| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
DELTA ALLIANCE INVESTMENTS
|
|
|
|
SANTA CHAKARABORTY
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
LURED LARGE NUMBER OF UNSUSPECTING INVESTORS OF EASTERN REGION BY ASSURING THEM HIGH RETURNS
|
RESTRAINED FROM ACCEPTING LOANS/DEPOSITS FROM PUBLIC FOR SECURITIES MARKET FROM 16-AUG-2004 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-AUG-2004 TILL FURTHER ORDERS
DEBARRED FROM ACTING AS UN-REGISTERED PORTFOLIO MANAGER FROM 16-AUG-2004 TILL FURTHER ORDERS
DEBARRED FROM PUBLISHING ADVERTISEMENTS LURING INVESTORS TO INVEST IN SECURITIES MARKET FROM 16-AUG-2004 TILL FURTHER ORDERS
16-AUG-2004
|
FILED CRIMINAL COMPLAINT ON 11/07/2008 AND PUBLIC CAUTIONED AND ADVISED NOT TO DEAL WITH RAJEEV KAPOOR
|
| 22 |
|
|
DILIP ANANTRAI DESAI
(PAN:AABPD3489M)
|
|
|
|
ASIAN CORPORATE CONSULTANCY
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 03-MAR-2016 TO 02-JUN-2016
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM ITS EXISTING CLIENTS / INVESTORS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-MAR-2016 TO 02-JUN-2016
24-APR-2015
|
SEBI VIDE ITS ORDER DATED 03/03/2016 DIRECTED 1) TO PROHIBIT FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF THREE YEARS 2) NOT TO UNDERTAKE, EITHER DIRECTLY OR INDIRECTLY, ANY ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING REGISTRATION FROM SEBI AS REQUIRED UNDER SECURITIES LAW 3) TO EXPEDITIOUSLY RETURN MONIES RECEIVED FROM ITS CLIENTS ALONG WITH PROMISED RETURNS, IN RESPECT OF ITS UNREGISTERED PORTFOLIO MANAGER AND INVESTMENT ADVISER ACTIVITIES AND SUBMIT A CERTIFICATE FROM A PEER REVIEWED CHARTERED ACCOUNTANT, WITHIN A PERIOD OF 3 MONTHS FROM DATE OF THIS ORDER
|
| 23 |
|
|
EAGLE BROKING
(Along with : FULLON CORP.,
LALSHAH MCX ALGO MANAGEMENT CO.,
ATLAS CORP.,
GLOBAL MCX MANAGEMENT SERVICE)
|
|
|
|
FIROZ RAFIQ KHANDA
PAN:AFMPK5766J
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-JUN-2018 TO 19-JUN-2021
05-JUN-2014
DIRECTED TO DISGORGE RS.2,21,86,250 ALONG WITH OTHER ENTITIES/PERSONS
12-MAY-2016
|
SEBI VIDE ITS ORDER DATED 15/09/2014 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 05/06/2014
SEBI VIDE ITS ORDER DATED 12/05/2016 DIRECTED TO 1. IMPOUND UNLAWFUL GAINS OF RS.5,04,01,896 (GAIN OF RS.3,83,80,477 + INTEREST OF RS.1,20,21,419), JOINTLY AND SEVERALLY FROM ALL THE DEFAULTERS 2. BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS, AND ENSURE THAT ALL DIRECTIONS ARE STRICTLY ENFORCED. HOWEVER, CREDITS, IF ANY INTO THE ACCOUNTS MAY BE ALLOWED 3. NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME AMOUNTS ARE CREDITED TO AN ESCROW ACCOUNT CREATED SPECIFICALLY FOR PURPOSE IN A NATIONALIZED BANK AND TO CREATE AN ESCROW ACCOUNT IN FAVOUR OF SEBI AND MONIES KEPT THEREIN SHALL NOT BE RELEASED WITHOUT PERMISSION OF SEBI 4. PROVIDE FULL INVENTORY OF ALL THEIR ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, IF HELD IN PHYSICAL FORM
SEBI VIDE ITS ORDER DATED 20/06/2018 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY FOR A PERIOD OF THREE YEARS FROM DATE OF THIS ORDER B) DISGORGE JOINTLY AND SEVERALLY UNLAWFUL GAINS ALONGWITH INTEREST RS.5,04,01,896 (GAIN - RS.3,83,80,477 + INTEREST - RS.1,20,21,419) WITHIN 45 DAYS FROM DATE OF THIS ORDER THROUGH DEMAND DRAFT C) BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS EXCEPT OF THE PURPOSE OF COMPLIANCE WITH THIS ORDER D) NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME DIRECTIONS OF THIS ORDER ARE COMPLIED E) DISPOSED OFF INTERIM ORDER DATED 05/06/2014 READ WITH CONFIRMATORY ORDER DATED 15/09/2014 AND IMPOUNDING ORDER DATED 12/05/2016 ALONG WITH SCN DATED 31/01/2017
SAT: SAT VIDE ITS ORDER DATED 09/09/2021 REJECTED THE MISC.APPLICATION
|
| 24 |
|
|
FIROZ RAFIQ KHANDA
(PAN:AFMPK5766J)
|
|
|
|
ATLAS CORP.
|
|
|
EAGLE BROKING
|
|
|
FULLON CORP.
|
|
|
GLOBAL MCX MANAGEMENT SERVICE
|
|
|
LALSHAH MCX ALGO MANAGEMENT CO.
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-JUN-2018 TO 19-JUN-2021
05-JUN-2014
DIRECTED TO DISGORGE RS.2,21,86,250 ALONG WITH OTHER ENTITIES/PERSONS
12-MAY-2016
|
SEBI VIDE ITS ORDER DATED 15/09/2014 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 05/06/2014
SEBI VIDE ITS ORDER DATED 12/05/2016 DIRECTED TO 1. IMPOUND UNLAWFUL GAINS OF RS.5,04,01,896 (GAIN OF RS.3,83,80,477 + INTEREST OF RS.1,20,21,419), JOINTLY AND SEVERALLY FROM ALL THE DEFAULTERS 2. BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS, AND ENSURE THAT ALL DIRECTIONS ARE STRICTLY ENFORCED. HOWEVER, CREDITS, IF ANY INTO THE ACCOUNTS MAY BE ALLOWED 3. NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME AMOUNTS ARE CREDITED TO AN ESCROW ACCOUNT CREATED SPECIFICALLY FOR PURPOSE IN A NATIONALIZED BANK AND TO CREATE AN ESCROW ACCOUNT IN FAVOUR OF SEBI AND MONIES KEPT THEREIN SHALL NOT BE RELEASED WITHOUT PERMISSION OF SEBI 4. PROVIDE FULL INVENTORY OF ALL THEIR ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, IF HELD IN PHYSICAL FORM
SEBI VIDE ITS ORDER DATED 28/11/2017 IMPOSED PENALTY OF RS.10,00,000.00 ON MR.MANSOOR RAFIQ KHANDA AND MR.FIROZ RAFIQ KHANDA (JOINTLY & SEVERALLY) U/S 15HA OF SEBI ACT
SEBI VIDE ITS ORDER DATED 20/06/2018 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY FOR A PERIOD OF THREE YEARS FROM DATE OF THIS ORDER B) DISGORGE JOINTLY AND SEVERALLY UNLAWFUL GAINS ALONGWITH INTEREST RS.5,04,01,896 (GAIN - RS.3,83,80,477 + INTEREST - RS.1,20,21,419) WITHIN 45 DAYS FROM DATE OF THIS ORDER THROUGH DEMAND DRAFT C) BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS EXCEPT OF THE PURPOSE OF COMPLIANCE WITH THIS ORDER D) NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME DIRECTIONS OF THIS ORDER ARE COMPLIED E) DISPOSED OFF INTERIM ORDER DATED 05/06/2014 READ WITH CONFIRMATORY ORDER DATED 15/09/2014 AND IMPOUNDING ORDER DATED 12/05/2016 ALONG WITH SCN DATED 31/01/2017
SAT: SAT VIDE ITS ORDER DATED 24/08/2018 CONDONED THE DELAY OF 5 DAYS IN FILING OF MISC. APPLICATION. MISC. APPLICATION ALLOWED AND APPEAL RESTORED TO THE FILE
SAT: SAT VIDE ITS ORDER DATED 07/01/2020 DISMISSED THE APPEAL FOR WANT OF PROSECUTION
SEBI VIDE ITS NOTICE DATED 19/11/2020 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1. ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) BY WHATEVER NAME CALLED INCLUDING LOCKERS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SAT: SAT VIDE ITS ORDER DATED 09/09/2021 REJECTED THE MISC.APPLICATION
|
| 25 |
|
|
FULLON CORP.
(Along with : INDIAN TRADING CO.,
OPTION & M.C.X KING,
A TO Z SOLUTION,
LALSHAH MCX ALGO MANAGEMENT CO.,
GLOBAL MCX MANAGEMENT SERVICE,
ATLAS CORP.)
|
|
|
|
MANSOOR RAFIQ KHANDA
PAN:ALMPK3448B
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-JUN-2018 TO 19-JUN-2021
05-JUN-2014
DIRECTED TO DISGORGE RS.2,82,15,646 ALONG WITH OTHER ENTITIES/PERSONS
12-MAY-2016
|
SEBI VIDE ITS ORDER DATED 15/09/2014 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 05/06/2014
SEBI VIDE ITS ORDER DATED 12/05/2016 DIRECTED TO 1. IMPOUND UNLAWFUL GAINS OF RS.5,04,01,896 (GAIN OF RS.3,83,80,477 + INTEREST OF RS.1,20,21,419), JOINTLY AND SEVERALLY FROM ALL THE DEFAULTERS 2. BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS, AND ENSURE THAT ALL DIRECTIONS ARE STRICTLY ENFORCED. HOWEVER, CREDITS, IF ANY INTO THE ACCOUNTS MAY BE ALLOWED 3. NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME AMOUNTS ARE CREDITED TO AN ESCROW ACCOUNT CREATED SPECIFICALLY FOR PURPOSE IN A NATIONALIZED BANK AND TO CREATE AN ESCROW ACCOUNT IN FAVOUR OF SEBI AND MONIES KEPT THEREIN SHALL NOT BE RELEASED WITHOUT PERMISSION OF SEBI 4. PROVIDE FULL INVENTORY OF ALL THEIR ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, IF HELD IN PHYSICAL FORM
SEBI VIDE ITS ORDER DATED 20/06/2018 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY FOR A PERIOD OF THREE YEARS FROM DATE OF THIS ORDER B) DISGORGE JOINTLY AND SEVERALLY UNLAWFUL GAINS ALONGWITH INTEREST RS.5,04,01,896 (GAIN - RS.3,83,80,477 + INTEREST - RS.1,20,21,419) WITHIN 45 DAYS FROM DATE OF THIS ORDER THROUGH DEMAND DRAFT C) BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS EXCEPT OF THE PURPOSE OF COMPLIANCE WITH THIS ORDER D) NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME DIRECTIONS OF THIS ORDER ARE COMPLIED E) DISPOSED OFF INTERIM ORDER DATED 05/06/2014 READ WITH CONFIRMATORY ORDER DATED 15/09/2014 AND IMPOUNDING ORDER DATED 12/05/2016 ALONG WITH SCN DATED 31/01/2017
SAT: SAT VIDE ITS ORDER DATED 09/09/2021 REJECTED THE MISC.APPLICATION
|
| 26 |
|
|
FULLON CORP.
(Along with : LALSHAH MCX ALGO MANAGEMENT CO.,
ATLAS CORP.,
GLOBAL MCX MANAGEMENT SERVICE,
EAGLE BROKING)
|
|
|
|
FIROZ RAFIQ KHANDA
PAN:AFMPK5766J
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-JUN-2018 TO 19-JUN-2021
05-JUN-2014
DIRECTED TO DISGORGE RS.2,21,86,250 ALONG WITH OTHER ENTITIES/PERSONS
12-MAY-2016
|
SEBI VIDE ITS ORDER DATED 15/09/2014 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 05/06/2014
SEBI VIDE ITS ORDER DATED 12/05/2016 DIRECTED TO 1. IMPOUND UNLAWFUL GAINS OF RS.5,04,01,896 (GAIN OF RS.3,83,80,477 + INTEREST OF RS.1,20,21,419), JOINTLY AND SEVERALLY FROM ALL THE DEFAULTERS 2. BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS, AND ENSURE THAT ALL DIRECTIONS ARE STRICTLY ENFORCED. HOWEVER, CREDITS, IF ANY INTO THE ACCOUNTS MAY BE ALLOWED 3. NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME AMOUNTS ARE CREDITED TO AN ESCROW ACCOUNT CREATED SPECIFICALLY FOR PURPOSE IN A NATIONALIZED BANK AND TO CREATE AN ESCROW ACCOUNT IN FAVOUR OF SEBI AND MONIES KEPT THEREIN SHALL NOT BE RELEASED WITHOUT PERMISSION OF SEBI 4. PROVIDE FULL INVENTORY OF ALL THEIR ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, IF HELD IN PHYSICAL FORM
SEBI VIDE ITS ORDER DATED 20/06/2018 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY FOR A PERIOD OF THREE YEARS FROM DATE OF THIS ORDER B) DISGORGE JOINTLY AND SEVERALLY UNLAWFUL GAINS ALONGWITH INTEREST RS.5,04,01,896 (GAIN - RS.3,83,80,477 + INTEREST - RS.1,20,21,419) WITHIN 45 DAYS FROM DATE OF THIS ORDER THROUGH DEMAND DRAFT C) BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS EXCEPT OF THE PURPOSE OF COMPLIANCE WITH THIS ORDER D) NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME DIRECTIONS OF THIS ORDER ARE COMPLIED E) DISPOSED OFF INTERIM ORDER DATED 05/06/2014 READ WITH CONFIRMATORY ORDER DATED 15/09/2014 AND IMPOUNDING ORDER DATED 12/05/2016 ALONG WITH SCN DATED 31/01/2017
SAT: SAT VIDE ITS ORDER DATED 09/09/2021 REJECTED THE MISC.APPLICATION
|
| 27 |
|
|
GLOBAL MCX MANAGEMENT SERVICE
(Along with : FULLON CORP.,
LALSHAH MCX ALGO MANAGEMENT CO.,
ATLAS CORP.,
EAGLE BROKING)
|
|
|
|
FIROZ RAFIQ KHANDA
PAN:AFMPK5766J
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-JUN-2018 TO 19-JUN-2021
05-JUN-2014
DIRECTED TO DISGORGE RS.2,21,86,250 ALONG WITH OTHER ENTITIES/PERSONS
12-MAY-2016
|
SEBI VIDE ITS ORDER DATED 15/09/2014 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 05/06/2014
SEBI VIDE ITS ORDER DATED 12/05/2016 DIRECTED TO 1. IMPOUND UNLAWFUL GAINS OF RS.5,04,01,896 (GAIN OF RS.3,83,80,477 + INTEREST OF RS.1,20,21,419), JOINTLY AND SEVERALLY FROM ALL THE DEFAULTERS 2. BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS, AND ENSURE THAT ALL DIRECTIONS ARE STRICTLY ENFORCED. HOWEVER, CREDITS, IF ANY INTO THE ACCOUNTS MAY BE ALLOWED 3. NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME AMOUNTS ARE CREDITED TO AN ESCROW ACCOUNT CREATED SPECIFICALLY FOR PURPOSE IN A NATIONALIZED BANK AND TO CREATE AN ESCROW ACCOUNT IN FAVOUR OF SEBI AND MONIES KEPT THEREIN SHALL NOT BE RELEASED WITHOUT PERMISSION OF SEBI 4. PROVIDE FULL INVENTORY OF ALL THEIR ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, IF HELD IN PHYSICAL FORM
SEBI VIDE ITS ORDER DATED 20/06/2018 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY FOR A PERIOD OF THREE YEARS FROM DATE OF THIS ORDER B) DISGORGE JOINTLY AND SEVERALLY UNLAWFUL GAINS ALONGWITH INTEREST RS.5,04,01,896 (GAIN - RS.3,83,80,477 + INTEREST - RS.1,20,21,419) WITHIN 45 DAYS FROM DATE OF THIS ORDER THROUGH DEMAND DRAFT C) BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS EXCEPT OF THE PURPOSE OF COMPLIANCE WITH THIS ORDER D) NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME DIRECTIONS OF THIS ORDER ARE COMPLIED E) DISPOSED OFF INTERIM ORDER DATED 05/06/2014 READ WITH CONFIRMATORY ORDER DATED 15/09/2014 AND IMPOUNDING ORDER DATED 12/05/2016 ALONG WITH SCN DATED 31/01/2017
SAT: SAT VIDE ITS ORDER DATED 09/09/2021 REJECTED THE MISC.APPLICATION
|
| 28 |
|
|
GLOBAL MCX MANAGEMENT SERVICE
(Along with : FULLON CORP.,
INDIAN TRADING CO.,
OPTION & M.C.X KING,
A TO Z SOLUTION,
LALSHAH MCX ALGO MANAGEMENT CO.,
ATLAS CORP.)
|
|
|
|
MANSOOR RAFIQ KHANDA
PAN:ALMPK3448B
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-JUN-2018 TO 19-JUN-2021
05-JUN-2014
DIRECTED TO DISGORGE RS.2,82,15,646 ALONG WITH OTHER ENTITIES/PERSONS
12-MAY-2016
|
SEBI VIDE ITS ORDER DATED 15/09/2014 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 05/06/2014
SEBI VIDE ITS ORDER DATED 12/05/2016 DIRECTED TO 1. IMPOUND UNLAWFUL GAINS OF RS.5,04,01,896 (GAIN OF RS.3,83,80,477 + INTEREST OF RS.1,20,21,419), JOINTLY AND SEVERALLY FROM ALL THE DEFAULTERS 2. BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS, AND ENSURE THAT ALL DIRECTIONS ARE STRICTLY ENFORCED. HOWEVER, CREDITS, IF ANY INTO THE ACCOUNTS MAY BE ALLOWED 3. NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME AMOUNTS ARE CREDITED TO AN ESCROW ACCOUNT CREATED SPECIFICALLY FOR PURPOSE IN A NATIONALIZED BANK AND TO CREATE AN ESCROW ACCOUNT IN FAVOUR OF SEBI AND MONIES KEPT THEREIN SHALL NOT BE RELEASED WITHOUT PERMISSION OF SEBI 4. PROVIDE FULL INVENTORY OF ALL THEIR ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, IF HELD IN PHYSICAL FORM
SEBI VIDE ITS ORDER DATED 20/06/2018 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY FOR A PERIOD OF THREE YEARS FROM DATE OF THIS ORDER B) DISGORGE JOINTLY AND SEVERALLY UNLAWFUL GAINS ALONGWITH INTEREST RS.5,04,01,896 (GAIN - RS.3,83,80,477 + INTEREST - RS.1,20,21,419) WITHIN 45 DAYS FROM DATE OF THIS ORDER THROUGH DEMAND DRAFT C) BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS EXCEPT OF THE PURPOSE OF COMPLIANCE WITH THIS ORDER D) NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME DIRECTIONS OF THIS ORDER ARE COMPLIED E) DISPOSED OFF INTERIM ORDER DATED 05/06/2014 READ WITH CONFIRMATORY ORDER DATED 15/09/2014 AND IMPOUNDING ORDER DATED 12/05/2016 ALONG WITH SCN DATED 31/01/2017
SAT: SAT VIDE ITS ORDER DATED 09/09/2021 REJECTED THE MISC.APPLICATION
|
| 29 |
|
|
GSB SECURITIES PVT.LTD.
(PAN:AAACG9905H)
|
|
|
ALLEGED INDULGENCE IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.28,00,000 VIDE CONSENT ORDER)
31-OCT-2012
|
|
| 30 |
|
|
HULLATI KRISHNA B.
|
|
|
|
MATRIX WEB
|
|
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-SEP-2004 TILL FURTHER ORDER
RESTRAINED FROM ACCEPTING LOANS/DEPOSITS FROM PUBLIC FOR SECURITIES MARKET FROM 10-SEP-2004 TILL FURTHER ORDER
10-SEP-2004
|
|
| 31 |
|
|
IMTIYAZ HANIF KHANDA
(PAN:AVQPK5639L)
|
|
|
|
RIGHT TRADE
|
|
|
SAI TRADERS
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-AUG-2013 TO 19-AUG-2018
DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 20-AUG-2013 TO 19-AUG-2018
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET FROM 20-AUG-2013 TO 19-AUG-2018
20-AUG-2013
|
SEBI VIDE ITS ORDER DATED 30/12/2013 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 20/08/2013
SEBI VIDE ITS ORDER DATED 11/09/2014 RESTRAINED THE NOTICEES FROM BUYING, SELLING OR DEALING IN THE SECUTITIES MARKET, EITHER DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER FOR A PERIOD OF 5 YEARS
|
| 32 |
|
|
INDIAN TRADING CO.
(Along with : FULLON CORP.,
OPTION & M.C.X KING,
A TO Z SOLUTION,
LALSHAH MCX ALGO MANAGEMENT CO.,
GLOBAL MCX MANAGEMENT SERVICE,
ATLAS CORP.)
|
|
|
|
MANSOOR RAFIQ KHANDA
PAN:ALMPK3448B
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-JUN-2018 TO 19-JUN-2021
05-JUN-2014
DIRECTED TO DISGORGE RS.2,82,15,646 ALONG WITH OTHER ENTITIES/PERSONS
12-MAY-2016
|
SEBI VIDE ITS ORDER DATED 15/09/2014 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 05/06/2014
SEBI VIDE ITS ORDER DATED 12/05/2016 DIRECTED TO 1. IMPOUND UNLAWFUL GAINS OF RS.5,04,01,896 (GAIN OF RS.3,83,80,477 + INTEREST OF RS.1,20,21,419), JOINTLY AND SEVERALLY FROM ALL THE DEFAULTERS 2. BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS, AND ENSURE THAT ALL DIRECTIONS ARE STRICTLY ENFORCED. HOWEVER, CREDITS, IF ANY INTO THE ACCOUNTS MAY BE ALLOWED 3. NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME AMOUNTS ARE CREDITED TO AN ESCROW ACCOUNT CREATED SPECIFICALLY FOR PURPOSE IN A NATIONALIZED BANK AND TO CREATE AN ESCROW ACCOUNT IN FAVOUR OF SEBI AND MONIES KEPT THEREIN SHALL NOT BE RELEASED WITHOUT PERMISSION OF SEBI 4. PROVIDE FULL INVENTORY OF ALL THEIR ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, IF HELD IN PHYSICAL FORM
SEBI VIDE ITS ORDER DATED 20/06/2018 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY FOR A PERIOD OF THREE YEARS FROM DATE OF THIS ORDER B) DISGORGE JOINTLY AND SEVERALLY UNLAWFUL GAINS ALONGWITH INTEREST RS.5,04,01,896 (GAIN - RS.3,83,80,477 + INTEREST - RS.1,20,21,419) WITHIN 45 DAYS FROM DATE OF THIS ORDER THROUGH DEMAND DRAFT C) BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS EXCEPT OF THE PURPOSE OF COMPLIANCE WITH THIS ORDER D) NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME DIRECTIONS OF THIS ORDER ARE COMPLIED E) DISPOSED OFF INTERIM ORDER DATED 05/06/2014 READ WITH CONFIRMATORY ORDER DATED 15/09/2014 AND IMPOUNDING ORDER DATED 12/05/2016 ALONG WITH SCN DATED 31/01/2017
SAT: SAT VIDE ITS ORDER DATED 09/09/2021 REJECTED THE MISC.APPLICATION
|
| 33 |
|
|
JALPESHKUMAR AMRUTLAL MAKWANA
(PAN:AXLPM4291R)
|
|
|
|
ALDERBROOKE PORTFOLIO MANAGEMENT SERVICES PVT.LTD.
CIN:U74140GJ2010PTC059749
PAN:AAICA8270H
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-DEC-2013 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-DEC-2013 TILL FURTHER ORDERS
DEBARRED FROM ACTING AS UN-REGISTERED PORTFOLIO MANAGER FROM 20-DEC-2013 TILL FURTHER ORDERS
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET FROM 20-DEC-2013 TILL FURTHER ORDERS
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 20-DEC-2013 TILL FURTHER ORDERS
20-DEC-2013
|
SEBI VIDE ITS ORDER DATED 01/04/2014 DIRECTED ALDERBROOKE PORTFOLIO MANAGEMENT SERVICES PVT.LTD. AND ITS DIRECTORS MR. ANANDKUMAR KANUBHAI RAVAT AND MR.JALPESHKUMAR AMRUTLAL MAKWANA TO 1.CEASE AND DESIST FROM ACTING AS UNREGISTERED PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITY OR ANY OTHER ACTIVITIES IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER WITHOUT PROPER AUTHORIZATION / REGISTRATION 2) WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITES, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES OR ANY ACTIVITIES IN SECURITIES MARKET 3) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER, FOR A PERIOD OF FIVE YEARS 4) REFUND THE FUNDS COLLECTED FROM INVESTORS WITH RETURNS WHICH ARE DUE TO THE INVESTORS AS PER TERMS OF INVESTMENT WITHIN A PERIOD OF ONE MONTH FROM DATE OF THIS ORDER
|
| 34 |
|
|
JANET JENETTHA
(PAN:AOVPJ2773C)
|
|
|
|
UNIQUE CONSULTING & TRADING PVT.LTD.
CIN:U74999TN2011PTC082344
PAN:AABCU3526H
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-AUG-2017 TO 01-AUG-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-AUG-2017 TO 01-AUG-2027
DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 02-AUG-2017 TO 01-AUG-2027
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET FROM 02-AUG-2017 TO 01-AUG-2027
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC OR OFFER ANY PORTFOLIO MANAGEMENT SERVICES FROM 02-AUG-2017 TO 01-AUG-2027
PROHIBITED FROM MOBILIZING OR POOLING FUNDS FROM PUBLIC OR FROM OFFERING ANY UNREGISTERED SERVICE, IN WHATEVER FORM FROM 02-AUG-2017 TO 01-AUG-2027
DIRECTED TO REFUND ALL THE MONIES TO INVESTORS ALONG WITH INCOME, PROFITS OR RETURNS PROMISED UNDER THE SCHEMES
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
21-APR-2014
|
SEBI VIDE ITS ORDER DATED 02/08/2017 1) PROHIBITED FROM MOBILIZING OR POOLING ANY FRESH FUNDS FROM ITS CLIENTS, OTHER GENERAL INVESTORS OR MEMBERS OF PUBLIC IN WHATEVER FORM 2) DIRECTED TO REFUND THE MONIES COLLECTED FROM HIS CLIENTS AND OTHER INVESTORS IN VARIOUS SCHEMES ALONG WITH INCOME, PROFITS OR RETURNS PROMISED TO INVESTORS UNDER SUCH SCHEMES OR INTEREST AT RATE OF 10% PER ANNUM, WHICHEVER IS HIGHER, FROM DATE OF INVESTMENT TILL DATE OF REFUND, WITHIN A PERIOD OF NINETY THIRTY (90) DAYS FROM DATE OF THIS ORDER AND SUBMIT A REPAYMENT REPORT TO SEBI CERTIFIED BY TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS WHO ARE IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION 3) DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS & PROPERTIES AND DETAILS OF ALL BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, IF HELD IN PHYSICAL FORM 4) NOT TO ACCESS SECURITIES MARKET DIRECTLY OR INDIRECTLY AND ARE FURTHER RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN WHATSOEVER MANNER FOR A PERIOD OF TEN YEARS FROM DATE OF THIS ORDER
|
| 35 |
|
|
JHP SECURITIES PVT.LTD.
(PAN:AAACJ2847H)
|
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
IMPOSED PENALTY RS.3,00,000
23-OCT-2017
|
SAT: APPEAL DISMISSED. NO COSTS
|
| 36 |
|
|
JOGLEKAR INVESTMENTS PVT.LTD.
(CIN:U65993PN1997PTC106626)
|
|
|
|
MADHAV PRASAD JOGLEKAR
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-OCT-2007 TILL COMPLETION OF INQUIRY
17-OCT-2007
|
WITHDRAWN INTERIM ORDER DATED 17/10/2007
|
| 37 |
|
|
K.MATHAN KUMAR
(PAN:AQRPM0642B)
|
|
|
|
UNIQUE CONSULTING & TRADING PVT.LTD.
CIN:U74999TN2011PTC082344
PAN:AABCU3526H
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-AUG-2017 TO 01-AUG-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-AUG-2017 TO 01-AUG-2027
DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 02-AUG-2017 TO 01-AUG-2027
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET FROM 02-AUG-2017 TO 01-AUG-2027
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC OR OFFER ANY PORTFOLIO MANAGEMENT SERVICES FROM 02-AUG-2017 TO 01-AUG-2027
PROHIBITED FROM MOBILIZING OR POOLING FUNDS FROM PUBLIC OR FROM OFFERING ANY UNREGISTERED SERVICE, IN WHATEVER FORM FROM 02-AUG-2017 TO 01-AUG-2027
DIRECTED TO REFUND ALL THE MONIES TO INVESTORS ALONG WITH INCOME, PROFITS OR RETURNS PROMISED UNDER THE SCHEMES
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
21-APR-2014
|
SEBI VIDE ITS ORDER DATED 02/08/2017 1) PROHIBITED FROM MOBILIZING OR POOLING ANY FRESH FUNDS FROM ITS CLIENTS, OTHER GENERAL INVESTORS OR MEMBERS OF PUBLIC IN WHATEVER FORM 2) DIRECTED TO REFUND THE MONIES COLLECTED FROM HIS CLIENTS AND OTHER INVESTORS IN VARIOUS SCHEMES ALONG WITH INCOME, PROFITS OR RETURNS PROMISED TO INVESTORS UNDER SUCH SCHEMES OR INTEREST AT RATE OF 10% PER ANNUM, WHICHEVER IS HIGHER, FROM DATE OF INVESTMENT TILL DATE OF REFUND, WITHIN A PERIOD OF NINETY THIRTY (90) DAYS FROM DATE OF THIS ORDER AND SUBMIT A REPAYMENT REPORT TO SEBI CERTIFIED BY TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS WHO ARE IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION 3) DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS & PROPERTIES AND DETAILS OF ALL BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, IF HELD IN PHYSICAL FORM 4) NOT TO ACCESS SECURITIES MARKET DIRECTLY OR INDIRECTLY AND ARE FURTHER RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN WHATSOEVER MANNER FOR A PERIOD OF TEN YEARS FROM DATE OF THIS ORDER
|
| 38 |
|
|
KE CONSULTING GROUP
(PAN:ACTPT8377N)
|
|
|
|
MANISH HARISH THAKKAR
PAN:ACTPT8377N
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE ORDER DATED 28/02/2012
|
IMPOSED PENALTY RS.30,00,000 ALONG WITH OTHER ENTITIES/PERSONS
21-NOV-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 10/07/2018 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
|
| 39 |
|
|
KE CONSULTING GROUP
(PAN:ACTPT8377N)
|
|
|
|
MANISH HARISH THAKKAR
PAN:ACTPT8377N
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-FEB-2018 TO 01-FEB-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-FEB-2018 TO 01-FEB-2025
DIRECTED TO WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITES ETC.
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC OR OFFER ANY PORTFOLIO MANAGEMENT SERVICES FROM 02-FEB-2018 TO 01-FEB-2025
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
RESTRAINED FROM ASSOCIATING WITH ANY INTERMEDIARY REGISTERED WITH SEBI IN ANY OFFICIAL CAPACITY FROM 02-FEB-2018 TO 01-FEB-2025
28-FEB-2012
|
SAT: APPEAL DISPOSED OFF WITHOUT ANY DIRECTION. NO ORDER AS TO COSTS
SEBI VIDE ITS ORDER DATED 02/02/2018 DIRECTED NOT TO 1) ACCESS SECURITIES MARKET OR BUY,SELL OR OTHERWISE DEAL IN SECURITIES MARKET EITHER DIRECTLY OR INDIRECTLY FOR A PERIOD OF SEVEN YEARS 2) ASSOCIATE HIMSELF WITH ANY LISTED COMPANY OR COMPANY INTENDING TO RAISE MONEY FROM PUBLIC, OR ANY REGISTERED INTERMEDIARY, IN THE CAPACITY OF A DIRECTOR, KEY MANAGEMENT PERSONNEL OR PARTNER FOR A PERIOD OF SEVEN YEARS 3) MOBILIZE FUNDS FROM PUBLIC OR OFFER ANY PORTFOLIO MANAGEMENT SERVICES FOR A PERIOD OF SEVEN YEARS FROM THE DATE OF THIS ORDER
|
| 40 |
|
|
KRISHNA HULLATI
|
|
|
|
MATRIX WEB
|
|
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-SEP-2004 TILL FURTHER ORDER
RESTRAINED FROM ACCEPTING LOANS/DEPOSITS FROM PUBLIC FOR SECURITIES MARKET FROM 10-SEP-2004 TILL FURTHER ORDER
10-SEP-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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| Page 2 of 5
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