| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 301 |
|
HIGHBROW MARKET RESEARCH PVT.LTD.
(PAN:AACCH8077M)
|
|
|
|
CHANDAN SINGH RAJPUT
PAN:AWYPR5207Q
|
|
|
GIRISH KUMAR PAHWANI
PAN:CILPP0738B
|
|
|
HEMANT AGRAWAL
PAN:AOBPA3520Q
|
|
|
LAXMIKANT SHARMA
PAN:BNYPS4320M
|
|
|
MOHIT CHHAPARWAL
PAN:AGOPC0896Q
|
|
|
RAHUL TRIVEDI
PAN:AQNPT9607R
|
|
|
SUNIL ATODE
DIN:07857476
|
|
|
SWAPNIL PRAJAPATI
PAN:BTWPP9571K
|
|
INDULGED IN NON-GENUINE INVESTMENT ADVISORY ACTIVITY VIOLATING CLAUSES 1 TO 6 AND 8 OF CODE OF CONDUCT FOR INVESTMENT ADVISERS READ WITH REGULATION 15(9) OF (INVESTMENT ADVISORS) REGULATIONS, 2013
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-SEP-2023 TO 19-SEP-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-SEP-2023 TO 19-SEP-2024
CEASED & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS AN INVESTMENT ADVISOR, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 20-SEP-2023 TO 19-SEP-2024
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
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 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
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT NOT TRANSFERRED SECURITIES HELD JOINTLY OR SEVERALLY
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
23-MAY-2019
|
SAT: SAT VIDE ITS ORDER DATED 28/11/2019 GRANTED PERMISSION TO WITHDRAW THE APPEAL
SEBI VIDE ITS ORDER DATED 30/01/2020 CONFIRMED DIRECTIONS ISSUED VIDE ITS EX-PARTE AD-INTERIM ORDER DATED 23/01/2019
SEBI VIDE ITS ORDER DATED 20/09/2023 DIRECTED TO A) RESOLVE THE COMPLAINTS PENDING IN SCORES OR OTHERWISE WITHIN SEVEN DAYS FROM DATE OF THIS ORDER B) DEBARFROM ACCESSING SECURITIES MARKET, DIRECTLY OR INDIRECTLY AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER, FOR ONE YEAR FROM DATE OF THIS ORDER
|
| 302 |
|
|
HIGHGROWTH VINCOM PVT.LTD.
(PAN:AACCH1789A)
(Along with : ROBERT RESOURCES LTD.,
ECONO TRADE (INDIA) LTD.,
ECONO BROKING PVT.LTD.,
SAI METALTECH LLP)
|
|
|
|
HANIF KASAMBHAI SHEKH
PAN:CBEPS9710A
|
|
|
HASINA KASAMBHAI SHEKH
PAN:BFHPS4813N
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF VISHAL FABRICS LTD.
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 19-JUN-2023 TO 18-JUN-2027
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
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 TO PROVIDE FULL INVENTORY OF ASSETS, 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
21-JUN-2023
DIRECTED TO DISGORGE RS.14,86,224 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
30-JUN-2026
|
SEBI VIDE ITS ORDER DATED 30/06/2026 DIRECTED TO A) RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH THE SECURITIES MARKET IN ANY MANNER, FOR A PERIOD OF FOUR YEARS FROM DATE OF INTERIM ORDER B) JOINTLY AND SEVERALLY, DISGORGE THE UNLAWFUL GAINS OF RS.14,86,224.00 ALONGWITH SIMPLE INTEREST @12% P.A. FROM 21/10/2020 TILL DATE OF PAYMENT OF DISGORGED AND AMOUNT TO BE REMITTED TO INVESTOR PROTECTION AND EDUCATION FUND (IPEF) WITHIN FORTY FIVE DAYS FROM DATE OF RECEIPT OF THIS ORDER
|
| 303 |
|
|
HIGHGROWTH VINCOM PVT.LTD.
(PAN:AACCH1789A)
(Along with : ROBERT RESOURCES LTD.,
ECONO TRADE (INDIA) LTD.,
ECONO BROKING PVT.LTD.,
SAI METALTECH LLP)
|
|
|
|
HANIF KASAMBHAI SHEKH
PAN:CBEPS9710A
|
|
|
HASINA KASAMBHAI SHEKH
PAN:BFHPS4813N
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF MAURIA UDYOG LTD.
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 19-JUN-2023 TO 18-JUN-2027
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
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 TO PROVIDE FULL INVENTORY OF ASSETS, 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
21-JUN-2023
DIRECTED TO DISGORGE RS.2,75,841 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
30-JUN-2026
|
SEBI VIDE ITS ORDER DATED 30/06/2026 DIRECTED TO A) RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH THE SECURITIES MARKET IN ANY MANNER, FOR A PERIOD OF FOUR YEARS FROM DATE OF INTERIM ORDER B) JOINTLY AND SEVERALLY, DISGORGE THE UNLAWFUL GAINS OF RS.2,75,841.00 ALONGWITH SIMPLE INTEREST @12% P.A. FROM 21/10/2020 TILL DATE OF PAYMENT OF DISGORGED AND AMOUNT TO BE REMITTED TO INVESTOR PROTECTION AND EDUCATION FUND (IPEF) WITHIN FORTY FIVE DAYS FROM DATE OF RECEIPT OF THIS ORDER
|
| 304 |
|
|
HIGHGROWTH VINCOM PVT.LTD.
(PAN:AACCH1789A)
(Along with : ROBERT RESOURCES LTD.,
ECONO TRADE (INDIA) LTD.,
ECONO BROKING PVT.LTD.,
SAI METALTECH LLP)
|
|
|
|
HANIF KASAMBHAI SHEKH
PAN:CBEPS9710A
|
|
|
HASINA KASAMBHAI SHEKH
PAN:BFHPS4813N
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF 7NR RETAIL LTD.
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 19-JUN-2023 TO 18-JUN-2027
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
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 TO PROVIDE FULL INVENTORY OF ASSETS, 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
21-JUN-2023
DIRECTED TO DISGORGE RS.1,95,28,831 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
30-JUN-2026
|
SEBI VIDE ITS ORDER DATED 30/06/2026 DIRECTED TO A) RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH THE SECURITIES MARKET IN ANY MANNER, FOR A PERIOD OF FOUR YEARS FROM DATE OF INTERIM ORDER B) JOINTLY AND SEVERALLY, DISGORGE THE UNLAWFUL GAINS OF RS.1,95,28,831.00 ALONGWITH SIMPLE INTEREST @12% P.A. FROM 21/10/2020 TILL DATE OF PAYMENT OF DISGORGED AND AMOUNT TO BE REMITTED TO INVESTOR PROTECTION AND EDUCATION FUND (IPEF) WITHIN FORTY FIVE DAYS FROM DATE OF RECEIPT OF THIS ORDER
|
| 305 |
|
|
HIGHGROWTH VINCOM PVT.LTD.
(PAN:AACCH1789A)
(Along with : ROBERT RESOURCES LTD.,
ECONO TRADE (INDIA) LTD.,
ECONO BROKING PVT.LTD.,
SAI METALTECH LLP)
|
|
|
|
HANIF KASAMBHAI SHEKH
PAN:CBEPS9710A
|
|
|
HASINA KASAMBHAI SHEKH
PAN:BFHPS4813N
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF GBL INDUSTRIES LTD.
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 19-JUN-2023 TO 18-JUN-2027
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
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 TO PROVIDE FULL INVENTORY OF ASSETS, 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
21-JUN-2023
DIRECTED TO DISGORGE RS.39,92,288 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
30-JUN-2026
|
SEBI VIDE ITS ORDER DATED 30/06/2026 DIRECTED TO A) RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH THE SECURITIES MARKET IN ANY MANNER, FOR A PERIOD OF FOUR YEARS FROM DATE OF INTERIM ORDER B) JOINTLY AND SEVERALLY, DISGORGE THE UNLAWFUL GAINS OF RS.39,92,288.00 ALONGWITH SIMPLE INTEREST @12% P.A. FROM 21/10/2020 TILL DATE OF PAYMENT OF DISGORGED AND AMOUNT TO BE REMITTED TO INVESTOR PROTECTION AND EDUCATION FUND (IPEF) WITHIN FORTY FIVE DAYS FROM DATE OF RECEIPT OF THIS ORDER
|
| 306 |
|
|
HYBRID RESEARCH ADVISORY SERVICES
(PAN:BBSPK1145A)
|
|
|
|
NIKHIL KUMAR
PAN:BBSPK1145A
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
CEASED & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS AN INVESTMENT ADVISOR, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 13-DEC-2021 TO 12-DEC-2023
CEASED AND DESIST FROM ACTING AS AN INVESTMENT ADVISOR AND/OR RESEARCH ANALYST AND CEASE TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER UNREGISTERED ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 13-DEC-2021 TO 12-DEC-2023
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 13-DEC-2021 TO 12-DEC-2023
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 TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO THOSE SCHEMES / ACTIVITIES (INVESTMENT ADVISER AND ALTERNATIVE INVESTMENT FUND, AND/OR RESEARCH ANALYST) OR ANY UNREGISTERED ACTIVITIES FROM 13-DEC-2021 TO 12-DEC-2023
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-DEC-2021 TO 12-DEC-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-DEC-2021 TO 12-DEC-2023
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, 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 TO SUBMIT LIST OF CLIENTS AND FEE COLLECTED FROM THEM
DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS AND CREDITS FROM ACCOUNT WITHOUT PERMISSION OF SEBI FROM 13-DEC-2021 TO 12-DEC-2023
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 13-DEC-2021 TO 12-DEC-2023
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND CREDITS MADE IN DEMAT ACCOUNTS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED TO SUBMIT NUMBER AND DETAILS OF CLIENTS WHO HAVE AVAILED THEIR INVESTMENT ADVISORY SERVICES
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 13-DEC-2021 TO 12-DEC-2023
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 13-DEC-2021 TO 12-DEC-2023
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 13-DEC-2021 TO 12-DEC-2023
07-DEC-2020
|
SEBI VIDE ITS ORDER DATED 13/12/2021 DIRECTED TO A) REFUND THE MONEY RECEIVED FROM CLIENTS/INVESTORS/COMPLAINTS, AS FEES OR CONSIDERATION OR IN ANY OTHER FORM, IN RESPECT OF UNREGISTERED INVESTMENT ADVISORY ACTIVITIES WITHIN THREE MONTHS 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 CLIENTS/INVESTORS TO BE EFFECTED ONLY IN CASH 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 CLIENTS/INVESTORS WHO WERE AVAILING THE INVESTMENT ADVISORY SERVICES E) FILE REPORT OF SUCH COMPLETION WITH SEBI DULY CERTIFIED FROM INDEPENDENT CHARTERED ACCOUNTANTS F) DEBARRED FROM ACCESSING SECURITIES MARKET DIRECTLY OR INDIRECTLY AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER FOR TWO YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS G) RESTRAINED FROM ASSOCIATING WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC, OR ANY INTERMEDIARY REGISTERED WITH SEBI IN ANY CAPACITY FOR TWO YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS H) NOT TO UNDERTAKE, EITHER DIRECTLY OR INDIRECTLY, INVESTMENT ADVISORY SERVICES OR ANY OTHER ACTIVITY IN THE SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
|
| 307 |
|
|
IFL PROMOTERS LTD.
(CIN:L65910DL1992PLC049014
PAN:AAACI5322C)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
TRANSFERRED CLIENTS SECURITIES TO ITS RELATED ENTITIES
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 25-SEP-2018 TO 24-SEP-2025
CEASED AND DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 25-SEP-2018 TO 24-SEP-2025
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, 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 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 TO UTILIZE ASSETS OF THE ENTITIES ONLY FOR THE PURPOSE OF PAYMENT OF MONEY AND/OR DELIVERY OF SECURITIES, AS THE CASE MAY BE, TO CLIENTS/INVESTORS UNDER THE SUPERVISION OF CONCERNED STOCK EXCHANGE(S)
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
25-SEP-2018
|
SEBI VIDE ITS ORDER DATED 25/10/2019 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 25/09/2018
SEBI VIDE ITS ORDER DATED 20/09/2023 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, EITHER DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER SEVEN YEARS B) DIRECTED TO DEPOSIT RS.2.77 CRORE AND RS.1.36 CRORE RESPECTIVELY IN INTEREST BEARING ESCROW ACCOUNT HELD WITH NATIONALIZED BANK WITHIN THIRTY DAYS FROM DATE OF RECEIPT OF THIS ORDER C) NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS, WHETHER MOVABLE OR IMMOVABLE (INCLUDING FUNDS IN THEIR BANK ACCOUNTS) OR CREATE ANY INTEREST OR CHARGE IN ANY SUCH ASSETS TILL SUCH TIME THE REFUNDS/REPAYMENTS AS DIRECTED ABOVE ARE COMPLETED D) BANK ENSURE THAT NO DEBITS ARE MADE IN THE BANK ACCOUNTS HELD BY NOTICEES EXCEPT FOR THE PURPOSE OF OPENING OF ESCROW ACCOUNT, TILL SUCH TIME REFUNDS/REPAYMENTS AS DIRECTED ABOVE ARE COMPLETED
|
| 308 |
|
|
INDISTOCK PVT.LTD.
(PAN:AAACI6554J)
|
|
|
|
SANJEEV BUBNA
PAN:AECPB9459C
|
|
TRADED WHILE IN POSSESSION OF UPSI AND COMMUNICATED UPSI TO OTHERS VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3 AND 4 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF LUX INDUSTRIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-JAN-2022 UNTIL FURTHER ORDERS
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 24-JAN-2022 UNTIL FURTHER ORDERS
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED TO FREEZE BANK ACCOUNTS
DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS WITHOUT PERMISSION OF SEBI
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 TO PROVIDE FULL INVENTORY OF ASSETS, 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 TO IMPOUND BANK ACCOUNTS
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.1,28,68,738 ALONG WITH OTHER ENTITIES/PERSONS
24-JAN-2022
|
SEBI VIDE ITS ORDER DATED 27/05/2022 DIRECTED TO A) RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES OF LUX INDUSTRIES LTD., EITHER DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER UNTIL FURTHER ORDERS B) RESTRAINT RELATED TO BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES IN RESPECT OF LUX INDUSTRIES LTD. NOT TO PROHIBIT THE CREDIT OF SHARES TO BE RECEIVED ON ACCOUNT OF STOCK OPTION, BONUS ETC. ISSUED BY THE COMPANY C) FUNDS DEPOSITED BY ENTITIES IN INTEREST BEARING ESCROW ACCOUNT/FDR TO REMAIN IN SAID ACCOUNT WITH LIEN IN FAVOUR OF SEBI UNTIL FURTHER ORDERS
SEBI VIDE ITS ORDER DATED 06/11/2023 A) REVOKED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 24/01/2022 WHICH WERE CONFIRMED WITH MODIFICATIONS VIDE ORDER DATED 27/05/2022 B) RELEASED AMOUNT IMPOUNDED PURSUANT TO INTERIM ORDER DATED 24/01/2022 READ WITH ORDER DATED 27/05/2022 ALONG WITH INTEREST IF ANY, ACCRUED ON THE SAID AMOUNT
|
| 309 |
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INFOSYS LTD.
(PAN:AAACI4798L)
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PRANSHU BHUTRA
PAN:AJGPB4087R
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VILLAYANUR VARADARAJAN VENKATASUBRAMANIYAM
PAN:AAKPV6612K
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COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(E) OF SEBI ACT, 1992 AND REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF INFOSYS LTD.
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(E) OF SEBI ACT, 1992 AND REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF INFOSYS LTD.
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DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAY-2021 UNTIL FURTHER ORDERS
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
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 TO PROVIDE FULL INVENTORY OF ASSETS, 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 BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 31-MAY-2021 UNTIL FURTHER ORDERS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND CREDITS MADE IN DEMAT ACCOUNTS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
31-MAY-2021
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| 310 |
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INVESTMART
(PAN:DYFPB1666H)
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ANSHUMAN BHISE
PAN:DYFPB1666H
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ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
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CEASED & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS AN INVESTMENT ADVISOR, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 19-MAY-2021 TO 18-MAY-2023
CEASED AND DESIST FROM ACTING AS AN INVESTMENT ADVISOR AND/OR RESEARCH ANALYST AND CEASE TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER UNREGISTERED ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 19-MAY-2021 TO 18-MAY-2023
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-MAY-2021 TO 18-MAY-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-MAY-2021 TO 18-MAY-2023
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 19-MAY-2021 TO 18-MAY-2023
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 TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO THOSE SCHEMES / ACTIVITIES (INVESTMENT ADVISER AND ALTERNATIVE INVESTMENT FUND, AND/OR RESEARCH ANALYST) OR ANY UNREGISTERED ACTIVITIES FROM 19-MAY-2021 TO 18-MAY-2023
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, 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 BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS AND CREDITS FROM ACCOUNT WITHOUT PERMISSION OF SEBI FROM 19-MAY-2021 TO 18-MAY-2023
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT NOT TRANSFERRED SECURITIES HELD JOINTLY OR SEVERALLY
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 19-MAY-2021 TO 18-MAY-2023
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 19-MAY-2021 TO 18-MAY-2023
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 19-MAY-2021 TO 18-MAY-2023
07-FEB-2020
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SEBI VIDE ITS ORDER DATED 19/05/2021 DIRECTED TO A) REFUND THE MONEY RECEIVED FROM CLIENTS/INVESTORS, AS FEES OR CONSIDERATION OR IN ANY OTHER FORM, IN RESPECT OF UNREGISTERED INVESTMENT ADVISORY ACTIVITIES WITHIN PERIOD OF THREE MONTHS FROM THE 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 THE 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 CLIENTS/INVESTORS SHALL BE EFFECTED ONLY IN CASH THROUGH BANK DEMAND DRAFT OR PAY ORDER D) PREVENTED FROM SELLING THE ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES IN DEMAT AND PHYSICAL FORM EXCEPT FOR THE SOLE PURPOSE OF MAKING THE REFUNDS AS DIRECTED E) BANKS TO ALLOW DEBIT ONLY FOR THE PURPOSE OF MAKING REFUNDS TO THE CLIENTS/INVESTORS WHO WERE AVAILING THE INVESTMENT ADVISORY SERVICES FROM THE NOTICEES F) FILE REPORT OF SUCH COMPLETION OF WITH SEBI DULY CERTIFIED FROM INDEPENDENT CHARTERED ACCOUNTANTS G) DEBARRED FROM ACCESSING SECURITIES MARKET DIRECTLY OR INDIRECTLY AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER FOR PERIOD OF TWO YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS H) RESTRAINED FROM ASSOCIATING WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC, OR ANY INTERMEDIARY REGISTERED WITH SEBI IN THE CAPACITY FOR TWO YEARS FROM THE DATE OF COMPLETION OF REFUNDS TO INVESTORS I) NOT TO UNDERTAKE, EITHER DIRECTLY OR INDIRECTLY, INVESTMENT ADVISORY SERVICES OR ANY ACTIVITY IN THE SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
SEBI VIDE ITS NOTICE DATED 15/09/2023 DIRECTED TO PAY RS.53,37,387.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 13/12/2023 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS 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
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| 311 |
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JITENDRA M.SHAH (HUF)
(PAN:AADHS0449G)
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INDULGED IN FRONT RUNNING TRADING ACTIVITIES OF DEALERS OF RELIANCE SECURITIES LTD. AND OTHER CONNECTED ENTITIES VIOLATING REGULATIONS 3(A) TO (D) AND 4(1) & 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003
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RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 07-AUG-2020 UNTIL FURTHER ORDERS
CEASED AND DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 07-AUG-2020 UNTIL FURTHER ORDERS
DIRECTED TO OPEN ESCROW ACCOUNT WITH A NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT TO BE PROCEEDS GENERATED FROM FRONT RUNNING TRADES WITHOUT PERMISSION FROM SEBI
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, 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 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 BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 07-AUG-2020 UNTIL FURTHER ORDERS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
07-AUG-2020
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SAT: SAT VIDE ITS ORDER DATED 10/12/2020 DISPOSED OFF THE APPEAL AND DIRECTED APPELLANT TO FILE THEIR REPLY/OBJECTION ON OR BEFORE 15/12/2020
SEBI VIDE ITS ORDER DATED 30/12/2020 REVOKED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 07/08/2020
SAT: SAT VIDE ITS ORDER DATED 07/06/2023 CONDONED THE DELAY IN FILING OF APPEAL. IN THE MEANWHILE, RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER. STAYED IMPUGNED ORDER AND DIRECTED APPELLANT TO DEPOSIT BALANCE DISGORGEMENT AMOUNT AND PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
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| 312 |
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JITNEY INVESTMENTS PVT.LTD.
(PAN:AADCJ0092M)
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ASHISH PANALAL SHAH
PAN:AJRPS7737C
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KIRTIDAN K.GADHAVI
PAN:AJAPG0901B
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RAJNEESH KUMAR
PAN:ANDPK4877B
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AIDED AND ABETTED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUPERIOR FINLEASE LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUPERIOR FINLEASE LTD.
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DIRECTED TO DISGORGE RS.44,000 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 22-MAY-2024 TO 21-MAY-2029
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 TO PROVIDE FULL INVENTORY OF ASSETS, 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
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-MAY-2024 TO 21-MAY-2029
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-MAY-2024 TO 21-MAY-2029
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
25-JAN-2023
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SEBI VIDE ITS ORDER DATED 22/05/2024 DIRECTED TO A) 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 FIVE YEARS FROM DATE OF THIS ORDER B) DISGORGE RS.44,000.00 ALONG WITH SIMPLE INTEREST @ 12% P.A. CALCULATED FROM 14/09/2021 TILL DATE OF ACTUAL PAYMENT /IMPOUNDING AND AMOUNT TO BE REMITTED TO IPEF WITHIN FORTY FIVE DAYS FROM DATE OF RECEIPT OF THIS ORDER
SEBI VIDE ITS NOTICE DATED 09/12/2024 DIRECTED TO PAY RS.62,600.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 14/01/2025 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS 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
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| 313 |
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JUSCORP ENTERPRISES PVT.LTD.
(PAN:AADCJ9182A)
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INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF MAURIA UDYOG LTD.
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RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 19-JUN-2023 TO 18-JUN-2027
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
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 TO PROVIDE FULL INVENTORY OF ASSETS, 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
21-JUN-2023
DIRECTED TO DISGORGE RS.87,39,147
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
30-JUN-2026
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SEBI VIDE ITS ORDER DATED 30/06/2026 DIRECTED TO A) RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH THE SECURITIES MARKET IN ANY MANNER, FOR A PERIOD OF FOUR YEARS FROM DATE OF INTERIM ORDER B) DISGORGE UNLAWFUL GAINS OF RS.87,39,147.00 ALONGWITH SIMPLE INTEREST @12% P.A. FROM 21/10/2020 TILL DATE OF PAYMENT OF DISGORGED AND AMOUNT TO BE REMITTED TO INVESTOR PROTECTION AND EDUCATION FUND (IPEF) WITHIN FORTY FIVE DAYS FROM DATE OF RECEIPT OF THIS ORDER
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| 314 |
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KABIR FINANCIAL SERVICES PVT.LTD.
(PAN:AAICK9402B)
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FARHAT PERWEEN
PAN:CUTPP6462J
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SAYYED SHUJAUDDIN
PAN:CZIPS9418M
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ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-JUN-2023 UNTIL FURTHER ORDERS
CEASED & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS AN INVESTMENT ADVISOR, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 14-JUN-2023 UNTIL FURTHER ORDERS
CEASED TO SOLICIT OR UNDERTAKE INVESTMENT ADVISORY ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 14-JUN-2023 UNTIL FURTHER ORDERS
DIRECTED TO OPEN INTEREST BEARING ESCROW ACCOUNT WITH SCHEDULED COMMERCIAL BANK AND DEPOSIT IMPOUNDED AMOUNT WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 14-JUN-2023 UNTIL FURTHER ORDERS
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 TO PROVIDE FULL INVENTORY OF ASSETS, 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 BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS AND CREDITS FROM ACCOUNT WITHOUT PERMISSION OF SEBI FROM 14-JUN-2023 UNTIL FURTHER ORDERS
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 14-JUN-2023 UNTIL FURTHER ORDERS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO THOSE SCHEMES / ACTIVITIES (INVESTMENT ADVISER AND ALTERNATIVE INVESTMENT FUND, AND/OR RESEARCH ANALYST) OR ANY UNREGISTERED ACTIVITIES FROM 14-JUN-2023 UNTIL FURTHER ORDERS
14-JUN-2023
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SEBI VIDE ITS ORDER DATED 27/09/2024 CONFIRM ALL THE DIRECTIONS OF INTERIM ORDER DATED 14/06/2023, SUBJECT TO MODIFICATION IN TOTAL LIABILITY TO RS.7,98,58,355.08 FOR THE ALLEGED ILLEGAL GAINS
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| 315 |
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KAMAL GUPTA (HUF)
(PAN:AALHK4127K)
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INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF MAURIA UDYOG LTD.
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 19-JUN-2023 TO 18-JUN-2027
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
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 TO PROVIDE FULL INVENTORY OF ASSETS, 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
21-JUN-2023
DIRECTED TO DISGORGE RS.58,20,065
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
30-JUN-2026
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SEBI VIDE ITS ORDER DATED 30/06/2026 DIRECTED TO A) RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH THE SECURITIES MARKET IN ANY MANNER, FOR A PERIOD OF FOUR YEARS FROM DATE OF INTERIM ORDER B) DISGORGE UNLAWFUL GAINS OF RS.58,20,065.00 ALONGWITH SIMPLE INTEREST @12% P.A. FROM 21/10/2020 TILL DATE OF PAYMENT OF DISGORGED AND AMOUNT TO BE REMITTED TO INVESTOR PROTECTION AND EDUCATION FUND (IPEF) WITHIN FORTY FIVE DAYS FROM DATE OF RECEIPT OF THIS ORDER
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| 316 |
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KARAVAN TRADELINK OPC PVT.LTD.
(PAN:AAGCK2880F)
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INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SADHNA BROADCAST LTD. USING MISLEADING YOUTUBE VIDEOS WITH FALSE CONTENT BACKED BY PAID MARKETING CAMPAIGN
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DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-MAR-2023 UNTIL FURTHER ORDERS
DIRECTED TO OPEN INTEREST BEARING ESCROW ACCOUNT WITH A SCHEDULED COMMERCIAL BANK AND DEPOSIT THE IMPOUNDED AMOUNT THEREIN IN THE MATTER OF TO BE PROCEEDS GENERATED FROM FRONT RUNNING TRADES WITHOUT PERMISSION FROM SEBI
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 02-MAR-2023 UNTIL FURTHER ORDERS
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 TO PROVIDE FULL INVENTORY OF ASSETS, 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 REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT NOT TRANSFERRED SECURITIES HELD JOINTLY OR SEVERALLY
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.3,93,550
02-MAR-2023
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SAT: SAT VIDE ITS ORDER DATED 17/03/2023 ALLOWED THE APPLICATION FOR EXEMPTION OF CERTIFIED COPY
SAT: SAT VIDE ITS ORDER DATED 12/07/2023 DISPOSED OF THE APPEAL BY DIRECTING WTM TO PASS APPROPRIATE ORDER ON OR BEFORE 21/07/2023
SEBI VIDE ITS ORDER DATED 20/07/2023 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 02/03/2023 MODIFYING A) LIABILITY FOR ILLEGAL GAIN MADE BY NOTICEES NOS. 4, 5, 6, 7 AND 9 INDIVIDUALLY MODIFIED AS MENTIONED AT TABLE NO 3 IN THE ORDER AND B) DIRECTION IN PARA 38.7 OF INTERIM ORDER WILL NOT PROHIBIT CREDIT OF SHARES TO BE RECEIVED ON ACCOUNT OF CORPORATE ACTIONS
SAT: SAT VIDE ITS ORDER DATED 10/08/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN TEN DAYS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN A WEEK THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 09/10/2023 ALLOWED THE APPEALS AND SET ASIDE IMPUGNED ORDER DATED 02/03/2023. RESTRAINED APPELLANTS FROM TRADING IN SCRIP DURING PENDENCY OF INVESTIGATION. DEPOSIT OF UNLAWFUL GAINS TO CONTINUE TILL FINAL ORDER IF ANY, PASSED BY WTM
SAT: SAT VIDE ITS ORDER DATED 08/01/2024 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 12/02/2024 ALLOWED APPELLANT FURTHER TWO WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 16/04/2024 ALLOWED APPELLANTS ADDITIONAL AND FINAL THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 19/08/2024 GRANTED APPELLANT TWO MONTHS TO SETTLE THE CASE
SAT: SAT VIDE ITS ORDER DATED 31/07/2025 DIRECTED APPELLANT TO DEPOSIT TOTAL SUM OF RS.60 LAC AFTER ALLOWING CREDIT FOR THE AMOUNT WHICH IS ALREADY DEPOSITED
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| 317 |
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KASSA FINANCIAL ADVISORS PVT.LTD.
(PAN:AAACR1298Q)
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INDULGED IN FRAUDULENT AND MANIPULATIVE SCHEME, DEVICE, ARTIFICE PERPETRATED BY KASSA FINVEST LTD. AND ITS DIRECTORS/PROMOTERS/EMPLOYEES IN VIOLATION OF REGULATIONS 3(A), (C), (D) AND 4(1) OF PFUTP REGULATIONS
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-SEP-2017 TO 04-SEP-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-SEP-2017 TO 04-SEP-2027
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 TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED TO REPAY/REFUND TO INVESTORS / CLIENTS MONEY WITH INTEREST @15% P.A. FROM THE DATE OF REPAYMENT DUE TILL THE DATE OF ACTUAL PAYMENT
05-SEP-2017
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SEBI VIDE ITS ORDER DATED 05/09/2017 DIRECTED TO 1) PROHIBITED FROM ACCESSING THE SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR DEALING IN SECURITIES, EITHER DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER, FOR A PERIOD OF TEN YEARS FROM THE DATE OF THIS ORDER 2) REPAY/REFUND THE INVESTORS/CLIENT’S MONEY WITH AN INTEREST OF 15% P.A. FROM THE DATE WHEN THE REPAYMENT BECAME DUE TILL THE DATE OF ACTUAL PAYMENT. THE PAYMENTS TO THE INVESTORS/CLIENTS IN RESPECT OF THE TRANSACTIONS EXECUTED THROUGH STOCK EXCHANGES SHALL BE MADE IN-COORDINATION WITH NSE AND BSE, AFTER TAKING INTO ACCOUNT THE PAYMENTS MADE BY SAID EXCHANGES TO THE INVESTORS/CLIENTS OF KASSA FINVEST OUT OF THE IPF ACCOUNT OF THE EXCHANGES 3) NOT TO DISPOSE OFF OR ALIENATE ANY ASSETS, WHETHER MOVABLE OR IMMOVABLE, OR CREATE ANY INTEREST OR CHARGE IN ANY SUCH ASSETS. PERMITTED TO SELL THEIR ASSETS FOR THE SOLE PURPOSE OF MAKING REPAYMENTS TO INVESTORS AND DEPOSIT THE PROCEEDS IN AN ESCROW ACCOUNT OPNED WITH A NATIONALIZED BANK. MONEY DEPOSITED IN THE ESCROW ACCOUNT HAS TO BE DISBURSED TO THE CLIENTS/INVESTORS ONLY IN COORDINATION WITH NSE AND BSE. UPTO THE EXTENT OF TOTAL MONEY DISBURSED BY THE EXCHANGES OUT OF THEIR IPF ACCOUNTS TO THE CLIENTS/INVESTORS OF KASSA FINVEST 5) DIRECTED TO PROVIDE FULL INVENTORY OF ALL THEIR ASSETS AND PROPERTIES AND DETAILS OF THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, IF HELD IN PHYSICAL SHARES
SEBI VIDE ITS NOTICE DATED 14/01/2019 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 12/02/2020 REVISED ITS NOTICE OF DEMAND 18/12/2018 AND DIRECTED TO RECOVER RS.98,26,50,507.60 TOWARDS REPAYMENT/REFUND OF INVESTORS/CLIENT’S MONEY ALONGWITH INTEREST, ALL COSTS, CHARGES AND EXPENSES INCURRED IN RESPECT OF ALL THE PROCEEDINGS
SEBI VIDE ITS ORDER DATED 28/06/2021 A) PROHIBITED FROM DISPOSING, TRANSFERRING, ALIENATING OR CHARGING IN RESPECT OF ALL THE IMMOVABLE PROPERTIES LISTED IN THE ORDER B) PROHIBITED FROM TAKING ANY BENEFIT UNDER SUCH DISPOSAL, TRANSFER, ALIENATION OR CHARGE IN RESPECT OF THE PROPERTIES LISTED IN ORDER C) DIRECTED TO FURNISH COMPLETE DETAILS OF ALL MOVABLE AND IMMOVABLE PROPERTIES HELD BY DEFAULTERS AND CHARGES, DULY CERTIFIED BY BOARD OF DIRECTORS ALONG WITH ORIGINAL TITLE DEEDS WITHIN TWO WEEKS FROM DATE OF THIS ORDER AT SEBI, NORTHERN REGIONAL OFFICE, NEW DELHI D) DIRECTED INSPECTORS GENERAL OF REGISTRATION OF ALL THE STATES AND UNION TERRITORIES AND CONCERNED TEHSILDARS, DISTRICT REGISTRARS AND SUB-REGISTRARS OF THE RESPECTIVE AREAS WHERE THE PROPERTIES ARE LOCATED E) NOT TO ACT UPON ANY DOCUMENTS PURPORTING TO BE DEALING WITH TRANSFER, MORTGAGE, CHARGE, LEASE OR CREATION OR ALTERATION OF ANY INTEREST IN ANY OF THE PROPERTIES OWNED/HELD BY THE DEFAULTERS, IF PRESENTED FOR REGISTRATION
SEBI VIDE ITS NOTICE DATED 05/01/2026 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.98,26,50,507.60 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTG
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| 318 |
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KASSA HOLDINGS & CONSULTANTS PVT.LTD.
(CIN:U74899DL1989PTC035871
PAN:AAACK1208R)
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INDULGED IN FRAUDULENT AND MANIPULATIVE SCHEME, DEVICE, ARTIFICE PERPETRATED BY KASSA FINVEST LTD. AND ITS DIRECTORS/PROMOTERS/EMPLOYEES IN VIOLATION OF REGULATIONS 3(A), (C), (D) AND 4(1) OF PFUTP REGULATIONS
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-SEP-2017 TO 04-SEP-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-SEP-2017 TO 04-SEP-2027
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 TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED TO REPAY/REFUND TO INVESTORS / CLIENTS MONEY WITH INTEREST @15% P.A. FROM THE DATE OF REPAYMENT DUE TILL THE DATE OF ACTUAL PAYMENT
05-SEP-2017
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SEBI VIDE ITS ORDER DATED 05/09/2017 DIRECTED TO 1) PROHIBITED FROM ACCESSING THE SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR DEALING IN SECURITIES, EITHER DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER, FOR A PERIOD OF TEN YEARS FROM THE DATE OF THIS ORDER 2) REPAY/REFUND THE INVESTORS/CLIENT’S MONEY WITH AN INTEREST OF 15% P.A. FROM THE DATE WHEN THE REPAYMENT BECAME DUE TILL THE DATE OF ACTUAL PAYMENT. THE PAYMENTS TO THE INVESTORS/CLIENTS IN RESPECT OF THE TRANSACTIONS EXECUTED THROUGH STOCK EXCHANGES SHALL BE MADE IN-COORDINATION WITH NSE AND BSE, AFTER TAKING INTO ACCOUNT THE PAYMENTS MADE BY SAID EXCHANGES TO THE INVESTORS/CLIENTS OF KASSA FINVEST OUT OF THE IPF ACCOUNT OF THE EXCHANGES 3) NOT TO DISPOSE OFF OR ALIENATE ANY ASSETS, WHETHER MOVABLE OR IMMOVABLE, OR CREATE ANY INTEREST OR CHARGE IN ANY SUCH ASSETS. PERMITTED TO SELL THEIR ASSETS FOR THE SOLE PURPOSE OF MAKING REPAYMENTS TO INVESTORS AND DEPOSIT THE PROCEEDS IN AN ESCROW ACCOUNT OPNED WITH A NATIONALIZED BANK. MONEY DEPOSITED IN THE ESCROW ACCOUNT HAS TO BE DISBURSED TO THE CLIENTS/INVESTORS ONLY IN COORDINATION WITH NSE AND BSE. UPTO THE EXTENT OF TOTAL MONEY DISBURSED BY THE EXCHANGES OUT OF THEIR IPF ACCOUNTS TO THE CLIENTS/INVESTORS OF KASSA FINVEST 5) DIRECTED TO PROVIDE FULL INVENTORY OF ALL THEIR ASSETS AND PROPERTIES AND DETAILS OF THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, IF HELD IN PHYSICAL SHARES
SEBI VIDE ITS NOTICE DATED 14/01/2019 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 12/02/2020 REVISED ITS NOTICE OF DEMAND 18/12/2018 AND DIRECTED TO RECOVER RS.98,26,50,507.60 TOWARDS REPAYMENT/REFUND OF INVESTORS/CLIENT’S MONEY ALONGWITH INTEREST, ALL COSTS, CHARGES AND EXPENSES INCURRED IN RESPECT OF ALL THE PROCEEDINGS
SEBI VIDE ITS ORDER DATED 28/06/2021 A) PROHIBITED FROM DISPOSING, TRANSFERRING, ALIENATING OR CHARGING IN RESPECT OF ALL THE IMMOVABLE PROPERTIES LISTED IN THE ORDER B) PROHIBITED FROM TAKING ANY BENEFIT UNDER SUCH DISPOSAL, TRANSFER, ALIENATION OR CHARGE IN RESPECT OF THE PROPERTIES LISTED IN ORDER C) DIRECTED TO FURNISH COMPLETE DETAILS OF ALL MOVABLE AND IMMOVABLE PROPERTIES HELD BY DEFAULTERS AND CHARGES, DULY CERTIFIED BY BOARD OF DIRECTORS ALONG WITH ORIGINAL TITLE DEEDS WITHIN TWO WEEKS FROM DATE OF THIS ORDER AT SEBI, NORTHERN REGIONAL OFFICE, NEW DELHI D) DIRECTED INSPECTORS GENERAL OF REGISTRATION OF ALL THE STATES AND UNION TERRITORIES AND CONCERNED TEHSILDARS, DISTRICT REGISTRARS AND SUB-REGISTRARS OF THE RESPECTIVE AREAS WHERE THE PROPERTIES ARE LOCATED E) NOT TO ACT UPON ANY DOCUMENTS PURPORTING TO BE DEALING WITH TRANSFER, MORTGAGE, CHARGE, LEASE OR CREATION OR ALTERATION OF ANY INTEREST IN ANY OF THE PROPERTIES OWNED/HELD BY THE DEFAULTERS, IF PRESENTED FOR REGISTRATION
SEBI VIDE ITS NOTICE DATED 05/01/2026 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.98,26,50,507.60 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTG
SEBI VIDE ITS ORDER DATED 12/06/2026 A) PROHIBITED FROM DISPOSING, TRANSFERRING, ALIENATING OR CHARGING IN RESPECT OF ALL THE IMMOVABLE PROPERTIES LISTED IN THE ORDER B) PROHIBITED FROM TAKING ANY BENEFIT UNDER SUCH DISPOSAL, TRANSFER, ALIENATION OR CHARGE IN RESPECT OF THE PROPERTIES LISTED IN ORDER C) DIRECTED TO FURNISH COMPLETE DETAILS OF ALL MOVABLE AND IMMOVABLE PROPERTIES HELD BY DEFAULTERS AND CHARGES, IF ANY, DULY CERTIFIED BY BOARD OF DIRECTORS ALONG WITH ORIGINAL TITLE DEEDS WITHIN TWO WEEKS FROM DATE OF THIS ORDER AT SEBI, NORTHERN REGIONAL OFFICE, NEW DELHI D) DIRECTED INSPECTORS GENERAL OF REGISTRATION OF ALL THE STATES AND UNION TERRITORIES AND CONCERNED TEHSILDARS, DISTRICT REGISTRARS AND SUB-REGISTRARS OF THE RESPECTIVE AREAS WHERE THE PROPERTIES ARE LOCATED E) NOT TO ACT UPON ANY DOCUMENTS PURPORTING TO BE DEALING WITH TRANSFER, MORTGAGE, CHARGE, LEASE OR CREATION OR ALTERATION OF ANY INTEREST IN ANY OF THE PROPERTIES OWNED/HELD BY THE DEFAULTERS, IF PRESENTED FOR REGISTRATION
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| 319 |
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KHELO MCX RESEARCH SERVICES
(PAN:AZDPC8667K)
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YASH CHAWLA
PAN:AZDPC8667K
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ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
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CEASED & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS AN INVESTMENT ADVISOR, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 30-NOV-2021 TO 29-MAY-2022
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 30-NOV-2021 TO 29-MAY-2022
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 TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO THOSE SCHEMES / ACTIVITIES (INVESTMENT ADVISER AND ALTERNATIVE INVESTMENT FUND, AND/OR RESEARCH ANALYST) OR ANY UNREGISTERED ACTIVITIES FROM 30-NOV-2021 TO 29-MAY-2022
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-NOV-2021 TO 29-MAY-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-NOV-2021 TO 29-MAY-2022
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, 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 BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS AND CREDITS FROM ACCOUNT WITHOUT PERMISSION OF SEBI FROM 30-NOV-2021 TO 29-MAY-2022
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED TO REFUND MONEY RECEIVED FROM CLIENTS/INVESTORS/COMPLAINANT AS FEES OR CONSIDERATION OR IN ANY OTHER FORM IN RESPECT OF UNREGISTERED INVESTMENT ADVISORY AND/OR RESEARCH ANALYSIS 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 30-NOV-2021 TO 29-MAY-2022
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 30-NOV-2021 TO 29-MAY-2022
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 30-NOV-2021 TO 29-MAY-2022
07-SEP-2020
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SEBI VIDE ITS ORDER DATED 30/11/2021 DIRECTED TO A) REFUND THE MONEY RECEIVED FROM CLIENTS/INVESTORS/COMPLAINTS, AS FEES OR CONSIDERATION OR IN ANY OTHER FORM, IN RESPECT OF UNREGISTERED INVESTMENT ADVISORY ACTIVITIES WITHIN THREE MONTHS 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 CLIENTS/INVESTORS TO BE EFFECTED ONLY IN CASH 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 E) RESOLVED ALL THE COMPLAINTS PENDING AND FILE REPORT OF SUCH RESOLUTION WITH SEBI WITHIN THIRTY DAYS FROM DATE OF THIS ORDER F) FILE REPORT OF SUCH COMPLETION WITH SEBI DULY CERTIFIED FROM INDEPENDENT CHARTERED ACCOUNTANTS G) DEBARRED FROM ACCESSING SECURITIES MARKET DIRECTLY OR INDIRECTLY AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER FOR SIX MONTHS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS H) RESTRAINED FROM ASSOCIATING WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC, OR ANY INTERMEDIARY REGISTERED WITH SEBI IN ANY CAPACITY FOR SIX MONTHS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS I) NOT TO UNDERTAKE, EITHER DIRECTLY OR INDIRECTLY, INVESTMENT ADVISORY SERVICES OR ANY OTHER ACTIVITY IN THE SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI J) NOT TO DIVERT ANY FUNDS COLLECTED FROM INVESTORS, KEPT IN BANK ACCOUNTS AND/OR IN THEIR CUSTODY, EXCEPT FOR THE PURPOSE OF REFUND K) NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, WHETHER MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OF CREATE ON ANY OF SUCH ASSETS HELD THEIR NAME, INCLUDING MONEY LYING IN BANK ACCOUNTS EXCEPT FOR PURPOSE OF REFUND
SEBI VIDE ITS NOTICE DATED 20/09/2023 DIRECTED TO PAY RS.1,54,56,940.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 11/12/2023 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS 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 28/03/2025 DIRECTED SEBI TO FILE REPLY WITHIN FOUR WEEKS ON MERITS AND DELAY AND REJOINDER TO BE FILED WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 11/06/2025 CONDONED THE DELAY IN FILING OF APPEAL AND GRANTED APPELLANT TWO WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 16/09/2025 DISMISSED THE APPEAL. NO COSTS
SEBI VIDE ITS NOTICE DATED 19/12/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.1,87,24,049.45 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTG
SAT: SAT VIDE ITS ORDER DATED 24/08/2026 DIRECTED SEBI TO EXAMINE MATTER AND DIRECTED APPELLANT TO CO-OPERATE WITH SEBI. SEBI TO SUBMIT REPORT BEFORE TRIBUNAL WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
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| 320 |
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KRISHNAMURTHY G.,M/S
(PAN:BSFPK6683P)
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KRISHNAMURTHY G.
PAN:BSFPK6683P
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ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
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CEASED & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS AN INVESTMENT ADVISOR, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 11-MAR-2024 TO 10-SEP-2024
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 11-MAR-2024 TO 10-SEP-2024
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 TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO THOSE SCHEMES / ACTIVITIES (INVESTMENT ADVISER AND ALTERNATIVE INVESTMENT FUND, AND/OR RESEARCH ANALYST) OR ANY UNREGISTERED ACTIVITIES FROM 11-MAR-2024 TO 10-SEP-2024
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-MAR-2024 TO 10-SEP-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-MAR-2024 TO 10-SEP-2024
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, 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 BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS AND CREDITS FROM ACCOUNT WITHOUT PERMISSION OF SEBI FROM 11-MAR-2024 TO 10-SEP-2024
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED TO REFUND MONEY RECEIVED FROM CLIENTS/INVESTORS/COMPLAINANT AS FEES OR CONSIDERATION OR IN ANY OTHER FORM IN RESPECT OF UNREGISTERED INVESTMENT ADVISORY AND/OR RESEARCH ANALYSIS ACTIVITIES
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO DEPOSIT REMAINING BALANCE AMOUNT WITH SEBI TO BE KEPT IN ESCROW ACCOUNT
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 11-MAR-2024 TO 10-SEP-2024
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
RESTRAINED FROM HOLDING ANY POSITION OF DIRECTOR OR KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY OR ANY INTERMEDIARY REGISTERED WITH SEBI AND FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY OR PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM 11-MAR-2024 TO 10-SEP-2024
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
07-SEP-2020
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SEBI VIDE ITS ORDER DATED 12/01/2022 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS EX-PARTE AD INTERIM ORDER DATED 07/09/2020
SEBI VIDE ITS ORDER DATED 11/03/2024 DIRECTED TO A) REFUND THE MONEY RECEIVED FROM COMPLAINT/INVESTORS/CLIENTS, AS FEES/CONSIDERATION IN RESPECT OF UNREGISTERED INVESTMENT ADVISORY ACTIVITIES ALONG WITH INTEREST @12% P.A. WITHIN THREE MONTHS FROM THE DATE OF THIS ORDER B) REPAYMENTS TO COMPLAINT/INVESTORS/CLIENTS TO BE EFFECTED ONLY THROUGH BANK C) REMAINING BALANCE AMOUNT TO BE KEPT IN ESCROW ACCOUNT WITH LIEN IN FAVOUR OF SEBI FOR ONE YEAR FOR DISTRIBUTION TO CLIENTS/INVESTORS WHO WERE AVAILING THE INVESTMENT ADVISORY SERVICES FROM THE NOTICE D) FILE REPORT OF SUCH COMPLETION WITH SEBI DULY CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANTS E) RESTRAINED FROM SELLING OR CREATING THIRD PARTY INTEREST OVER ASSETS, MOVABLE OR IMMOVABLE, INCLUDING SECURITIES EXCEPT FOR THE SOLE PURPOSE OF MAKING THE REFUNDS TO INVESTORS. DIRECTED BANKS ALLOW DEBITS ONLY FOR THE PURPOSE OF MAKING REFUNDS TO COMPLAINANT/INVESTORS/CLIENTS, AVAILING UNREGISTERED INVESTMENT ADVISORY SERVICES FROM THE NOTICE F) RESTRAINED FROM ACCESSING SECURITIES MARKET DIRECTLY OR INDIRECTLY AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY OR ASSOCIATING WITH ANY COMPANY WHOSE SECURITIES ARE LISTED ON RECOGNIZED STOCK EXCHANGE AND ANY COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI PERIOD OF RESTRAINT TO CONTINUE TILL COMPLETION OF SIX MONTHS FROM DATE OF COMPLETION OF REFUNDS G) IMPOSED PENALTY OF RS.1 LAC U/S15HB READ WITH SECTION 15EB OF THE SEBI ACT TO BE PAID WITHIN 45 DAYS FROM DATE OF RECEIPT OF THIS ORDER
SEBI VIDE ITS NOTICE DATED 11/07/2025 DIRECTED TO PAY RS.12,48,934.73 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 11/07/2025 DIRECTED TO PAY RS.1,18,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 28/07/2025 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS 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 NOTICE DATED 29/08/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.12,60,636.54 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTG
SEBI VIDE ITS NOTICE DATED 29/08/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.1,19,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTG
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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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