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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: VIOLATED SEBI (CERTIFICATION OF ASSOCIATED PERSONS IN SECURITIES MARKETS) REGULATIONS, 2007

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person BULL RESEARCH INVESTMENT ADVISORS PVT.LTD.

(PAN:AAHCB1200H)  
History of entity/person ASHIF SHAIKH

(PAN:BGDPS3081F
DIN:07733482)
History of entity/person SANDEEP KUSHWAHA

(PAN:DPBPK9313F
DIN:08176753)
History of entity/person VINIT SATPUTE

(PAN:EBMPS2703F
DIN:07737200)
  		PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS

RECEIVED PAYMENT FROM FAMILY MEMBERS OF PRIMARY CLIENTS TO HIDE EXORBITANT FEES TAKEN FROM PRIMARY CLIENT

RAISED INVOICES IN THE NAME OF CLIENTS WHO DID NOT HAVE DEMAT/TRADING ACCOUNT

SOLD MULTIPLE PACKAGES TO CLIENTS WITH THREAT OF FORFEITURE AND CHARGED UNREASONABLE AND UNDISCLOSED FEE

RECEIVED PAYMENT BEFORE DOING KNOW YOUR CLIENTS (KYC) AND RISK PROFILING OF CLIENTS

CARRIED OUT IMPROPER RISK PROFILING OF CLIENTS

DID NOT MEET CAPITAL ADEQUACY NORMS AND TOOK REGISTRATION BY SUBMITTING FORGED CA CERTIFICATE TO SEBI

DID NOT FURNISH INFORMATION, RETURN ETC. TO SEBI

DID NOT HAVE VALID NCFM/NISM CERTIFICATE

DID NOT REDRESS INVESTOR COMPLAINTS  		IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS

29-MAY-2023 		SEBI VIDE ITS NOTICE DATED 07/08/2023 DIRECTED TO PAY RS.10,41,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
2 
History of entity/person DMI CAPITAL PVT.LTD.

(PAN:AAECD6486C)  
  ALLEGED FAILURE TO ENSURE TO OBTAIN NISM CERTIFICATION WITHIN ONE YEAR FROM THE DATE OF EMPLOYED OR ENGAGED  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)

31-JUL-2024
3 
History of entity/person INTENSIVE FISCAL SERVICES PVT.LTD.

(PAN:AAACI2540J)  
  KEY MANAGEMENT PERSONNEL DID NOT OBTAIN SERIES III-A AND NISM IX CERTIFICATIONS   IMPOSED PENALTY RS.3,00,000 ALONG WITH OTHER ENTITIES/PERSONS

16-APR-2024
4 
History of entity/person INTENSIVE FISCAL SERVICES PVT.LTD.

(PAN:AAACI2540J)  
History of entity/person D.K.SURANA

(PAN:AAPPS4537H)
  		DID NOT HAVE VALID NCFM/NISM CERTIFICATE  IMPOSED PENALTY

16-APR-2024
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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