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SOURCE OF INFORMATION

SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
UPDATED TILL : 11-JUL-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.

PERSONS: WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

S.No. PERSON ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
201
History of entity/person VIJAYBHAI MOHANBHAI MAKWANA

(PAN:AAPPM6445E)  
  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.   WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

31-AUG-2020
 
202
History of entity/person VIKAS GUPTA

(PAN:ABOPG4132E)  
  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.   WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

31-AUG-2020
 
203
History of entity/person VIKAS KUMAR JAIN

(PAN:AJLPJ2277L)  
  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.   WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

31-AUG-2020
 
204
History of entity/person VIKRAM DAMODAR JALAN

(PAN:AGTPJ5257D)  
  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH REVERSAL OF TRADE TRANSACTIONS, CIRCULAR, SYNCHRONIZED AND SELF TRADES IN SCRIP OF CRAZY INFOTECH LTD.   WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-FEB-2015 TO 09-FEB-2017

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-FEB-2015 TO 09-FEB-2017

10-FEB-2015
 
205
History of entity/person VIKRAMADITYA  
Click here to view complete history of this specific entity/person HSBC ASSET MANAGEMENT (INDIA) PVT.LTD.

PAN:AABCH0007N
 
DID NOT PROVIDE TIMELY INFORMATION TO INVESTORS/UNITHOLDERS ABOUT CHANGES IN INVESTMENT POLICIES, OBJECTIVES AND DURATION OF SCHEME ETC AS REQUIRED UNDER CLAUSES 2,6 AND 9 OF CODE OF CONDUCT AND REGULATION 25(1) OF MUTUAL FUNDS REGULATIONS, 1996

DID NOT ADHERE TO PROVISIONS OF MUTUAL FUNDS REGULATIONS, DIRECTIVES/INSTRUCTIONS/GUIDELINES AND CIRCULARS ISSUED FROM TIME TO TIME AS REQUIRED UNDER 25(6A) OF MUTUAL FUNDS REGULATIONS, 1996  
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

23-APR-2010
SAT: SAT VIDE ITS ORDER DATED 03/05/2011 DIRECTED TO COMPLY WITH REGULATION 18(15A) OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 QUA THE APPELLANTS AND PROVIDE THEM WITH AN EXIT ROUTE  
206
History of entity/person VIMAL JOSHI  
Click here to view complete history of this specific entity/person PRIME CAPITAL MARKET LTD.

CIN:L67120OR1994PLC003649
PAN:AABCP9313M
 
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF PRIME CAPITAL MARKET LTD.   WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

14-DEC-2009
 
207
History of entity/person VINAYAK MARUTI BHANAGE

(PAN:ABQPB5361E)  
  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH REVERSAL OF TRADE TRANSACTIONS, SYNCHRONIZED, SELF TRADE AND OFF MARKET TRANSACTIONS IN SCRIP OF CRAZY INFOTECH LTD.   WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

10-FEB-2015
 
208
History of entity/person VINIT SATPUTE

(DIN:07737200
PAN:EBMPS2703F)  
Click here to view complete history of this specific entity/person BULL RESEARCH INVESTMENT ADVISORS PVT.LTD.

PAN:AAHCB1200H
 
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS

SOLD ADVISORY SERVICES/PACKAGES TO SAME CLIENTS ON MULTIPLE OCCASION AT DIFFERENT ARBITRARY PRICE FOR FUTURE/OVERLAPPING PERIOD WHILE EXISTING SUBSCRIPTION WAS ACTIVE

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

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

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

SOLD ADVISORY SERVICES/PRODUCTS TO CLIENTS WITHOUT ENSURING SUITABILITY OF ADVICE ACCORDING TO THEIR RISK PROFILE

DID NOT POSSESS NISM CERTIFICATE

DID NOT ADHERE TO REQUIREMENT OF CAPITAL ADEQUACY

NOT A FIT & PROPER PERSON TO ACT AS AN INVESTMENT ADVISOR  
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS

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

DIRECTED TO ACCEPT REFUND CLAIMS/REQUESTS FROM THE PUBLIC

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

DIRECTED TO FILE A REPORT OF RESOLUTION OF COMPLAINTS

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

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

WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

15-SEP-2023
SAT: SAT VIDE ITS ORDER DATED 09/07/2024 CONDONED THE DELAY IN FILING OF APPEAL. GRANTED RESPONDENT FOUR WEEKS TIME TO FILE REPLY AND REJOINDER MAY BE FILED WITHIN FOUR WEEKS THEREAFTER

SAT: SAT VIDE ITS ORDER DATED 17/09/2024 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED FOUR WEEKS TO FILE REJOINDER  
209
History of entity/person VINOD KHETAN

(PAN:AHNPK7226L)  
  CREATED ARTIFICIAL MARKETS IN SCRIP OF AKL SOFT & INFOSYS LTD.

TRANSACTED IN SCRIP OF AKL SOFT & INFOSYS LTD. WITHOUT TRANSFERRING BENEFICIAL OWNERSHIP WITH THE INTENTION TO INFLATE PRICES  
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

16-SEP-2005
 
210
History of entity/person VIPIN SHARMA

(PAN:ABHPS7947N)  
Click here to view complete history of this specific entity/person CHROMATIC INDIA LTD.

PAN:AAACC6220B
 
DID NOT MAKE CORRECT DISCLOSURE TO STOCK EXCHANGES ABOUT SUBSCRIPTION OF GDR ISSUE VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) & 4(1) OF PFUTP REGULATIONS, 2003 IN MATTER OF CHROMATIC INDIA LTD.   WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

30-SEP-2019
SAT: SAT VIDE ITS ORDER DATED 06/02/2020 ALLOWED THE APPEAL AND DIRECTED APPELLANT TO APPEAR BEFORE WTM OF SEBI ON 20/02/2020

SEBI VIDE ITS ORDER DATED 25/09/2020 WARNED NOTICEE TO BE CAREFUL AND EXERCISE DILIGENCE IN FUTURE WHILE DEALING IN SECURITIES MARKET, WHILE ASSOCIATING HIMSELF WITH ANY LISTED COMPANY IN ANY CAPACITY  
211
History of entity/person VISHAL G.PANDYA  
  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF AXEL POLYMERS LTD.   WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

31-AUG-2009
 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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