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 : 16-DEC-2025

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.

UN-AUTHORISED PORTFOLIO MANAGERS: ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS

S.No.

ENTITY

PERSONS

REGULATORY CHARGES

REGULATORY ACTION(S) / DATE OF ORDER

FURTHER DEVELOPMENTS

SHIVANGI ASHESH MEHTA

(PAN:AKJPL8198F)

Click here to view complete history of this specific entity/person

BLISS CONSULTANTS

PAN:AMMPM0167G

INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION

DIRECTED TO REFUND MONEY RECEIVED FROM CLIENTS/INVESTORS/COMPLAINANT AS FEES OR CONSIDERATION OR IN ANY OTHER FORM IN RESPECT OF UNREGISTERED PORTFOLIO MANAGER ACTIVITIES

DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY

DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER

RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 24-APR-2025 TO 23-APR-2028

ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS

DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT

DIRECTED TO DEPOSIT REMAINING BALANCE AMOUNT WITH SEBI TO BE KEPT IN ESCROW ACCOUNT

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 24-APR-2025 TO 23-APR-2028

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-APR-2025 TO 23-APR-2028

DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY INVESTMENT ADVISORY SERVICES AND/OR RESEARCH ANALYST ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI FROM 24-APR-2025 TO 23-APR-2028

IMPOSED PENALTY RS.6,00,000

24-APR-2025

SAT: SAT VIDE ITS ORDER DATED 13/06/2025 STAYED THE DIRECTION AT PARA NO.56(A) TO (E) FOR TWO WEEKS

SAT: SAT VIDE ITS ORDER DATED 26/06/2025 GRANTED RESPONDENT SIX WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER

SRI GANESH STOCKS & SHARES

KRISHNAMURTHY VIJAYA BHARATHI

PAN:ABZPV9915D

VENKATESAN CHANDRAN

PAN:AADPC7641J

INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION

ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-AUG-2017 TO 21-AUG-2027

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-AUG-2017 TO 21-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 22-AUG-2017 TO 21-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 22-AUG-2017 TO 21-AUG-2027

PROHIBITED FROM MOBILIZING OR POOLING FUNDS FROM PUBLIC OR FROM OFFERING ANY UNREGISTERED SERVICE, IN WHATEVER FORM FROM 22-AUG-2017 TO 21-AUG-2027

DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC OR OFFER ANY PORTFOLIO MANAGEMENT SERVICES FROM 22-AUG-2017 TO 21-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

RESTRAINED FROM ASSOCIATING WITH ANY INTERMEDIARY REGISTERED WITH SEBI IN ANY OFFICIAL CAPACITY FROM 22-AUG-2017 TO 21-AUG-2027

08-APR-2015

SEBI VIDE ITS ORDER DATED 22/08/2017 1) PROHIBITED FROM MOBILIZING OR POOLING ANY FRESH FUNDS FROM THEIR CLIENTS OR MEMBERS OF PUBLIC IN WHATEVER FORM 2) NOT TO, DIRECTLY OR INDIRECTLY, ACCESS SECURITIES MARKET AND ARE FURTHER RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY FOR A PERIOD OF TEN YEARS FROM DATE OF THIS ORDER AND ALSO RESTRAINED FROM ASSOCIATING WITH ANY INTERMEDIARY REGISTERED WITH SEBI IN ANY OFFICIAL CAPACITY TILL EXPIRY OF 10 YEARS FROM THE DATE OF THIS ORDER

STOCK MARKET NAVIGATOR (SMN)

(PAN:ANBPS5743A)

ANIRUDH P.SETHI

PAN:ANBPS5743A

MISLED INVESTORS BY INDULGING IN ACTIVITIES PREJUDICIAL TO PRICE DISCOVERY MECHANISM OF STOCK EXCHANGE

INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION

DIRECTED TO CEASE & DESIST FROM GIVING MISLEADING RECOMMENDATIONS IN ANY PUBLIC ACCESSIBLE MEDIA

DEBARRED FROM ACTING AS UN-REGISTERED PORTFOLIO MANAGER FROM 19-JAN-2007

19-JAN-2007

ORDER DATED 19/01/2007 APPLICABLE TO ANY OTHER BUSINESS NAME EMPLOYED BY MR. ANIRUDH SETHI

AD INTERIM EX-PARTE ORDER DATED 19/01/2007 CONFIRMED AND CAUTIONED ANIRUDH SETHI OF HIS DEALING IN SECURITIES MARKET AND ADVISED STRICTLY TO FOLLOW HIS UNDERTAKING DATED 12/03/2007. DIRECTIONS TO CEASE AND DESIST FROM ACTING AS AN UNREGISTERED PORTFOLIO MANAGER STANDS VACATED

SEBI VIDE ITS ORDER DATED 16/03/2018 DIRECTED TO A) REFUND THE MONEY RECEIVED FROM ITS CLIENTS AS FEES/PROFIT SHARING/COMPENSATION IN ANY OTHER FORM, IN RESPECT OF ITS UNREGISTERED INVESTMENT ADVISORY ACTIVITIES AND UNREGISTERED RESEARCH ANALYST SERVICES B) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING THE MODALITIES FOR REFUND C) REPAYMENTS TO THE CLIENTS SHALL BE EFFECTED ONLY THROUGH BANK DEMAND DRAFT OR PAY ORDER D) NOT TO DIVERT ANY FUNDS RAISED FROM INVESTORS, KEPT IN BANK ACCOUNTS AND/OR IN HIS CUSTODY, EXCEPT FOR THE PURPOSE OF REFUNDS TO THE CLIENTS. BANKS AND DEPOSITORIES ARE DIRECTED THAT NO DEBIT SHALL BE MADE, WITHOUT PERMISSION OF SEBI, IN RESPECT OF THE BANK ACCOUNTS AND DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, BY MR. ANIRUDH SETHI E) SUBMIT A CERTIFICATE FROM A PEER REVIEWED CHARTERED ACCOUNTANT WHO IS IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION, WITHIN A PERIOD OF 3 MONTHS FROM THE DATE OF THIS ORDER F) NOT TO, DIRECTLY OR INDIRECTLY, ACCESS SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER ANY MANNER FOR A PERIOD OF FOUR YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS G) RESTRAINED FROM ASSOCIATING THEMSELVES WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC, OR ANY INTERMEDIARY REGISTERED WITH SEBI FOR A PERIOD OF FOUR YEARS FROM THE DATE OF COMPLETION OF REFUNDS TO INVESTORS H) NOT TO UNDERTAKE, EITHER DIRECTLY OR INDIRECTLY, INVESTMENT ADVISORY SERVICES, RESEARCH ANALYST SERVICES OR ANY ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI

SUNIL LAXMAN KALE

TRENDLINE TRADERS ACADEMY

INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-NOV-2013

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-NOV-2013

DEBARRED FROM ACTING AS UN-REGISTERED PORTFOLIO MANAGER FROM 18-NOV-2013

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 18-NOV-2013

DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC OR OFFER ANY PORTFOLIO MANAGEMENT SERVICES FROM 18-NOV-2013

18-NOV-2013

SEBI VIDE ITS ORDER DATED 31/12/2013 DISCONITUED THE DIRECTIONS OF PROHIBITION AND DEBARMENT ISSUED VIDE ITS ORDER DATED 18/11/2013 AND DIRECTED NOTICEES TO CEASE AND DESIST FROM UNDERTAKING, DIRECTLY OR INDIRECTLY, ANY UNREGISTED ACTIVITY INCLUDING UNREGISTERED PORTFOLIO MANAGEMENT ACTIVITIES IN ANY MANNER WHATSOEVER

TIPL LTD.

ANKUSH SRIVASTAVA

INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION

DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC OR OFFER ANY PORTFOLIO MANAGEMENT SERVICES

24-JUL-2012

TRADEFAST SECURITIES

INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION

ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION

MADE FALSE AND MISLEADING INFORMATION ON WEBSITE

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-JUL-2017 TO 26-JUL-2027

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-JUL-2017 TO 26-JUL-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 27-JUL-2017 TO 26-JUL-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 27-JUL-2017 TO 26-JUL-2027

DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC AND/OR INVITE SUBSCRIPTION, IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 27-JUL-2017 TO 26-JUL-2027

RESTRAINED FROM HOLDING ANY MANAGERIAL POSITION (INCLUDING DIRECTORSHIP) IN ANY LISTED COMPANY IN INDIA OR AN INTERMEDIARY REGISTERED WITH SEBI OR WITH ANY SECURITIES MARKET PARTICIPANT, IN ANY CAPACITY FROM 27-JUL-2017 TO 26-JUL-2027

02-MAR-2015

SEBI VIDE ITS ORDER DATED 27/07/2017 1) PROHIBITED FROM COLLETING ANY FRESH FUNDS FROM ITS CLIENTS, OTHER GENERAL INVESTORS OR MEMBERS IN WHATEVER FORM 2) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSCOCIATED WITH SECURITIES IN ANY MANNER FOR A PERIOD OF TEN (10) YEARS FROM THE DATE OF THIS ORDER AND 3) RESTRAINED FROM ASSOCIATING WITH ANY INTERMEDIARY REGISTERED WITH SEBI IN ANY OFFICIAL CAPACITY TILL EXPIRY OF TEN (10) YEARS FROM THE DATE OF THIS ORDER

TRADING INDIA PORTFOLIOS LTD.

ANKUSH SRIVASTAVA

INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION

DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC OR OFFER ANY PORTFOLIO MANAGEMENT SERVICES

24-JUL-2012

TRENDLINE TRADERS ACADEMY

SUNIL LAXMAN KALE

INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION

U.INDIRA

(PAN:AAUPI9812N)

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

UNIQUE CONSULTING & TRADING PVT.LTD.

(CIN:U74999TN2011PTC082344
PAN:AABCU3526H)

JANET JENETTHA

PAN:AOVPJ2773C

K.MATHAN KUMAR

PAN:AQRPM0642B

P.SHANMUGA GANESAN

PAN:BDAPS0331N

U.INDIRA

PAN:AAUPI9812N

INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION

UNIQUE VISION FINANCIAL ADVISORY PVT.LTD.

(CIN:U74999PN2011PTC140873
PAN:AABCU3600J)

CHANDRAKANT SHAMRAO DHOLE

PAN:AGJPD5155A

RAVINDRA SHANKAR KAURAV

PAN:AOTPK5176L

INDULGED IN ACTIVITY OF PORTFOLIO MANAGER 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 22-JUL-2015 TO 21-JUL-2019

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 22-JUL-2015 TO 21-JUL-2019

29-JAN-2015

SEBI VIDE ITS ORDER DATED 22/07/2015 DIRECTED TO A) BE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF FOUR YEARS B) NOT TO UNDERTAKE, EITHER DIRECTLY OR INDIRECTLY, ANY ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING REGISTRATION FROM SEBI AS REQUIRED UNDER SECURITIES LAW C) RETURN MONIES RECEIVED FROM ITS CLIENTS ALONG WITH PROMISED RETURNS, IN RESPECT OF ITS UNREGISTERED PORTFOLIO ACTIVITIES AND SUBMIT CERTIFICATE FROM A PEER REVIEWED CHARTERED ACCOUNTANT, WITHIN A PERIOD OF 3 MONTHS FROM DATE OF THIS ORDER

SEBI VIDE ITS NOTICE DATED 27/11/2017 DIRECTED ALL THE BANKS 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

VALI MAMAD HABIB GHANIWALA

(PAN:BGHPG6861M)

BULL TRADER

LAXMI 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

VARUN PRATAP SINGH CHAUHAN

(PAN:BGEPS3887G)

VPS ADVISORY SERVICES

PAN:BGEPS3887G

INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION

SEBI VIDE ITS ORDER DATED 22/08/2017 DIRECTED 1) FORTHWITH REFUND THE MONEY RECEIVED FROM THE CLIENTS IN RESPECT OF UNREGISTERED PORTFOLIO MANAGEMENT ACTIVITIES, ALONG WITH THE PROMISED RETURNS 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, WITHIN A PERIOD OF 3 MONTHS 2) NOT TO DIRECTLY OR INDIRECTLY, ACCESS SECURITIES MARKET AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN WHATSOEVER MANNER, TILL EXPIRY OF 4 YEARS FROM THE DATE OF REFUND OF THE MONEY AND ALSO RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC, OR ANY INTERMEDIARY REGISTERED WITH SEBI, TILL EXPIRY OF 4 YEARS FROM THE DATE OF REFUND OF THE MONEY

VENKATESAN CHANDRAN

(PAN:AADPC7641J)

SRI GANESH STOCKS & SHARES

ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION

SEBI VIDE ITS ORDER DATED 22/08/2017 1) REFUND THE MONIES SO COLLECTED FROM 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 (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 2) DIRECTED TO PROVIDE A FULL INVENTORY OF THEIR ASSETS & PROPERTIES AND DETAILS OF ALL BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES

VENTURA SECURITIES LTD.

(PAN:AAACV1361J)

AMEET PARESH SAVANT

PAN:AOAPS0373N

INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION

DIRECTED TO REFUND MONEY TO THE INVESTORS

DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY

DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER

DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT

DIRECTED TO DEPOSIT REMAINING BALANCE AMOUNT WITH SEBI TO BE KEPT IN ESCROW ACCOUNT

RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 18-SEP-2023 TILL CONCLUSION OF TWO YEARS FROM DATE OF REFUNDS

ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-SEP-2023 TILL CONCLUSION OF TWO YEARS FROM DATE OF REFUNDS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-SEP-2023 TILL CONCLUSION OF TWO YEARS FROM DATE OF REFUNDS

RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 18-SEP-2023 TILL CONCLUSION OF TWO YEARS FROM DATE OF REFUNDS

DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY INVESTMENT ADVISORY SERVICES AND/OR RESEARCH ANALYST ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI FROM 18-SEP-2023 TILL CONCLUSION OF TWO YEARS FROM DATE OF REFUNDS

18-SEP-2023

VIJAY KUMAR GABA

(PAN:AAIPG6905E)

VIJAY KUMAR GABA,M/S

PAN:AAIPG6905E

INDULGED IN ACTIVITY OF PORTFOLIO MANAGER 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 15-JUL-2015 TO 14-JUL-2016

DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM ITS EXISTING CLIENTS / INVESTORS

RESTRAINED FROM MAKING APPLICATION TO SEBI FOR OFFERING PORTFOLIO MANAGEMENT SERVICES OR INVESTMENT ADVISORY SERVICES OR ANY ACTIVITY IN SECURITIES MARKET REQUIRING REGISTRATION FROM 15-JUL-2015 TO 14-JUL-2016

14-JAN-2015

SEBI VIDE ITS ORDER DATED 15/07/2015 RESTRAINED NOTICEE FOR A PERIOD OF ONE YEAR FROM MAKING APPLICATION TO SEBI FOR OFFERING PORTFOLIO MANAGEMENT SERVICES OR INVESTMENT ADVISORY SERVICES OR ANY ACTIVITY IN SECURITIES MARKET REQUIRING REGISTRATION

SAT: SAT VIDE ITS ORDER DATED 26/07/2016 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 15/07/2015 AND RESTORE THE MATTER TO THE FILE OF WTM WITH DIRECTION TO RECONSIDER. NO COSTS

SAT: SAT VIDE ITS ORDER DATED 29/03/2019 ALLOWED THE APPEAL AND SET ASIDED IMPUGNED ORDER DATED 14/01/2015. NO COSTS

VIJAY KUMAR GABA,M/S

(PAN:AAIPG6905E)

VIJAY KUMAR GABA

PAN:AAIPG6905E

INDULGED IN ACTIVITY OF PORTFOLIO MANAGER 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 15-JUL-2015 TO 14-JUL-2016

DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM ITS EXISTING CLIENTS / INVESTORS

RESTRAINED FROM MAKING APPLICATION TO SEBI FOR OFFERING PORTFOLIO MANAGEMENT SERVICES OR INVESTMENT ADVISORY SERVICES OR ANY ACTIVITY IN SECURITIES MARKET REQUIRING REGISTRATION FROM 15-JUL-2015 TO 14-JUL-2016

14-JAN-2015

VPS ADVISORY SERVICES

(PAN:BGEPS3887G)

VARUN PRATAP SINGH CHAUHAN

PAN:BGEPS3887G

INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION

WASANKAR INVESTMENTS

(PAN:AAIPW1864A)

PRASHANT JAIDEV WASANKAR

DIN:02222183
PAN:AAIPW1864A

INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION

ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

INDULGED IN FUND BASED ACTIVITIES INVOLVING PERSONAL FINANCIAL LIABILITY VIOLATING RULE 8(3) (F) OF SECURITIES CONTRACTS (REGULATIONS) RULES, 1957

DEALT WITH OTHER STOCK BROKERS FOR PROPRIETARY TRADING WITHOUT OBTAINING PRIOR PERMISSION FROM STOCK EXCHANGES VIOLATING SEBI CIRCULAR NO.SEBI/MIRSD/CIR-06/2004 DATED 13/01/2004

DID NOT FURNISH CORRECT INFORMATION TO INSPECTING TEAM REGARDING BANK ACCOUNTS

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 27-AUG-2014 TO 26-AUG-2024

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 27-AUG-2014 TO 26-AUG-2024

DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC OR OFFER ANY PORTFOLIO MANAGEMENT SERVICES FROM 27-AUG-2014 TO 26-AUG-2024

DIRECTED TO REFUND ALL THE MONIES TO INVESTORS ALONG WITH INCOME, PROFITS OR RETURNS PROMISED UNDER THE SCHEMES

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-AUG-2014 TO 26-AUG-2024

PROHIBITED FROM TRANSFERRING FUNDS / DEPOSITS MOBILISED FROM THE CLIENTS OR OTHER INVESTORS OR FROM DISPOSING OF OR ALIENATING ANY ASSET THAT HAS BEEN CREATED FROM THE FUNDS/DEPOSITS RECEIVED FROM THEIR CLIENTS OR OTHER INVESTORS

DIRECTED TO REFUND MONEY TO THE INVESTORS

DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY

DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER

RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 27-AUG-2014 TO 26-AUG-2024

ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS

DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-AUG-2014 TO 26-AUG-2024

27-AUG-2014

SEBI VIDE ITS ORDER DATED 10/12/2014 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 27/08/2014

SEBI VIDE ITS ORDER DATED 25/02/2022 DIRECTED ALL THE BANKS TO REMIT RS. 89,89,90,708.00 TO THE EXTENT LYING IN THE ACCOUNT OF WASANKAR WEALTH MANAGEMENT LTD., MR.PRASHANT JAIDEV WASANKAR, MR.ABHIJEET JAYANT CHAUDHARI, MR.VINAY JAIDEV WASANKAR, MS.MITHILA VINAY WASANKAR & MS.BHAGYASHREE PRASHANT WASANKAR TO SEBI BY WAY OF EFT/NEFT/RTGS

SEBI VIDE ITS ORDER DATED 21/09/2022 DIRECTED TO A) COMPLY WITH THE DIRECTION OF REFUND VIDE INTERIM ORDER DATED 17/08/2014 WITHIN 45 DAYS FROM DATE OF THIS ORDER B) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING MODALITIES FOR REFUND INCLUDING DETAILS OF CONTACT PERSON NAMES, ADDRESSES AND CONTACT DETAILS WITHIN 15 DAYS OF COMING FORCE OF THIS ORDER C) REPAYMENTS TO INVESTORS/CLIENTS, TO BE EFFECTED ONLY THROUGH BANK DEMAND DRAFT OR PAY ORDER OR ELECTRONICS FUND TRANSFER D) PREVENTED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM EXCEPT FOR THE SOLE PURPOSE OF MAKING THE REFUNDS AS DIRECTED. FURTHER, DIRECTED BANK TO ALLOW DEBIT ONLY FOR THE PURPOSE OF MAKING REFUNDS TO THE INVESTORS/CLIENTS, WHO WERE AVAILING PORTFOLIO MANAGER SERVICES E) FILE REPORT OF SUCH COMPLETION WITH SEBI DULY CERTIFIED FROM INDEPENDENT CHARTERED ACCOUNTANT F) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER FOR TEN YEARS

SEBI VIDE ITS NOTICE DATED 14/01/2015 DIRECTED ALL THE BANKS 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

100

WASANKAR WEALTH MANAGEMENT LTD.

(PAN:AAACW8073C)

PRASHANT JAIDEV WASANKAR

DIN:02222183
PAN:AAIPW1864A

INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION

ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

ACTED AS INTERMEDIARY WITHOUT SEBI REGISTRATION UNDER SECURITIES LENDING SCHEME, 1997

INDULGED IN FUND BASED ACTIVITIES INVOLVING PERSONAL FINANCIAL LIABILITY VIOLATING RULE 8(3) (F) OF SECURITIES CONTRACTS (REGULATIONS) RULES, 1957

DEALT WITH OTHER STOCK BROKERS FOR PROPRIETARY TRADING WITHOUT OBTAINING PRIOR PERMISSION FROM STOCK EXCHANGES VIOLATING SEBI CIRCULAR NO.SEBI/MIRSD/CIR-06/2004 DATED 13/01/2004

DID NOT FURNISH CORRECT INFORMATION TO INSPECTING TEAM REGARDING BANK ACCOUNTS