| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 481 |
|
THAKAR S.MAHESH
|
|
|
|
MOTOROL ENTERPRISES LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-DEC-2010 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-DEC-2010 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
15-DEC-2010
|
SEBI VIDE ITS ORDER DATED 17/12/2013 REVOKED ITS DIRECTIONS ISSUED VIDE ITS ORDER DATED 15/12/2010
|
| 482 |
|
|
TULSIDAS B.GOYAL
|
|
|
|
ENKAY TEXOFOOD INDUSTRIES LTD.
PAN:AAACE0833A
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
IMPOSED PENALTY RS.10,00,000
23-JUN-2004
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 483 |
|
|
TULSIDAS B.GOYAL
|
|
|
|
ENKAY TEXOFOOD INDUSTRIES LTD.
PAN:AAACE0833A
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-OCT-2003 TO 09-OCT-2008
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-OCT-2003 TO 09-OCT-2008
10-OCT-2003
|
SAT: APPEAL FAILED AND DISMISSED
|
| 484 |
|
|
TUSHAR A.MAJUMDAR
|
|
|
|
MANNA GLASS-TECH INDUSTRIES LTD.
|
|
DID NOT TRANSFER SHARE CERTIFICATES WITHIN STIPULATED TIME
DID NOT REDRESS INVESTOR COMPLAINTS
|
LAUNCHED CRIMINAL PROSECUTION
03-APR-2001
|
|
| 485 |
|
|
UJWALA DINESH RANE
(PAN:ABPPR0484F)
|
|
|
|
RANE COMPUTERS CONSULTANCY LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-DEC-2010 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-DEC-2010 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
13-DEC-2010
|
|
| 486 |
|
|
URMILA GUPTA
(PAN:AAEPG9149A)
(Along with : SAMIR GUPTA,
BINAY CHANDRA MANDAL)
|
|
|
|
CINEMA CAPITAL CONTRIBUTORY CO.PVT.LTD.
PAN:AAECC3609A
|
|
DID NOT WIND UP SCHEME AND DISTRIBUTE PROCEEDS ACCRUING TO INVESTORS EVEN AFTER THE EXPIRY OF TENURE
DID NOT DISCLOSE INVESTMENT OBJECTIVE AND DID NOT ADHERE TO INVESTMENT RECTRICTIONS
EXTENDED LOANS AND ADVANCES TO INVESTEE COMPANIES AND ITS DIRECTORS AT NO INTEREST COST
EXTENDED LOANS AND ADVANCE TO TRUSTEE AND STAFF AT NO INTEREST COST
CHARGED EXCESS FEE FROM INVESTORS
DID NOT FILE QUARTERLY REPORTS TO SEBI
DID NOT REDRESS INVESTOR COMPLAINTS
MISMANAGEMENT OF INVESTOR’S FUNDS
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-APR-2025
|
SAT: SAT VIDE ITS ORDER DATED 09/06/2025 GRANTED THREE WEEKS TO FILE REPLY AND ONE WEEK TO FILE REJOINDER, IF ANY. STAYED DIRECTIONS AT PARAGRAPH 104.1 AND 104.6 SUBJECT TO DEPOSIT 50% PENALTY WITH RESPONDENT WITHIN THREE WEEKS FROM DATE OF THIS ORDER. SEBI CLARIFIED TO THE DEPOSITORIES THAT INDIVIDUAL ACCOUNTS OF NOTICEE NOS.5 AND 7 NEED NOT BE FROZEN
|
| 487 |
|
|
URMILA GUPTA
(PAN:AAEPG9149A)
|
|
|
DID NOT WIND UP SCHEME AND DISTRIBUTE PROCEEDS ACCRUING TO INVESTORS EVEN AFTER THE EXPIRY OF TENURE
DID NOT DISCLOSE INVESTMENT OBJECTIVE AND DID NOT ADHERE TO INVESTMENT RECTRICTIONS
EXTENDED LOANS AND ADVANCES TO INVESTEE COMPANIES AND ITS DIRECTORS AT NO INTEREST COST
EXTENDED LOANS AND ADVANCE TO TRUSTEE AND STAFF AT NO INTEREST COST
CHARGED EXCESS FEE FROM INVESTORS
DID NOT FILE QUARTERLY REPORTS TO SEBI
DID NOT REDRESS INVESTOR COMPLAINTS
MISMANAGEMENT OF INVESTOR’S FUNDS
|
DIRECTED TO DISGORGE RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
30-APR-2025
|
SAT: SAT VIDE ITS ORDER DATED 09/06/2025 GRANTED THREE WEEKS TO FILE REPLY AND ONE WEEK TO FILE REJOINDER, IF ANY. STAYED DIRECTIONS AT PARAGRAPH 104.1 AND 104.6 SUBJECT TO DEPOSIT 50% PENALTY WITH RESPONDENT WITHIN THREE WEEKS FROM DATE OF THIS ORDER. SEBI CLARIFIED TO THE DEPOSITORIES THAT INDIVIDUAL ACCOUNTS OF NOTICEE NOS.5 AND 7 NEED NOT BE FROZEN
|
| 488 |
|
|
URMILA GUPTA
(PAN:AAEPG9149A)
|
|
|
|
CINEMA CAPITAL CONTRIBUTORY CO.PVT.LTD.
PAN:AAECC3609A
|
|
DID NOT WIND UP SCHEME AND DISTRIBUTE PROCEEDS ACCRUING TO INVESTORS EVEN AFTER THE EXPIRY OF TENURE
DID NOT DISCLOSE INVESTMENT OBJECTIVE AND DID NOT ADHERE TO INVESTMENT RECTRICTIONS
EXTENDED LOANS AND ADVANCES TO INVESTEE COMPANIES AND ITS DIRECTORS AT NO INTEREST COST
EXTENDED LOANS AND ADVANCE TO TRUSTEE AND STAFF AT NO INTEREST COST
CHARGED EXCESS FEE FROM INVESTORS
DID NOT FILE QUARTERLY REPORTS TO SEBI
DID NOT REDRESS INVESTOR COMPLAINTS
MISMANAGEMENT OF INVESTOR’S FUNDS
|
DIRECTED TO FILE COMPLETE DETAILS OF SCHEME ALONGWITH DETAILS OF BANK ACCOUNTS PERTAINING TO THE SCHEME AND NOTICES, AMOUNT OF BALANCE AVAILABLE IN THOSE ACCOUNTS AND DETAILS OF ALL THE MOVABLE AND IMMOVABLE ASSETS PERTAINING TO THE SCHEME AND NOTICEE
DIRECTED TO ENSURE THAT THE SCHEME OF FUND WOUND UP BY PROVIDING EXIT TO ITS INVESTORS/UNIT HOLDERS
DIRECTED TO OBTAIN TWO SEPARATE VALUATIONS OF ALL REMAINING ASSETS OF SCHEME OF FUND FROM TWO INDEPENDENT AND/OR REGISTERED VALUERS
DIRECTED TO DETERMINE NAV OF THE SCHEME OF THE FUND BASED ON VALUATION REPORTS BY ADOPTING HIGHER OF VALUATION ARRIVED AT IN TWO VALUATION REPORTS
DIRECTED TO PROVIDE EXIT TO INVESTORS/UNIT HOLDERS FIRST BY OFFERING OPTION TO EXISTING INVESTORS/UNIT HOLDERS TO TAKE EXIT BY WAY OF IN SPECIE DISTRIBUTION OF INTEREST/RIGHTS/STAKES/SHARES, ETC. IN INVESTEE COMPANIES/PROJECTS
DIRECTED INVESTORS/UNIT HOLDERS WHO DO NOT EXERCISE THEIR OPTION FOR IN SPECIE DISTRIBUTION, TO BE GIVEN EXIT ON BASIS OF NAV DETERMINED AS PER DIRECTIONS
DIRECTED TO COMPLETE ENTIRE PROCESS OF WINDING UP OF SCHEME OF FUND AND PROVIDING EXIT TO INVESTORS/UNIT HOLDERS
DIRECTED TO FILE REPORT CERTIFIED BY CHARTERED ACCOUNTANT DECLARING THAT ALL THE INVESTORS OF SCHEME HAVE BEEN PROVIDED EXIT AND SCHEME OF FUND STANDS WOUND UP AND REPORT TO BE FILED WITHIN THREE WEEKS AFTER COMPLETION OF THE EXIT AND REPAYMENT TO INVESTORS/UNIT HOLDERS OF SCHEME
RESTRAINED FROM ASSOCIATING DIRECTLY OR INDIRECTLY, WITH ANY REGISTERED INTERMEDIARIES INCLUDING SEBI REGISTERED FUNDS SUCH AS MUTUAL FUNDS, ALTERNATIVE INVESTMENT FUNDS, PORTFOLIO MANAGEMENT SERVICES ETC. WHICH DEAL WITH INVESTOR’S MONEY IN ANY MANNER FROM 30-APR-2025 TO 29-APR-2028
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-APR-2025
|
SAT: SAT VIDE ITS ORDER DATED 09/06/2025 GRANTED THREE WEEKS TO FILE REPLY AND ONE WEEK TO FILE REJOINDER, IF ANY. STAYED DIRECTIONS AT PARAGRAPH 104.1 AND 104.6 SUBJECT TO DEPOSIT 50% PENALTY WITH RESPONDENT WITHIN THREE WEEKS FROM DATE OF THIS ORDER. SEBI CLARIFIED TO THE DEPOSITORIES THAT INDIVIDUAL ACCOUNTS OF NOTICEE NOS.5 AND 7 NEED NOT BE FROZEN
|
| 489 |
|
|
V.C.RAI
|
|
|
|
INFORMATION TECHNOLOGIES (INDIA) LTD.
CIN:U65910UP1994PLC017049
PAN:AAACI1891E
|
|
DID NOT REDRESS INVESTOR GRIEVANCES DESPITE BEING DIRECTED BY SEBI
|
IMPOSED PENALTY RS.1,00,00,000
06-MAY-2005
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 490 |
|
|
V.RAMAKRISHNA
|
|
|
|
PENTAFOUR PRODUCTS LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
IMPOSED PENALTY RS.25,00,000
07-JUL-2003
|
INCLUDED IN SEBI LIST DATED 31/03/2011, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 491 |
|
|
V.S.RATHORE
|
|
|
|
NEON RESINS & INDUSTRIES LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-DEC-2010 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-DEC-2010 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
08-DEC-2010
|
|
| 492 |
|
|
V.SHANKAR
|
|
|
|
MAHADEV AGRO INDUSTRIES LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
LAUNCHED CRIMINAL PROSECUTION
06-APR-1998
|
|
| 493 |
|
|
VAISHNAV TRIBHUVAN NAYANKUMAR
|
|
|
|
BHUVAN TRIPURA INDUSTRIES LTD.
CIN:L91110GJ1993PLC020268
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-DEC-2010 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-DEC-2010 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
08-DEC-2010
|
|
| 494 |
|
|
VANDANA SINHA
(PAN:ASUPS6193E)
(Along with : SANJEEV KUMAR SINHA,
AMITA SINHA)
|
|
|
|
AADYA COMMODITIES PVT.LTD.
PAN:AAHCA2094C
|
|
|
AMRAPALI AADYA TRADING & INVESTMENT PVT.LTD.
PAN:AAECA3909P
|
|
DID NOT SUBMIT INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
MISUSED PLEDGING OF CLIENT’S SECURITIES
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
DID NOT REDRESS INVESTOR COMPLAINTS
FALSIFIED TRIAL BALANCE, BANK BOOKS AND CONCEALED THE INFORMATION RELATED TO PLEDGING OF SECURITIES, CASH WITHDRAWAL AND FUND MOVEMENT RELATED TO ENTITIES VIOLATING SECTIONS 12(A) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2) (P) OF SEBI (PFUTP) REGULATIONS, 2003
|
IMPOSED PENALTY RS.25,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-APR-2022
|
SAT: SAT VIDE ITS ORDER DATED 12/10/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 17/11/2022 ALLOWED THREE WEEKS TO FILE REPLY
SAT: SAT VIDE ITS ORDER DATED 06/01/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 09/02/2023 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 23/03/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 01/05/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANTS FURTHER THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 16/08/2023 DIRECTED TO PAY RS.29,25,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 16/10/2023 CONDONED THE DELAY IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 13/12/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED THE EXEMPTION APPLICATION
SEBI VIDE ITS ORDER DATED 28/02/2024 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 04/04/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.31,25,01,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 495 |
|
|
VASU PUSHPAN
|
|
|
|
D.R.SOFTECH & INDUSTRIES LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-DEC-2010 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-DEC-2010 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
13-DEC-2010
|
|
| 496 |
|
|
VEERENDRA KUMAR GUPTA
(PAN:BEDPG9199C)
|
|
|
|
NIVESHICON INVESTMENT ADVISORY
PAN:BEDPG9199C
|
|
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES IN STIPULATED TIME
|
SUSPENDED REGISTRATION AS INVESTMENT ADVISER FROM 28-FEB-2023
28-FEB-2023
|
SAT: SAT VIDE ITS ORDER DATED 16/06/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 497 |
|
|
VEERENDRA KUMAR GUPTA
(PAN:BEDPG9199C)
|
|
|
|
NIVESHICON INVESTMENT ADVISORY
PAN:BEDPG9199C
|
|
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
DID NOT DISPLAY COMPLAINTS STATUS ON WEBSITE
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
DID NOT FAIR AND TRANSPARENT IN DEALING WITH CLIENTS REGARDING FEE CHARGED
SOLD ADVISORY SERVICES/PRODUCTS TO CLIENTS HAVING DIFFERENT NAMES BUT SAME FEATURE
RECEIVED PAYMENT BEFORE DOING KNOW YOUR CLIENTS (KYC) AND RISK PROFILING OF CLIENTS
NOT A FIT & PROPER PERSON TO ACT AS AN INVESTMENT ADVISOR
|
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY AS INVESTMENT ADVISORY SERVICES OR ANY ACTIVITY IN SECURITIES MARKET FROM DATE OF ORDER FROM 31-JAN-2023 TO 30-JUL-2023
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JAN-2023 TO 30-JUL-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JAN-2023 TO 30-JUL-2023
RESTRAINED AND FURTHER PROHIBITED FROM HOLDING AND OCCUPYING ANY MANAGERIAL POST OR BEING ASSOCIATED DIRECTLY OR INDIRECTLY WITH ANY LISTED PUBLIC COMPANY AND/OR ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM 31-JAN-2023 TO 30-JUL-2023
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JAN-2023
|
|
| 498 |
|
|
VICKY KAMARIYA
(PAN:AWDPK4671L)
|
|
|
|
MONEY MARKET MANTHAN FINANCIAL SERVICES
PAN:AWDPK4671L
|
|
DID NOT PROVIDE INFORMATION TO SEBI
DIVULGED SENSITIVE/CONFIDENTIAL CLIENT INFORMATION TO THIRD PARTY
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
SOLD ADVISORY SERVICES/PRODUCTS TO CLIENTS HAVING DIFFERENT NAMES BUT SAME FEATURE
DID NOT HAVE REQUISITE NISM CERTIFICATES AT ALL TIMES TO PROVIDE INVESTMENT ADVICE
DID NOT MAINTAIN RECORDS OF COMMUNICATION WITH CLIENTS DURING RISK PROFILING AND SUITABILITY ASSESSMENT OF ADVICE/SELECTION OF ADVISORY PRODUCT/SERVICES
SOLD MULTIPLE PRODUCTS AND CHARGED UNREASONABLE FEES AND/OR SERVICE CHARGE
DID NOT MAKE DISCLOSURE TO CLIENTS OF ALL MATERIAL FACTS/INFORMATION ABOUT BUSINESS, DISCIPLINARY HISTORY, AFFILIATION WITH OTHER INTERMEDIARIES
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES IN STIPULATED TIME
DID NOT APPOINT PRINCIPAL OFFICER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 14-JUL-2023
14-JUL-2023
|
|
| 499 |
|
|
VICKY KAMARIYA
(PAN:AWDPK4671L)
|
|
|
|
MONEY MARKET MANTHAN FINANCIAL SERVICES
PAN:AWDPK4671L
|
|
DID NOT PROVIDE INFORMATION TO SEBI
OFFERED PRODUCTS/SERVICES WITHOUT ASSESSING APPROPRIATE RISK BEARING CAPACITY OF THE CLIENTS
SOLD ADVISORY SERVICES/PRODUCTS TO CLIENTS WITHOUT ENSURING SUITABILITY OF ADVICE ACCORDING TO THEIR RISK PROFILE
SOLD ADVISORY SERVICES PRIOR TO COMMUNICATION OF RISK PROFILE
SOLD MULTIPLE SUBSCRIPTIONS OF DERIVATIVES PRODUCTS/SERVICES TO CLIENTS WITH NO EXPERIENCE OF SUCH FINANCIAL PRODUCTS
CHARGED UNREASONABLE, ARBITRARILY AND INCONSISTENT FEE
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
PROVIDED INVESTMENT ADVICE WITHOUT CONSENT OF THE CLIENTS
USED FAKE NAMES IN DEALING WITH CLIENTS
CHARGED EXTRA MONEY FROM CLIENTS/INVESTORS
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
DID NOT APPOINT PRINCIPAL OFFICER
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-JUN-2023 TO 27-JUN-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUN-2023 TO 27-JUN-2026
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
DIRECTED TO FURNISH REPORT TO SEBI DULY CERTIFIED BY CHARTERED ACCOUNTANT RESOLVED ALL COMPLAINTS
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
IMPOSED PENALTY RS.8,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-JUN-2023
|
SEBI VIDE ITS NOTICE DATED 19/03/2025 DIRECTED TO PAY RS.9,77,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 21/04/2025 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 25/04/2025 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 21/04/2025
SEBI VIDE ITS ORDER DATED 25/04/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.8683 OF 2025 DATED 19/03/2025
|
| 500 |
|
|
VIDHYADHAR HIRACHAND UPADHYE
|
|
|
|
SHREE POMANI METALS & ALLOYS LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-JUL-2015 TILL RESOLVES ALL PENDING INVESTOR GRIEVANCES
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-JUL-2015 TILL RESOLVES ALL PENDING INVESTOR GRIEVANCES
17-JUL-2015
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 25 of 27
|
