| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 441 |
|
STAR WORLD RESEARCH
(PAN:BBEPG7803F)
|
|
|
SOLD PRODUCTS TO CLIENTS WHICH WERE NOT SUITABLE TO RISK PROFILE OF THE CLIENTS
CHARGED UNREASONABLE, ARBITRARILY AND INCONSISTENT FEE
CARRIED OUT IMPROPER RISK PROFILING OF CLIENTS
SOLD MULTIPLE PRODUCTS AND CHARGED UNREASONABLE FEES AND/OR SERVICE CHARGE
RECEIVED FEES THROUGH PAYTM WALLET
CHARGED GST AMOUNTS EVEN AFTER CANCELLATION OF GOODS AND SERVICES TAX NETWORK (GSTN)
DID NOT REDRESS INVESTOR COMPLAINTS
|
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY AS INVESTMENT ADVISORY SERVICES OR ANY ACTIVITY IN SECURITIES MARKET FROM DATE OF ORDER FROM 27-FEB-2023 TO 26-AUG-2023
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-FEB-2023 TO 26-AUG-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-FEB-2023 TO 26-AUG-2023
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 27-FEB-2023 TO 26-AUG-2023
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
IMPOSED PENALTY RS.6,00,000
27-FEB-2023
|
|
| 442 |
|
|
STARBURST RESEARCH
|
|
|
|
MUSTKIM
PAN:AXJPM6692G
|
|
|
SARFRAJ ALI
PAN:AULPA2242F
|
|
ACTED AS INVESTMENT ADVISER 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 INVESTMENT ADVISORY 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 11-DEC-2023 TO 10-DEC-2025
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 11-DEC-2023 TO 10-DEC-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-DEC-2023 TO 10-DEC-2025
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 11-DEC-2023 TO 10-DEC-2025
IMPOSED PENALTY RS.55,00,000 ALONG WITH OTHER ENTITIES/PERSONS
11-DEC-2023
|
|
| 443 |
|
|
STOCK FAYDA
(PAN:AFYPA4863L)
|
|
|
|
MOHAN LAL AGRAWAL
PAN:AFYPA4863L
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
DIRECTED TO RETURN MONEY TO ITS CLIENTS RECEIVED AS FEES OR IN ANY OTHER FORM IN RESPECT OF UNREGISTERED INVESTMENT ADVISORY SERVICES
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO CEASE & 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 29-AUG-2019
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-AUG-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-AUG-2019
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
29-AUG-2019
|
SAT: SAT VIDE ITS ORDER DATED 19/07/2023 CONDONED THE DELAY OF 1352 DAYS IN FILING OF APPEAL AND RESPONDENT TO FILE REPLY WITHIN A WEEK
SAT: SAT VIDE ITS ORDER DATED 09/08/2023 CONDONED THE DELAY OF 1352 DAYS IN FILING OF APPEAL AND CONDONED THE DELAY IN PAYMENT OF COST OF RS.2 LAC
SAT: SAT VIDE ITS ORDER DATED 12/09/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEK AND APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS THEREAFTER
|
| 444 |
|
|
STOCK INDICATION
(PAN:ACVFS0354G)
|
|
|
|
MOHD.TANVEER AHMED
PAN:BAWPA2321M
|
|
|
SUNNY GUPTA
PAN:BKJPG7330K
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
DIRECTED TO CEASE & 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 05-FEB-2021 TO 04-FEB-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-FEB-2021 TO 04-FEB-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 05-FEB-2021 TO 04-FEB-2024
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 05-FEB-2021 TO 04-FEB-2024
DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS WITHOUT PERMISSION OF SEBI
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 05-FEB-2021 TO 04-FEB-2024
DIRECTED TO SUBMIT REPAYMENT REPORT TO SEBI CERTIFIED BY TWO INDEPENDENT CHARTERED ACCOUNTANTS WHO ARE IN PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-FEB-2021 TO 04-FEB-2024
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
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 05-FEB-2021 TO 04-FEB-2024
28-NOV-2018
|
|
| 445 |
|
|
STOCK INDICATION
(PAN:ACVFS0354G)
|
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
DIRECTED TO CEASE & 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 28-NOV-2018 UNTIL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-NOV-2018 UNTIL 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 28-NOV-2018 UNTIL FURTHER ORDERS
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 28-NOV-2018 UNTIL FURTHER ORDERS
DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS WITHOUT PERMISSION OF SEBI
28-NOV-2018
|
|
| 446 |
|
|
STOCK MARKET NAVIGATOR (SMN)
(PAN:ANBPS5743A)
|
|
|
|
ANIRUDH P.SETHI
PAN:ANBPS5743A
|
|
ACTED AS RESEARCH ANALYST WITHOUT SEBI REGISTRATION
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
DIRECTED TO CEASE & 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 26-MAY-2016 UNTIL 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 26-MAY-2016 UNTIL FURTHER ORDERS
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 26-MAY-2016 UNTIL FURTHER ORDERS
DIRECTED TO SUBMIT NAME, ADDRESSES AND CONTACT NUMBERS OF INVESTORS WHO HAVE BEEN DEPOSITED MONEY IN HIS ACCOUNT
DIRECTED TO SUBMIT FULL DETAILS REGARDING SCHEME "FATAL ALTTRACTION" INCLUDING NAME, ADDRESS AND CONTACT NUMBERS OF INVETOR WHO HAVE BEEN SUBSCRIBED TO SCHEME
DIRECTED TO SUBMIT DETAILS OF AMOUNT COLLECTED (YEAR WISE) FROM INVESTORS TILL DATED
26-MAY-2016
|
SAT: SAT VIDE ITS ORDER DATED 29/07/2021 PARTLY ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER DATED 26/05/2016. IN THE MEANTIME, DIRECTED APPELLANT TO CREDIT RS.12 LAC TO SAID FUND WITHIN TWO MONTHS FROM DATE OF THIS ORDER. FURTHER, DIRECTED TO DEPOSIT RS.20 LAC WITH SEBI WITHIN TWO MONTHS FROM DATE OF THIS ORDER
SEBI VIDE ITS ORDER DATED 07/12/2021 DISPOSED OFF THE APPLICATION WITH DIRECTION TO REFUND EXCESS AMOUNT OF RS.20.48 LAC TO APPLICANT
|
| 447 |
|
|
STOCK TAJ
(PAN:AFYPA4863L)
|
|
|
|
MOHAN LAL AGRAWAL
PAN:AFYPA4863L
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
DIRECTED TO RETURN MONEY TO ITS CLIENTS RECEIVED AS FEES OR IN ANY OTHER FORM IN RESPECT OF UNREGISTERED INVESTMENT ADVISORY SERVICES
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO CEASE & 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 29-AUG-2019
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-AUG-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-AUG-2019
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
29-AUG-2019
|
SAT: SAT VIDE ITS ORDER DATED 19/07/2023 CONDONED THE DELAY OF 1352 DAYS IN FILING OF APPEAL AND RESPONDENT TO FILE REPLY WITHIN A WEEK
SAT: SAT VIDE ITS ORDER DATED 09/08/2023 CONDONED THE DELAY OF 1352 DAYS IN FILING OF APPEAL AND CONDONED THE DELAY IN PAYMENT OF COST OF RS.2 LAC
SAT: SAT VIDE ITS ORDER DATED 12/09/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEK AND APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS THEREAFTER
|
| 448 |
|
|
STOCK TAURUS PVT.LTD.
(PAN:ABACS9613D)
|
|
|
|
AVINASH M.
PAN:AYBPA3165B
|
|
|
BANAVASE KALEGOWDA SAGAR
PAN:EZXPS6330B
|
|
|
BHANU PRIYA RAVULA GOVINDAN
PAN:BTLPG7851C
|
|
|
MOHAMMED ABUBAKAR
PAN:BIRPA6081R
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
|
DIRECTED TO REFUND MONEY RECEIVED FROM CLIENTS/INVESTORS/COMPLAINANT AS FEES OR CONSIDERATION OR IN ANY OTHER FORM IN RESPECT OF UNREGISTERED INVESTMENT ADVISORY 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-SEP-2024 TO 29-SEP-2026
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 30-SEP-2024 TO 29-SEP-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-SEP-2024 TO 29-SEP-2026
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-SEP-2024 TO 29-SEP-2026
IMPOSED PENALTY RS.6,00,000
30-SEP-2024
|
|
| 449 |
|
|
STOCKEY INVESTMENT ADVISORS
(PAN:EHVPS8595A)
|
|
|
|
VAIBHAV SHARMA
PAN:EHVPS8595A
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 25-APR-2025
25-APR-2025
|
|
| 450 |
|
|
STREETGAINS RESEARCH SERVICES
(PAN:BPDPS6595F)
|
|
|
|
KUMAR VENKATARAMEGOWDA SANTHOSH
PAN:BPDPS6595F
|
|
MISLED CLIENTS BY MAKING ASSURED PROFIT COMMITMENT
DID NOT EXERCISE DUE DILIGENCE BY NOT EXERCISING ANY CONTROL OVER EMPLOYEES ENGAGED WITH CLIENTS
DID NOT MAINTAIN DIGITALLY SIGNED RESEARCH REPORT IN ELECTRONIC FORM
ADVERTISED PAST PERFORMANCE IN RESPECT OF RESEARCH CALL ON SOCIAL MEDIA
SOLD PRODUCTS TO CLIENTS WHICH WERE NOT SUITABLE TO RISK PROFILE OF THE CLIENTS
|
IMPOSED PENALTY RS.8,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JUL-2025
|
|
| 451 |
|
|
STRIKER STOCK RESEARCH
(PAN:AJSPV4217F)
|
|
|
|
MUKESH VISHVAKARMA
PAN:AJSPV4217F
|
|
SOLD HIGH-RISK PRODUCT/SERVICE TO CLIENT WITH MODERATE/LOW RISK APPETITE
CHARGED UNREASONABLE, ARBITRARILY AND INCONSISTENT FEE
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
PROVIDED WRONG INFORMATION AND/OR MISREPRESENTED TO CLIENTS
THREATENED COMPLAINANTS TO WITHDRAW THE COMPLAINT ON SCORES FALLING WHICH SERVICES WILL NOT BE PROVIDED
|
SUSPENDED REGISTRATION AS INVESTMENT ADVISER FROM 23-FEB-2023 TO 22-FEB-2025
23-FEB-2023
|
|
| 452 |
|
|
STRIKER STOCK RESEARCH
(PAN:AJSPV4217F)
|
|
|
|
MUKESH VISHVAKARMA
PAN:AJSPV4217F
|
|
SOLD HIGH-RISK PRODUCT/SERVICE TO CLIENT WITH MODERATE/LOW RISK APPETITE
CHARGED UNREASONABLE, ARBITRARILY AND INCONSISTENT FEE
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
HANDLED CLIENTS DEMAT ACCOUNT
RECEIVED FEES FROM CLIENTS BEFORE STARTING OF SERVICES
DID NOT REDRESS INVESTOR COMPLAINTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 21-FEB-2023 TO 20-FEB-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-FEB-2023 TO 20-FEB-2025
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 21-FEB-2023 TO 20-FEB-2025
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
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
IMPOSED PENALTY RS.19,00,000 ALONG WITH OTHER ENTITIES/PERSONS
21-FEB-2023
|
|
| 453 |
|
|
SUBHAM TRADERS
(PAN:AYWPK4371N)
|
|
|
|
ASHISH KUMAR
PAN:AYWPK4371N
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
MISREPRESENTED TO BE SEBI REGISTERED INVESTMENT ADVISER AND PROMISED GUARANTEED RETURNS
|
DIRECTED TO REFUND MONEY RECEIVED FROM CLIENTS/INVESTORS/COMPLAINANT AS FEES OR CONSIDERATION OR IN ANY OTHER FORM IN RESPECT OF UNREGISTERED INVESTMENT ADVISORY ACTIVITIES
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 29-DEC-2023 TO 28-DEC-2025
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 29-DEC-2023 TO 28-DEC-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-DEC-2023 TO 28-DEC-2025
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 29-DEC-2023 TO 28-DEC-2025
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-DEC-2023
|
|
| 454 |
|
|
SUBLIME FINANCIAL ADVISORY
(PAN:AMMPT8645E)
|
|
|
|
RAHUL TAYAL
PAN:AMMPT8645E
|
|
ACTED AS INVESTMENT ADVISER 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
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 01-JUL-2022 TO 31-DEC-2022
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-JUL-2022 TO 31-DEC-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-JUL-2022 TO 31-DEC-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 01-JUL-2022 TO 31-DEC-2022
01-JUL-2022
|
|
| 455 |
|
|
SUCCINCT FINTECH SERVICES PVT.LTD.
(PAN:AAQCS0920E)
|
|
|
|
BHUVANESHWAR PRASAD
PAN:AMRPB5878N
|
|
|
SOUBHAGYA KUMAR PATRA
PAN:ARLPP4815G
|
|
INDULGED IN PROVIDING INVESTMENT ADVISORY SERVICES TO ITS CLIENTS WITHOUT OBTAINING SEBI REGISTRATION VIOLATING SECTION 12(1) OF SEBI ACT, 1992 READ WITH REGULATION 3(1) OF SEBI (INVESTMENT ADVISORS) REGULATIONS, 2013 IN MATTER OF SUCCINCT FINTECH SERVICES PVT.LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-AUG-2019
|
SAT: SAT VIDE ITS ORDER DATED 13/01/2021 DISMISSED THE APPEAL FOR WANT OF PROSECUTION
SAT: SAT VIDE ITS ORDER DATED 15/04/2021 DISMISSED THE APPEAL
|
| 456 |
|
|
SUPREME INVESTRADE & RESEARCH SERVICES
(PAN:CLZPS0733E)
|
|
|
|
ABHISHEK KUMAR SINGH
PAN:CLZPS0733E
|
|
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-DEC-2024
|
|
| 457 |
|
|
SUPREME INVESTRADE & RESEARCH SERVICES
(PAN:CLZPS0733E)
|
|
|
|
ABHISHEK KUMAR SINGH
PAN:CLZPS0733E
|
|
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
INDULGED IN MIS-SELLING OF SERVICES BY MAKING FALSE AND MISLEADING STATEMENTS OF ASSURED RETURNS AND SOLICITED SHARE FROM THE PROFIT MADE BY THE CLIENTS TOWARDS FEE FOR RESEARCH SERVICES
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
15-DEC-2025
|
|
| 458 |
|
|
SURE ANALYSIS GAIN SERVICES
|
|
|
|
NALIN GUPTA
|
|
|
PRACHI GUPTA
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
25-FEB-2019
|
|
| 459 |
|
|
SURE SHOT
(PAN:AYUPR7527H)
|
|
|
|
KARTHIKAYINI
PAN:BORPK9951G
|
|
|
L.REXWIN
PAN:AYUPR7527H
|
|
|
VINOTHKUMAR B.
PAN:BFIPV5112G
|
|
ACTED AS INVESTMENT ADVISER 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 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 17-NOV-2022 TO 16-NOV-2023
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-NOV-2022 TO 16-NOV-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-NOV-2022 TO 16-NOV-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 17-NOV-2022 TO 16-NOV-2023
17-NOV-2022
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SEBI VIDE ITS NOTICE DATED 23/07/2025 DIRECTED TO PAY RS.60,07,892.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
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SURIYANAR MEDIA SOLUTIONS PVT.LTD.
(PAN:AAPCS0792P)
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HEMA KRISHNAMOORTHY
PAN:ADRPH9651A
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L.KRISHNAMURTHY
PAN:AJFPK0907L
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ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
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IMPOSED PENALTY RS.3,00,000 ALONG WITH OTHER ENTITIES/PERSONS
02-MAY-2022
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SEBI VIDE ITS NOTICE DATED 20/10/2022 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 ORDER DATED 10/11/2022 DIRECTED ALL THE BANKS TO REMIT RS.3,22,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF SURIYANAR MEDIA SOLUTIONS PVT.LTD., MR.L.KRISHNAMURTHY & MS.HEMA KRISHNAMOORTHY TO SEBI BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS NOTICE DATED 17/11/2022 ALLOWED THE APPEAL AND 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 20/10/2022
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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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