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SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
UPDATED TILL : 21-NOV-2024

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

PERSONS: VIOLATED SEBI (INTERMEDIARIES) REGULATIONS, 2008

S.No. PERSON ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person DWARKA PRASAD GUPTA

(PAN:AKDPG6338G)  
History of entity/person HNI RESEARCH

(PAN:AKDPG6338G)
  		DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME

DID NOT INTIMATE SEBI ABOUT CHANGE OF ADDRESS VIOLATING REGULATIONS 9(1)(C) AND 13(1) OF SEBI (INTERMEDIARIES) REGULATIONS, 2008  		IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS

23-FEB-2022
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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