| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
A TO Z SOLUTION
(Along with : FULLON CORP.,
INDIAN TRADING CO.,
OPTION & M.C.X KING,
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
|
| 2 |
|
|
ADITYA BIRLA MONEY LTD.
(PAN:AAACA7472K)
|
|
|
CARRIED OUT UNREGISTERED PORTFOLIO MANAGEMENT SERVICES THROUGH ITS REGISTRATION AS A STOCK BROKER IN JULY 2010 VIOLATING REGULATION 9 READ WITH CLAUSES A(3) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
23-NOV-2017
|
|
| 3 |
|
|
ALDERBROOKE PORTFOLIO MANAGEMENT SERVICES PVT.LTD.
(CIN:U74140GJ2010PTC059749
PAN:AAICA8270H)
|
|
|
|
ANANDKUMAR KANUBHAI RAVAT
PAN:AIMPR9602D
|
|
|
JALPESHKUMAR AMRUTLAL MAKWANA
PAN:AXLPM4291R
|
|
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
|
| 4 |
|
|
AMEET PARESH SAVANT
(PAN:AOAPS0373N)
|
|
|
|
VENTURA SECURITIES LTD.
PAN:AAACV1361J
|
|
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
|
SAT: SAT VIDE ITS ORDER DATED 18/12/2023 DISMISSED REVIEW APPLICATIONS
SEBI VIDE ITS NOTICE DATED 22/08/2025 DIRECTED TO PAY RS.6,38,77,373.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 5 |
|
|
ANANDKUMAR KANUBHAI RAVAT
(PAN:AIMPR9602D)
|
|
|
|
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
|
| 6 |
|
|
ANIRUDH P.SETHI
(PAN:ANBPS5743A)
|
|
|
|
STOCK MARKET NAVIGATOR (SMN)
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
|
| 7 |
|
|
ANKUSH SRIVASTAVA
|
|
|
|
TIPL LTD.
|
|
|
TRADING INDIA PORTFOLIOS LTD.
|
|
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
|
|
| 8 |
|
|
ANUGRAH STOCK & BROKING PVT.LTD.
(PAN:AAACW2920N)
(Depository Participants : CDSL,Member : NSE/BSE/MSEI)
|
|
|
|
PARESH MULJI KARIYA
PAN:AAEPK0469M
|
|
|
SADHANA PARESH KARIYA
PAN:AJHPK6018N
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
OFFERED DERIVATIVES ADVISORY SERVICES
MISSTATEMENT ABOUT DEBTORS AND CREDITORS
SHORTFALL OF CLIENTS FUNDS AND SECURITIES
PAYMENTS MADE TO CLIENTS HAVING RUNNING DEBIT BALANCE
DISCREPANCIES IN MAINTENANCE OF CLIENT RECORDS
|
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR TO CREATE OR INVOKE OR RELEASE ANY INTEREST OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF NSE AND BSE
PROHIBITED FROM ANY UNREGISTERED PORTFOLIO MANAGEMENT SERVICES FROM 13-NOV-2020 TILL COMPLETION OF PROCEEDINGS
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS (INCLUDING ASSETS UNDER POSSESSION OF RECEIVER APPOINTED BY HON'BLE HIGH COURT OF BOMBAY) MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
13-NOV-2020
|
|
| 9 |
|
|
ASHESH SHAILESH MEHTA
(PAN:AMMPM0167G)
|
|
|
|
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.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
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
|
| 10 |
|
|
ASIAN CORPORATE CONSULTANCY
|
|
|
|
DILIP ANANTRAI DESAI
PAN:AABPD3489M
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
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 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
|
| 11 |
|
|
ATLAS CORP.
(Along with : FULLON CORP.,
INDIAN TRADING CO.,
OPTION & M.C.X KING,
A TO Z SOLUTION,
LALSHAH MCX ALGO MANAGEMENT CO.,
GLOBAL MCX MANAGEMENT SERVICE)
|
|
|
|
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
|
| 12 |
|
|
ATLAS CORP.
(Along with : FULLON CORP.,
LALSHAH MCX ALGO MANAGEMENT CO.,
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
|
| 13 |
|
|
BHAVANA SATISH CHADHA
(PAN:AFNPC9292G)
|
|
|
|
BLUE CHEAP INVESTMENT
PAN:AECPN7019L
|
|
|
BLUE CHIP CORP.PVT.LTD.
CIN:U67100PN2011PTC139197
PAN:AAECB5060A
(Member : NSE)
|
|
|
BLUE CHIP INVESTMENT
PAN:AECPN7019L
|
|
|
MILESTONE INVESTMENT
PAN:AASFM5213B
|
|
|
NITIN NARKE INVESTMENT
PAN:ATUPD8449F
|
|
INDULGED IN FUND BASED ACTIVITIES INVOLVING PERSONAL FINANCIAL LIABILITY VIOLATING RULE 8(3) (F) OF SECURITIES CONTRACTS (REGULATIONS) RULES, 1957
MOBILIZED FUNDS/DEPOSITS FROM PUBLIC TO INVEST THEIR MONEY UNDER PORTFOLIO MANAGEMENT SERVICES WITHOUT OBTAINING REGISTRATION FROM SEBI AS REQUIRED UNDER SECTION 12(1) OF SEBI ACT, 1992 READ WITH REGULATION 3 OF SEBI (PORTFOLIO MANAGERS) REGULATION, 1993
DID NOT INTIMATE SEBI ABOUT ITS NEW COMMUNICATIONS DETAILS AND THE PLACE WHERE BOOKS OF ACCOUNTS, RECORDS AND DOCUMENTS WERE MAINTAINED
|
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED NOT TO DEBIT BANK ACCOUNTS/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY EXCEPT FOR REFUND AND AFTER CONFIRMATION FROM CONCERNED STOCK EXCHANGE
DIRECTED STOCK EXCHANGES, BANKS AND DEPOSITORIES TO ENSURE COMPLIANCE OF THE DIRECTIONS
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 04-SEP-2017 TO 03-SEP-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-SEP-2017 TO 03-SEP-2027
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 04-SEP-2017 TO 03-SEP-2027
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 IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET FROM 04-SEP-2017 TO 03-SEP-2027
DIRECTED TO IMPOUND FINANCIAL ASSETS
DIRECTED TO PROVIDE COMPLETE DETAILS OF AMOUNTS COLLECTED FROM INVESTORS AND AMOUNT DUE TO EACH OF THEM
PROHIBITED FROM MOBILIZING OR POOLING FUNDS FROM PUBLIC OR FROM OFFERING ANY UNREGISTERED SERVICE, IN WHATEVER FORM FROM 04-SEP-2017 TO 03-SEP-2027
PROHIBITED FROM MOBILIZING OR POOLING FUNDS FROM ITS CLIENTS, OTHER GENERAL INVESTORS OR PUBLIC OR ANY OTHER UNREGISTERED ACTIVITY, IN WHATEVER FORM FROM 04-SEP-2017 TO 03-SEP-2027
DIRECTED TO REFUND ALL THE MONIES TO INVESTORS ALONG WITH INCOME, PROFITS OR RETURNS PROMISED UNDER THE SCHEMES
DIRECTED TO SUBMIT REPAYMENT REPORT TO SEBI CERTIFIED BY TWO INDEPENDENT CHARTERED ACCOUNTANTS WHO ARE IN PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION
09-NOV-2015
|
SEBI VIDE ITS ORDER DATED 04/09/2017 1) PROHIBITED FROM MOBILIZING OR POOLING ANY FRESH FUNDS FROM THEIR CLIENTS, OTHER GENERAL INVESTORS OR MEMBERS OF PUBLIC IN WHATEVER FORM FOR A PERIOD OF TEN (10) YEARS FROM THE DATE OF THIS ORDER 2) REFUND THE MONIES SO COLLECTED FROM ITS CLIENTS AND OTHER INVESTORS THROUGH VARIOUS SCHEMES ALONG WITH INCOME, PROFITS OR RETURNS PROMISED TO THEM UNDER SUCH SCHEMES OR INTEREST AT THE @ OF 10% P.A., WHICHEVER IS HIGHER, FROM THE DATE OF INVESTMENT TILL THE DATE OF REFUND WITHIN A PERIOD OF NINETY (90) DAYS 3) SUBMIT A REPAYMENT REPORT TO SEBI AS CERTIFIED BY TWO INDEPENDENT CHARTERED ACCOUNTANTS WHO ARE IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION 4) PROVIDE A FULL INVENTORY OF ALL ASSETS AND PROPERTIES AND DETAILS OF ALL ITS BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES 5) 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 FOR A PERIOD OF TEN (10) YEARS FROM THE DATE OF THIS ORDER
SEBI VIDE ITS NOTICE DATED 24/05/2019 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
SEBI VIDE ITS ORDER DATED 26/11/2019 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.1467,28,77,712.00 LYING OUTSTANDING IN ACCOUNT OF BLUE CHIP CORP.LTD., MILESTONE INVESTMENT, MR.PRAVIN B.DARAWADE, MS.BHAVNA CHADHA, NITIN NARKE INVESTMENT, MR.NITIN RAJARAM NARKE, BLUE CHEAP INVESTMENT AND BLUE CHIP INVESTMENT
SEBI VIDE ITS ORDER DATED 26/07/2021 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 14/02/2021
|
| 14 |
|
|
BLISS CONSULTANTS
(PAN:AMMPM0167G)
|
|
|
|
ASHESH SHAILESH MEHTA
PAN:AMMPM0167G
|
|
|
SHIVANGI ASHESH MEHTA
PAN:AKJPL8198F
|
|
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.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
24-APR-2025
|
|
| 15 |
|
|
BLUE CHEAP INVESTMENT
(PAN:AECPN7019L)
|
|
|
|
BHAVANA SATISH CHADHA
PAN:AFNPC9292G
|
|
|
NITIN RAJARAM NARKE
PAN:AECPN7019L
|
|
|
PRAVIN B.DARAWADE
PAN:ATUPD8449F
|
|
MOBILIZED FUNDS/DEPOSITS FROM PUBLIC TO INVEST THEIR MONEY UNDER PORTFOLIO MANAGEMENT SERVICES WITHOUT OBTAINING REGISTRATION FROM SEBI AS REQUIRED UNDER SECTION 12(1) OF SEBI ACT, 1992 READ WITH REGULATION 3 OF SEBI (PORTFOLIO MANAGERS) REGULATION, 1993
|
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED NOT TO DEBIT BANK ACCOUNTS/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY EXCEPT FOR REFUND AND AFTER CONFIRMATION FROM CONCERNED STOCK EXCHANGE
DIRECTED STOCK EXCHANGES, BANKS AND DEPOSITORIES TO ENSURE COMPLIANCE OF THE DIRECTIONS
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 04-SEP-2017 TO 03-SEP-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-SEP-2017 TO 03-SEP-2027
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 04-SEP-2017 TO 03-SEP-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 04-SEP-2017 TO 03-SEP-2027
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 PROVIDE COMPLETE DETAILS OF AMOUNTS COLLECTED FROM INVESTORS AND AMOUNT DUE TO EACH OF THEM
PROHIBITED FROM MOBILIZING OR POOLING FUNDS FROM PUBLIC OR FROM OFFERING ANY UNREGISTERED SERVICE, IN WHATEVER FORM FROM 04-SEP-2017 TO 03-SEP-2027
PROHIBITED FROM MOBILIZING OR POOLING FUNDS FROM ITS CLIENTS, OTHER GENERAL INVESTORS OR PUBLIC OR ANY OTHER UNREGISTERED ACTIVITY, IN WHATEVER FORM FROM 04-SEP-2017 TO 03-SEP-2027
DIRECTED TO REFUND ALL THE MONIES TO INVESTORS ALONG WITH INCOME, PROFITS OR RETURNS PROMISED UNDER THE SCHEMES
DIRECTED TO SUBMIT REPAYMENT REPORT TO SEBI CERTIFIED BY TWO INDEPENDENT CHARTERED ACCOUNTANTS WHO ARE IN PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION
09-NOV-2015
|
SEBI VIDE ITS ORDER DATED 04/09/2017 1) PROHIBITED FROM MOBILIZING OR POOLING ANY FRESH FUNDS FROM THEIR CLIENTS, OTHER GENERAL INVESTORS OR MEMBERS OF PUBLIC IN WHATEVER FORM FOR A PERIOD OF TEN (10) YEARS FROM THE DATE OF THIS ORDER 2) REFUND THE MONIES SO COLLECTED FROM ITS CLIENTS AND OTHER INVESTORS THROUGH VARIOUS SCHEMES ALONG WITH INCOME, PROFITS OR RETURNS PROMISED TO THEM UNDER SUCH SCHEMES OR INTEREST AT THE @ OF 10% P.A., WHICHEVER IS HIGHER, FROM THE DATE OF INVESTMENT TILL THE DATE OF REFUND WITHIN A PERIOD OF NINETY (90) DAYS 3) SUBMIT A REPAYMENT REPORT TO SEBI AS CERTIFIED BY TWO INDEPENDENT CHARTERED ACCOUNTANTS WHO ARE IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION 4) PROVIDE A FULL INVENTORY OF ALL ASSETS AND PROPERTIES AND DETAILS OF ALL ITS BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES 5) 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 FOR A PERIOD OF TEN (10) YEARS FROM THE DATE OF THIS ORDER
SEBI VIDE ITS NOTICE DATED 24/05/2019 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
SEBI VIDE ITS ORDER DATED 26/11/2019 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.1467,28,77,712.00 LYING OUTSTANDING IN ACCOUNT OF BLUE CHIP CORP.LTD., MILESTONE INVESTMENT, MR.PRAVIN B.DARAWADE, MS.BHAVNA CHADHA, NITIN NARKE INVESTMENT, MR.NITIN RAJARAM NARKE, BLUE CHEAP INVESTMENT AND BLUE CHIP INVESTMENT
|
| 16 |
|
|
BLUE CHIP INVESTMENT
(PAN:AECPN7019L)
|
|
|
|
BHAVANA SATISH CHADHA
PAN:AFNPC9292G
|
|
|
NITIN RAJARAM NARKE
PAN:AECPN7019L
|
|
|
PRAVIN B.DARAWADE
PAN:ATUPD8449F
|
|
MOBILIZED FUNDS/DEPOSITS FROM PUBLIC TO INVEST THEIR MONEY UNDER PORTFOLIO MANAGEMENT SERVICES WITHOUT OBTAINING REGISTRATION FROM SEBI AS REQUIRED UNDER SECTION 12(1) OF SEBI ACT, 1992 READ WITH REGULATION 3 OF SEBI (PORTFOLIO MANAGERS) REGULATION, 1993
|
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED NOT TO DEBIT BANK ACCOUNTS/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY EXCEPT FOR REFUND AND AFTER CONFIRMATION FROM CONCERNED STOCK EXCHANGE
DIRECTED STOCK EXCHANGES, BANKS AND DEPOSITORIES TO ENSURE COMPLIANCE OF THE DIRECTIONS
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 04-SEP-2017 TO 03-SEP-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-SEP-2017 TO 03-SEP-2027
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 04-SEP-2017 TO 03-SEP-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 04-SEP-2017 TO 03-SEP-2027
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 PROVIDE COMPLETE DETAILS OF AMOUNTS COLLECTED FROM INVESTORS AND AMOUNT DUE TO EACH OF THEM
PROHIBITED FROM MOBILIZING OR POOLING FUNDS FROM PUBLIC OR FROM OFFERING ANY UNREGISTERED SERVICE, IN WHATEVER FORM FROM 04-SEP-2017 TO 03-SEP-2027
PROHIBITED FROM MOBILIZING OR POOLING FUNDS FROM ITS CLIENTS, OTHER GENERAL INVESTORS OR PUBLIC OR ANY OTHER UNREGISTERED ACTIVITY, IN WHATEVER FORM FROM 04-SEP-2017 TO 03-SEP-2027
DIRECTED TO REFUND ALL THE MONIES TO INVESTORS ALONG WITH INCOME, PROFITS OR RETURNS PROMISED UNDER THE SCHEMES
DIRECTED TO SUBMIT REPAYMENT REPORT TO SEBI CERTIFIED BY TWO INDEPENDENT CHARTERED ACCOUNTANTS WHO ARE IN PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION
09-NOV-2015
|
SEBI VIDE ITS ORDER DATED 04/09/2017 1) PROHIBITED FROM MOBILIZING OR POOLING ANY FRESH FUNDS FROM THEIR CLIENTS, OTHER GENERAL INVESTORS OR MEMBERS OF PUBLIC IN WHATEVER FORM FOR A PERIOD OF TEN (10) YEARS FROM THE DATE OF THIS ORDER 2) REFUND THE MONIES SO COLLECTED FROM ITS CLIENTS AND OTHER INVESTORS THROUGH VARIOUS SCHEMES ALONG WITH INCOME, PROFITS OR RETURNS PROMISED TO THEM UNDER SUCH SCHEMES OR INTEREST AT THE @ OF 10% P.A., WHICHEVER IS HIGHER, FROM THE DATE OF INVESTMENT TILL THE DATE OF REFUND WITHIN A PERIOD OF NINETY (90) DAYS 3) SUBMIT A REPAYMENT REPORT TO SEBI AS CERTIFIED BY TWO INDEPENDENT CHARTERED ACCOUNTANTS WHO ARE IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION 4) PROVIDE A FULL INVENTORY OF ALL ASSETS AND PROPERTIES AND DETAILS OF ALL ITS BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES 5) 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 FOR A PERIOD OF TEN (10) YEARS FROM THE DATE OF THIS ORDER
SEBI VIDE ITS NOTICE DATED 24/05/2019 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
SEBI VIDE ITS ORDER DATED 26/11/2019 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.1467,28,77,712.00 LYING OUTSTANDING IN ACCOUNT OF BLUE CHIP CORP.LTD., MILESTONE INVESTMENT, MR.PRAVIN B.DARAWADE, MS.BHAVNA CHADHA, NITIN NARKE INVESTMENT, MR.NITIN RAJARAM NARKE, BLUE CHEAP INVESTMENT AND BLUE CHIP INVESTMENT
|
| 17 |
|
|
BULL TRADER
|
|
|
|
VALI MAMAD HABIB GHANIWALA
PAN:BGHPG6861M
|
|
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
|
| 18 |
|
|
CHANDRAKANT SHAMRAO DHOLE
(PAN:AGJPD5155A)
|
|
|
|
UNIQUE VISION FINANCIAL ADVISORY PVT.LTD.
CIN:U74999PN2011PTC140873
PAN:AABCU3600J
|
|
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
|
| 19 |
|
|
CITIBANK N.A.
(PAN:AAACC0462F)
|
|
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ALLEGED UTILISATION OF FORGE PORTFOLIO STATEMENT & BANK STATEMENTS OF CLIENTS VIOLATION REGULATION 3 OF SEBI (PORTFOLIO MANAGERS) REGULATIONS, 1993 READ WITH SECTION 12(1) OF SEBI ACT, 1992
ALLEGED FAILURE IN MAKING ADEQUATE CONTROL & SUPERVISION OVER ITS EMPLOYEE IN CONDUCTING ACTIVITIES OF UNREGISTERED PORTFOLIO MANAGER
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REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,50,72,263 VIDE CONSENT ORDER)
29-MAR-2019
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DELTA ALLIANCE FINANCIAL SERVICES
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RAJEEV KAPOOR
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INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
LURED LARGE NUMBER OF UNSUSPECTING INVESTORS OF EASTERN REGION BY ASSURING THEM HIGH RETURNS
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RESTRAINED FROM ACCEPTING LOANS/DEPOSITS FROM PUBLIC FOR SECURITIES MARKET FROM 02-JAN-2004 TILL FURTHER ORDER
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-JAN-2004 TILL FURTHER ORDER
DEBARRED FROM ACTING AS UN-REGISTERED PORTFOLIO MANAGER FROM 02-JAN-2004 TILL FURTHER ORDER
DEBARRED FROM PUBLISHING ADVERTISEMENTS LURING INVESTORS TO INVEST IN SECURITIES MARKET FROM 02-JAN-2004 TILL FURTHER ORDER
02-JAN-2004
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FILED CRIMINAL COMPLAINT ON 11/07/2008 AND PUBLIC CAUTIONED AND ADVISED NOT TO DEAL WITH RAJEEV KAPOOR
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| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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