIMITED INB230676837 and INF230676837 0 - 2 - 0.30 0
36 AMIDEEP INVESTMENT CONSULTANTS INB230661627 and INF230661627 0 - 2 - 0.20 0
37 AMIT JASANI FINANCIAL SERVICES PRIVATE LIMITED INB231107237 and INF231107237 0 - 2 - 0.20 0
38 AMIT NALIN SECURITIES PVT LTD INB230980733,INF230980733 0 - 2 - 0.25 0
39 AMOL FINANCIAL SERVICES PRIVATE LIMITED INB231272031 and INF231272031 0 - 2 - 0.20 0
42 ANAGRAM CAPITAL LIMITED INB231414534,INF231414534,INE231414534 0 - 3 - 0.60 0
43 ANAND RATHI SHARE AND STOCK BROKERS LIMITED INB230676935,INF230676935,INE230676935 49 - 3 - 0.30 8
44 ANANT INVESTMENTS INB230815525,INF230815525 0 - 2 - 0.59 0
45 ANG CAPITAL SERVICES PVT. LTD. INB231300733,INF231300733 and INE231300733 0 - 3 - 0.35 0
52 ANUSH SHARES & SECURITIES PVT.LTD. INB230817133,INF230817133 0 - 2 - 0.20 0
53 ARCADIA SHARE & STOCK BROKERS PRIVATE LIMITED INB230778238, INF230778238 and INE230778238 44 - 6 - 1.21 3
54 ARCH FINANCE LIMITED INB230969834 and INF230969834 0 - 2 - 0.99 0

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Note:
## Based on inspections conducted by the Exchange



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