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1
|
Sikon Securities Limited
|
Suspension
|
Unauthorised sale of clients shares
|
November 2,2009
|
Still in force
|
|
2
|
Fortress Capital Limited
|
Suspension(Now lifted)
|
Unauthorised sale of shares belonging to client.
|
March 4,2011
|
Suspension was been lifted on July 13, 2011
|
|
3
|
Monument Securities & Finance Limited
|
Suspension
|
Unauthorised sale of shares belonging to client.
|
March 4,2011
|
Suspension was lifted on June 12, 2015
|
|
4
|
Midland Capital Market Limited
|
Suspension
|
Failure to pay client return on investment and part of the principal sum invested.
|
March 15,2011
|
Still in force
|
|
5
|
Foresight Securities and Investment Limited
|
Suspension
|
Breach of share purchase and resell agreement entered into with client
|
March 4,2011
|
Still in force
|
|
6
|
AAA Stockbrokers Limited
|
Suspension
|
Unethical capital market conduct
|
April 2006
|
Closed business
|
|
7
|
Beachgrove Securities Limited
|
License revoked
|
Unethical capital market conduct
|
2007
|
Closed business
|
|
8
|
Akitorch Securities Limited
|
License revoked
|
Unethical capital market conduct
|
2007
|
closed business
|
|
9
|
Midlands Investment and Trust Co. Ltd.
|
Suspension
|
Yet to pay penalty for non-rendition of quarterly returns
|
June 8,2010
|
Still in force
|
|
10
|
Mayfield Investment Ltd.
|
Suspension
|
Yet to pay penalty for non- rendition of quarterly returns
|
June 8,2010
|
Still in force
|
|
11
|
First Integrated Capital Management Ltd.
|
Suspension
|
Yet to pay penalty for non- rendition of quarterly returns
|
June 8,2010
|
Still in force
|
|
12
|
Epic Investment Ltd.
|
Suspension
|
Yet to pay penalty for non-rendition of quarterly returns
|
June 8,2010
|
Still in force
|
|
13
|
Zuma Securities Ltd.
|
Suspension
|
Yet to pay penalty for non-rendition of quarterly returns
|
June 8,2010
|
Still in force
|
|
14
|
SLAMAD Securities Ltd
|
Suspension
|
Yet to pay penalty for non-rendition of quarterly returns
|
June 8,2010
|
Still in force
|
|
15
|
Dolbic Finance Ltd
|
Suspension
|
Yet to pay penalty for non-rendition of quarterly returns
|
June 8,2010
|
Still in force
|
|
16
|
IMTL Securities Ltd
|
Suspension
|
Yet to pay penalty for non-rendition of quarterly returns
|
June 8,2010
|
Still in force
|
|
17
|
Tropics Securities Ltd
|
Suspension
|
Yet to pay penalty for non-rendition of quarterly returns
|
June 8,2010
|
Still in force
|
|
18
|
Wema Securities & Finance Plc
|
Suspension
|
Yet to pay penalty for non- rendition of quarterly returns
|
May 10,2010
|
Still in force
|
|
19
|
New Horizon Securities Ltd
|
Suspension
|
Yet to pay penalty for non-rendition of quarterly returns
|
June 8,2010
|
Still in force
|
|
20
|
Lynac Securities Ltd
|
Suspension
|
Yet to pay penalty for non- rendition of quarterly returns
|
June 8,2010
|
Still in force
|
|
21
|
Indemnity Finance Ltd
|
Suspension
|
Yet to pay penalty for non- rendition of quarterly returns
|
June 8,2010
|
Still in force
|
|
22
|
Global Investmentand Securities Ltd
|
Suspension
|
Yet to pay penalty for non- rendition of quarterly returns
|
June 8,2010
|
Still in force
|
|
23
|
IT IS Securities Ltd
|
Suspension
|
Yet to pay penalty for non-rendition of quarterly returns
|
June 8,2010
|
Still in force
|
|
24
|
HP Securities Ltd
|
Suspension
|
Yet to pay penalty for non-rendition of quarterly returns
|
June 8,2010
|
Still in force
|
|
25
|
Folu securities Ltd
|
Suspension
|
Yet to pay penalty for non- rendition of quarterly returns
|
June 8,2010
|
Still in force
|
|
26
|
First Marina Trust Ltd
|
Suspension
|
Yet to pay penalty for non- rendition of quarterly returns
|
June 8,2010
|
Still in force
|
|
27
|
First Marina Trust Ltd
|
Suspension
|
Yet to pay penalty for non- rendition of quarterly returns
|
June 8,2010
|
Still in force
|
|
28
|
Equator Stockbrokers Ltd
|
Suspension
|
Yet to pay penalty for non rendition of quarterly returns
|
June 8,2010
|
Still in force
|
|
29
|
City Finance and Securities Ltd
|
Suspension
|
Yet to pay penalty for non- rendition of quarterly returns
|
June 8,2010
|
Still in force
|
|
30
|
Riverside Trust Ltd
|
Suspension
|
Yet to pay penalty for non –rendition of quarterly returns
|
June 8,2010
|
Still in force
|
|
31
|
Peak Securities Ltd
|
Suspension
|
Yet to pay penalty for non- rendition of quarterly returns
|
June 8,2010
|
Still in force
|
|
32
|
Omnisource Intl. Ltd
|
Suspension
|
Yet to pay penalty for non- rendition of quarterly returns
|
June 8,2010
|
Still in force
|
|
33
|
Professional Stockbrokers Ltd
|
Suspension
|
Yet to pay penalty for non- rendition of quarterly returns
|
June 8,2010
|
Still in force
|
|
34
|
Kingsway Securities Ltd
|
Suspension
|
Yet to pay penalty for non rendition of quarterly returns
|
June 8,2010
|
Still in force
|
|
35
|
Richmond Securities Ltd
|
Suspension
|
Yet to pay penalty for non- rendition of quarterly returns
|
June 8,2010
|
Still in force
|
|
36
|
Niche Securities Ltd
|
Suspension
|
Yet to pay penalty for non- rendition of quarterly returns
|
June 8,2010
|
Still in force
|
|
37
|
Viva Securities Limited
|
License revoked
|
Unethical Capital Market practices
|
2007
|
Closed business
|
|
38
|
Halsec Securities Limited
|
License revoked
|
Unethical Capital Market practices
|
2007
|
Closed business
|
|
39
|
Asset Plus Securities Limited
|
License revoked
|
Unethical Capital Market practices
|
2007
|
Closed business
|