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SOURCE OF INFORMATION

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 : 02-MAR-2026

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.

MERCHANT BANKERS: ANY APPLICATION OF ALTIUS FINSERV PVT.LTD. WILL NOT BE CONSIDERED BY SEBI FOR RENEWAL OF CERTIFICATE OF REGISTRATION TO ACT AS AN INTERMEDIARY IN ANY CAPACITY

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
341
History of entity/person PITTIE FINANCE LTD.  
  REGISTRATION EXPIRED

DID NOT APPLY FOR RENEWAL OF REGISTRATION   		CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-FEB-1998

20-AUG-1998 		 
342
History of entity/person PNB INVESTMENT SERVICES LTD.  
Click here to view complete history of this specific entity/person L.P.AGARWAL
  		DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS

DID NOT EXERCISE DUE DILIGENCE IN IPO OF TAKSHEEL SOLUTIONS LTD.   		PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 28-DEC-2011 TILL FURTHER ORDERS

28-DEC-2011 		SEBI VIDE ITS ORDER DATE 07/09/2012 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011

SAT: SAT VIDE ITS ORDER DATED 20/11/2012 DIRECTED SEBI TO COMPLETE THE INVESTIGATION, QUA THE APPELLEANTS, WITHIN A PERIOD OF EIGHT WEEKS FROM THE DATE OF THIS ORDER. FURTHER IF SEBI FAILS TO ADHERE TO THIS TIME LIMIT THE INTERIM ORDER DATED 28/12/2011 QUA THE APPELLANTS. SHALL STAND VACATED  
343
History of entity/person POPULAR SHARE & STOCK BROKERS PVT.LTD.  
  INCREASE IN THE NUMBER OF UNRESOLVED COMPLAINTS BY PORTFOLIO MANAGEMENT CLIENTS   DEBARRED FROM UNDERTAKING FRESH BUSINESS AS MERCHANT BANKER FROM 25-JAN-1999

25-JAN-1999 		 
344
History of entity/person POPULAR STOCK & SHARE SERVICES LTD.  
  REGISTRATION EXPIRED

DID NOT APPLY FOR RENEWAL OF REGISTRATION   		CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-SEP-1998

27-NOV-1998 		 
345
History of entity/person PRABHUDAS LILLADHER PVT.LTD.

(PAN:AAACP2733Q)

(Along with : KHANDWALA SECURITIES LTD.)  
  MULTIPLE LEGAL PROCEEDINGS PENDING AGAINST THE COMPANY   REJECTED APPLICATION FOR REGISTRATION AS UNDERWRITER

11-OCT-2004 		 
346
History of entity/person PRADESHIYA INDL.& INV.CORP.OF U.P.LTD.,THE  
  DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION   CANCELLED REGISTRATION AS MERCHANT BANKER FROM 28-FEB-1999

26-MAR-1999 		 
347
History of entity/person PRANJAL CORPORATE SERVICES PVT.LTD.  
  DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION   CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-JAN-1999

26-FEB-1999 		 
348
History of entity/person PREMIUM CAPITAL MARKET & INVESTMENTS LTD.

(PAN:AABCP2228H
CIN:L67120MP1992PLC007178)  
  DID NOT INFORM SEBI ABOUT FAILURE OF INVESTMENT BY FOREIGN COMPANY BEFORE PUBLIC ISSUE VIOLATING SECTION L OF SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000 IN MATTER OF CONSORTEX KARL DOELITXSCH (I) LTD.   WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

12-OCT-2009 		 
349
History of entity/person PREMIUM CONSULTANCY PVT.LTD.  
  DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION   CANCELLED REGISTRATION AS MERCHANT BANKER FROM 28-FEB-1999

26-MAR-1999 		 
350
History of entity/person PREMIUM INTERNATIONAL FINANCE LTD.  
  DID NOT PAY FEES TO SEBI   SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 27-JUL-1998 TILL THE REMAINING PERIOD OF REGISTRATION

05-AUG-1998 		 
351
History of entity/person PRIMEAST INVESTMENTS LTD.  
  DID NOT APPLY FOR RENEWAL OF REGISTRATION

REGISTRATION EXPIRED   		CANCELLED REGISTRATION AS MERCHANT BANKER FROM 30-NOV-1998

28-DEC-1998 		 
352
History of entity/person PROVESTMENT CAPITAL SERVICES LTD.  
  DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION   CANCELLED REGISTRATION AS MERCHANT BANKER FROM 28-FEB-1999

26-MAR-1999 		 
353
History of entity/person PRUDENTIAL CAPITAL MARKETS LTD.  
  DID NOT EXERCISE DUE DILIGENCE   SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 08-OCT-1998

08-OCT-1998 		 
354
History of entity/person PRUDENTIAL CAPITAL MARKETS LTD.  
  DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION   CANCELLED REGISTRATION AS MERCHANT BANKER FROM 14-FEB-1999

26-MAR-1999 		 
355
History of entity/person PUNJAB FINANCIAL CORP.  
  REGISTRATION EXPIRED

DID NOT APPLY FOR RENEWAL OF REGISTRATION   		CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-SEP-1998

27-NOV-1998 		 
356
History of entity/person PUNJAB NATIONAL BANK

(PAN:AAACP0165G)  
  DID NOT EXERCISE DUE SKILL AND DILIGENCE IN MATTER OF MEFCOM CAPITAL MARKETS LTD.   CENSURED PNB CAPITAL SERVICES LIMITED FOR VIOLATION OF CODE OF CONDUCT

18-FEB-2005 		 
357
History of entity/person R.KANNAN  
Click here to view complete history of this specific entity/person IMPERIAL CORPORATE FINANCE & SERVICES PVT.LTD.
  		DID NOT EXERCISE DUE CARE & DILIGENCE IN RIGHTS ISSUE OF GAMMON INDIA LTD.   SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 08-MAY-2003 TO 22-MAY-2003

10-APR-2003 		SAT: IMPUGNED ORDER AND ORDER PASSED BY ENQUIRY OFFICER SET ASIDE, NO ORDER AS TO COSTS  
358
History of entity/person RADICO KHAITAN FINANCE LTD.

(PAN:AABCR3652D)  
  DID NOT SUBMIT EMPLOYEE DATABASE   CANCELLED REGISTRATION AS MERCHANT BANKER FROM 09-SEP-1998

08-OCT-1998 		 
359
History of entity/person RAIYANI MANAGEMENT & FIN.SECURITIES PVT.LTD.  
  REGISTRATION EXPIRED

DID NOT APPLY FOR RENEWAL OF REGISTRATION   		CANCELLED REGISTRATION AS MERCHANT BANKER FROM 31-JUL-1998

27-AUG-1998 		 
360
History of entity/person RAJASHREE FISCAL SERVICES LTD.  
  COMMITTED IRREGULARITIES IN PUBLIC ISSUE OF SAATAL KATTHA & CHEMICALS LTD.   DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-JAN-2004 TO 12-JAN-2007

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-JAN-2004 TO 12-JAN-2007

13-JAN-2004 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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