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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: DIRECTED TO COMMUNICATE ORDER TO COMPLAINANTS WHOSE COMPLAINTS PENDING RESOLUTION

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

(PAN:AISPV5820B)  
History of entity/person INVESTMENT VISOR

(PAN:AISPV5820B)
  		DID NOT CO-OPERATE AND NOT SUBMITTED DOCUMENTS DURING INSPECTION

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

PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS

DID NOT POSSESS NISM CERTIFICATE

DID NOT MAINTAIN RECORDS OF COMMUNICATION WITH CLIENTS DURING RISK PROFILING AND SUITABILITY ASSESSMENT OF ADVICE/SELECTION OF ADVISORY PRODUCT/SERVICES

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

PUBLISHED FALSE CLAIMS ON WEBSITE AND PHONE CALLS

CHARGED GST AMOUNTS EVEN AFTER CANCELLATION OF GOODS AND SERVICES TAX NETWORK (GSTN)  		DIRECTED TO COMMUNICATE ORDER TO COMPLAINANTS WHOSE COMPLAINTS PENDING RESOLUTION

DIRECTED TO RESOLVE ALL PENDING COMPLAINTS

DIRECTED TO FILE A REPORT OF RESOLUTION OF COMPLAINTS

IMPOSED PENALTY RS.12,00,000 ALONG WITH OTHER ENTITIES/PERSONS

31-JUL-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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