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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.

COMPANIES: DEALT IN CASH WITH CLIENTS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person DAS CO.  
History of entity/person BANI DAS
History of entity/person BIVA RANI DAS
History of entity/person SUDHIR RANJAN DAS
  		INVOLVED IN FRAUDULENT ACTIVITIES TO INDUCE INVESTORS TO INVEST MONEY

DEALT IN CASH WITH CLIENTS

COMMITTED IRREGULARITIES PERTAINING TO CLIENTS SECURITIES

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS  		PROHIBITED FROM RAISING MONEY FROM PUBLIC FROM 20-FEB-2007 TILL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-FEB-2007 TILL FURTHER ORDERS

20-FEB-2007 		DIRECTIONS IMPOSED VIDE AD-INTERIM EX-PARTE ORDER DATED 20/02/2007 RESTRAINING FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET IN ANY MANNER, DIRECTLY OR INDIRECTLY, VACATED

DIRECTED NOT TO ACCEPT MONEY FROM INVESTORS UNDER MONTHLY INCOME SCHEME OR BY WAY OF ANY OTHER SIMILAR SCHEMES IN CONTRAVENTION OF REGULATIONS FRAMED UNDER SEBI ACT, 1992
2 
History of entity/person MONEY SECURE INVESTOR

(PAN:CBPPS2075D)  
History of entity/person ALKA SHRIVASTAVA

(PAN:CBPPS2075D)
  		DID NOT PROVIDE MATERIAL INFORMATION TO SEBI

PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS

TRADED ON BEHALF OF CLIENTS

PROVIDED ADVICE WITHOUT PROPER RATIONALE TO RISK PROFILE OF CLIENTS

SOLD MULTIPLE PRODUCTS AND CHARGED UNREASONABLE FEES AND/OR SERVICE CHARGE

DISPLAYED INCORRECT NUMBER OF PENDING COMPLAINTS ON WEBSITE

DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME

DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES IN STIPULATED TIME

DEALT IN CASH WITH CLIENTS  		SUSPENDED REGISTRATION AS INVESTMENT ADVISER FROM 28-MAR-2023 TO 27-MAR-2024

28-MAR-2023
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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