| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 541 |
|
WARIS FINANCE & INVESTMENT LTD.
|
|
|
|
AZIZ AHMED
DIN:03526225
PAN:AIOPA9561E
|
|
|
IFTEKHAR AHMED
DIN:02437708
PAN:AJMPA3089L
|
|
|
IMTIAZ KHAN WARSI
DIN:05150133
PAN:ABQPW7759R
|
|
|
KALLOL SAHA
|
|
|
MOHAMMAD SHADAB ALI
DIN:05147136
PAN:AKGPA7112H
|
|
|
MS.QURAISHA KHATOON
DIN:02437707
PAN:AKDPK3211E
|
|
|
RUHI GHAZALA WARSI
DIN:03506131
PAN:ABYPW7604D
|
|
|
SHANE AHMED WARSI
DIN:01652477
PAN:AAWPW7456Q
|
|
MOBILIZED RS.5.12 CRORES THROUGH ISSUANCE OF SECURED NON-CONVERTIBLE REDEEMABLE DEBENTURES (NCDS) BY WAY OF PRIVATE PLACEMENT TO MORE THAN 49 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36), 73 AND 117B-C OF THE COMPANIES ACT, 1956 READ WITH THE DEBT SECURITIES REGULATIONS
|
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC AND/OR INVITE SUBSCRIPTION, IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 23-JUN-2015 TO 22-JUN-2019
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 23-JUN-2015 TO 22-JUN-2019
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 23-JUN-2015 TO 22-JUN-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-JUN-2015 TO 22-JUN-2019
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF 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 23-JUN-2015 TO 22-JUN-2019
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
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
23-JUN-2015
|
SEBI VIDE ITS ORDER DATED 21/09/2016 DIRECTED TO A) JOINTLY AND SEVERALLY, REFUND THE MONEY COLLECTED THROUGH ISSUE OF NON-CONVERTIBLE SECURED DEBENTURES (NCDS) WITH INTEREST @ 15% P.A. FROM THE DATE OF RECEIPT OF MONEY TILL DATE OF SUCH REFUND THROUGH BANK DEMAND DRAFT OR PAY ORDER B) TO SUBMIT COMPLETE DETAILS OF ASSETS (ALONGWITH PROOF THEREOF) CERTIFIED BY A PEER REVIEWED CHARTERED ACCOUNTANT C) PERMITTED TO SELL ASSETS OF THE COMPANY ONLY FOR SOLE PURPOSE OF MAKING REFUNDS AND DEPOSIT PROCEEDS IN ESCROW ACCOUNT OPENED WITH A NATIONALISED BANK D) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF ONE ENGLISH NATIONAL DAILY AND ONE VERNACULAR DAILY WITH WIDE CIRCULATION, DETAILING THE MODALITIES FOR REFUND E) FILE CERTIFICATE OF SUCH COMPLETION WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS WHO ARE IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION F) RESTRAINED FROM, DIRECTLY OR INDIRECTLY, ACCESS CAPITAL MARKET BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC AND ARE FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FOR A PERIOD OF FOUR YEARS OR TILL DATE OF REFUND OF MONEY TO ALLOTTEES
|
| 542 |
|
|
WARIS HEALTHCARE LTD.
(PAN:AAACW9315R)
|
|
|
|
AZIZ AHMED
DIN:03526225
PAN:AIOPA9561E
|
|
|
CHHAYA BAHADUR
|
|
|
IFTEKHAR AHMED
DIN:02437708
PAN:AJMPA3089L
|
|
|
IMTIAZ KHAN WARSI
DIN:05150133
PAN:ABQPW7759R
|
|
|
MS.QURAISHA KHATOON
DIN:02437707
PAN:AKDPK3211E
|
|
|
RUHI GHAZALA WARSI
DIN:03506131
PAN:ABYPW7604D
|
|
|
SHANE AHMED WARSI
DIN:01652477
PAN:AAWPW7456Q
|
|
MOBILIZED RS.12.00 LACS THROUGH ISSUANCE OF NON-CONVERTIBLE DEBENTURES (NCDS) BY WAY OF PRIVATE PLACEMENT TO 70 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36), 73 AND 117B-C OF THE COMPANIES ACT, 1956 AND THE DEBT SECURITIES REGULATIONS
|
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC AND/OR INVITE SUBSCRIPTION, IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 07-MAY-2015 TO 06-MAY-2019
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 07-MAY-2015 TO 06-MAY-2019
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 07-MAY-2015 TO 06-MAY-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 07-MAY-2015 TO 06-MAY-2019
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF 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 07-MAY-2015 TO 06-MAY-2019
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
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
07-MAY-2015
|
SEBI VIDE ITS ORDER DATED 21/09/2016 DIRECTED TO A) JOINTLY AND SEVERALLY, REFUND THE MONEY COLLECTED THROUGH ISSUE OF NON-CONVERTIBLE DEBENTURES (NCDS) WITH INTEREST @ 15% P.A. FROM THE DATE OF RECEIPT OF MONEY TILL DATE OF SUCH REFUND THROUGH BANK DEMAND DRAFT OR PAY ORDER B) TO SUBMIT COMPLETE DETAILS OF ASSETS (ALONGWITH PROOF THEREOF) CERTIFIED BY A PEER REVIEWED CHARTERED ACCOUNTANT C) PERMITTED TO SELL ASSETS OF THE COMPANY ONLY FOR SOLE PURPOSE OF MAKING REFUNDS AND DEPOSIT PROCEEDS IN ESCROW ACCOUNT OPENED WITH A NATIONALISED BANK D) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF ONE ENGLISH NATIONAL DAILY AND ONE VERNACULAR DAILY WITH WIDE CIRCULATION, DETAILING THE MODALITIES FOR REFUND E) FILE CERTIFICATE OF SUCH COMPLETION WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS WHO ARE IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION F) RESTRAINED FROM, DIRECTLY OR INDIRECTLY, ACCESS CAPITAL MARKET BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC AND ARE FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FOR A PERIOD OF FOUR YEARS OR TILL DATE OF REFUND OF MONEY TO ALLOTTEES
SEBI VIDE ITS NOTICE DATED 28/07/2021 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1. ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) 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
|
| 543 |
|
|
WASANKAR INVESTMENTS
(PAN:AAIPW1864A)
|
|
|
|
ABHIJEET JAYANT CHAUDHARI
PAN:AIUPC8611M
|
|
|
BHAGYASHREE PRASHANT WASANKAR
PAN:AALPW3274H
|
|
|
MITHILA VINAY WASANKAR
DIN:02772484
PAN:ANFPM0123J
|
|
|
VINAY JAIDEV WASANKAR
PAN:AALPW3215A
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
INDULGED IN FUND BASED ACTIVITIES INVOLVING PERSONAL FINANCIAL LIABILITY VIOLATING RULE 8(3) (F) OF SECURITIES CONTRACTS (REGULATIONS) RULES, 1957
DEALT WITH OTHER STOCK BROKERS FOR PROPRIETARY TRADING WITHOUT OBTAINING PRIOR PERMISSION FROM STOCK EXCHANGES VIOLATING SEBI CIRCULAR NO.SEBI/MIRSD/CIR-06/2004 DATED 13/01/2004
|
DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 21-SEP-2022 TO 20-MAR-2023
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC OR OFFER ANY PORTFOLIO MANAGEMENT SERVICES FROM 21-SEP-2022 TO 20-MAR-2023
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET FROM 21-SEP-2022 TO 20-MAR-2023
DIRECTED TO REFUND ALL THE MONIES TO INVESTORS ALONG WITH INCOME, PROFITS OR RETURNS PROMISED UNDER THE SCHEMES
PROHIBITED FROM TRANSFERRING FUNDS / DEPOSITS MOBILISED FROM THE CLIENTS OR OTHER INVESTORS OR FROM DISPOSING OF OR ALIENATING ANY ASSET THAT HAS BEEN CREATED FROM THE FUNDS/DEPOSITS RECEIVED FROM THEIR CLIENTS OR OTHER INVESTORS
DIRECTED TO 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 21-SEP-2022 TO 20-MAR-2023
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
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 21-SEP-2022 TO 20-MAR-2023
27-AUG-2014
|
|
| 544 |
|
|
WASANKAR WEALTH MANAGEMENT LTD.
(PAN:AAACW8073C)
|
|
|
|
ABHIJEET JAYANT CHAUDHARI
PAN:AIUPC8611M
|
|
|
BHAGYASHREE PRASHANT WASANKAR
PAN:AALPW3274H
|
|
|
MITHILA VINAY WASANKAR
DIN:02772484
PAN:ANFPM0123J
|
|
|
VINAY JAIDEV WASANKAR
PAN:AALPW3215A
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
INDULGED IN FUND BASED ACTIVITIES INVOLVING PERSONAL FINANCIAL LIABILITY VIOLATING RULE 8(3) (F) OF SECURITIES CONTRACTS (REGULATIONS) RULES, 1957
DEALT WITH OTHER STOCK BROKERS FOR PROPRIETARY TRADING WITHOUT OBTAINING PRIOR PERMISSION FROM STOCK EXCHANGES VIOLATING SEBI CIRCULAR NO.SEBI/MIRSD/CIR-06/2004 DATED 13/01/2004
|
DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 21-SEP-2022 TO 20-MAR-2023
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC OR OFFER ANY PORTFOLIO MANAGEMENT SERVICES FROM 21-SEP-2022 TO 20-MAR-2023
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET FROM 21-SEP-2022 TO 20-MAR-2023
DIRECTED TO REFUND ALL THE MONIES TO INVESTORS ALONG WITH INCOME, PROFITS OR RETURNS PROMISED UNDER THE SCHEMES
PROHIBITED FROM TRANSFERRING FUNDS / DEPOSITS MOBILISED FROM THE CLIENTS OR OTHER INVESTORS OR FROM DISPOSING OF OR ALIENATING ANY ASSET THAT HAS BEEN CREATED FROM THE FUNDS/DEPOSITS RECEIVED FROM THEIR CLIENTS OR OTHER INVESTORS
DIRECTED TO 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 21-SEP-2022 TO 20-MAR-2023
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
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 21-SEP-2022 TO 20-MAR-2023
27-AUG-2014
|
|
| 545 |
|
|
WASANKAR WEALTH MANAGEMENT LTD.
(PAN:AAACW8073C)
|
|
|
MOBILIZED RS.12.89 CRORES FROM PUBLIC THROUGH ISSUANCE OF NON-CONVERTIBLE PREFERENCE SHARES (NCPS) BY WAY OF PRIVATE PLACEMENT TO 228 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36) AND 73 READ WITH SECTION 465 OF THE COMPANIES ACT, 2013
|
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC AND/OR INVITE SUBSCRIPTION, IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 18-MAY-2015 TO 17-MAY-2019
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 18-MAY-2015 TO 17-MAY-2019
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-MAY-2015 TO 17-MAY-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-MAY-2015 TO 17-MAY-2019
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 18-MAY-2015 TO 17-MAY-2019
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 18-MAY-2015 TO 17-MAY-2019
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
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
31-JUL-2014
|
SEBI VIDE ITS ORDER DATED 18/05/2015 DIRECTED TO A) JOINTLY AND SEVERALLY, FORTHWITH REFUND THE MONEY COLLECTED THROUGH ISSUANCE OF NON-CONVERTIBLE PREFERENCE SHARES (NCPS), WITH INTEREST OF 15% P.A. COMPOUNDED AT HALF YEARLY INTERVALS B) REPAY TO INVESTORS SHALL BE EFFECTED ONLY IN CASH THROUGH BANK DEMAND DRAFT OR PAY ORDER C) PERMITTED TO SELL ASSETS OF THE COMPANY ONLY FOR SOLE PURPOSE OF MAKING REFUND AND DEPOSIT PROCEEDS IN ESCROW ACCOUNT OPENED WITH A NATIONALISED BANK D) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING THE MODALITIES FOR REFUND E) FILE A CERTIFICATE OF SUCH COMPLETION WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTS WHO ARE IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION F) PROVIDE FULL INVENTORY OF ALL ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECRUTIES, IF HELD IN PHYSICAL FORM G) DIRECTED NOT TO, DIRECTLY OR INDIRECTLY, ACCESS CAPITAL MARKET BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC AND FURTHER RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN WHATSOEVER MANNER, FROM DATE OF THIS ORDER TILL EXPIRY OF 4 YEARS
SEBI VIDE ITS NOTICE DATED 24/02/2016 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS ORDER DATED 01/03/2018 CANCELLED CERTIFICATE OF REGISTRATION AS INVESTMENT ADVISOR
SEBI VIDE ITS ORDER DATED 15/07/2021 CLOSED INSTANT PROCEEDINGS IN RESPECT OF SCN DATED 28/10/2015
|
| 546 |
|
|
WAY2GAINS
(PAN:ATUPR0113L)
|
|
|
|
RAJEEV KUMAR TIWARI
PAN:ATUPR0113L
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
INDULGED IN INVESTMENT ADVISORY SERVICES WITHOUT POSSESSING REQUISITE QUALIFICATIONS
|
DIRECTED TO RETURN MONEY TO ITS CLIENTS RECEIVED AS FEES OR IN ANY OTHER FORM IN RESPECT OF UNREGISTERED INVESTMENT ADVISORY SERVICES
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
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 DIVERT ANY FUNDS RAISED FROM INVESTORS
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 MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
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 30-JUL-2020 TO 29-JUL-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-JUL-2020 TO 29-JUL-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 30-JUL-2020 TO 29-JUL-2022
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-JUL-2020 TO 29-JUL-2022
30-JUL-2020
|
SAT: SAT VIDE ITS ORDER DATED 01/12/2020 DISMISSED MISC.APPLICATION NOS 386,387 AND 388
SAT: SAT VIDE ITS ORDER DATED 16/03/2021 DISMISSED THE APPEAL FOR WANT OF PROSECUTION
SEBI VIDE ITS ORDER DATED 31/03/2021 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 15/04/2021 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 03/08/2021 ALLOWED AMENDMENT APPLICATION. DIRECTED TO CARRY OUT NECESSARY ADDITION/CORRECTION IN MEMORANDUM OF APPEAL WITHIN A WEEK OR FILE AMENDED COPY OF THE MEMORANDUM OF APPEAL AFTER SUPPLYING IT TO RESPONDENT. ALLOWED RESPONDENT TWO WEEKS TO FILE REPLY TO AMENDED MEMORANDUM OF APPEAL AND APPELLANT TO FILE REJOINDER WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 21/01/2022 DIRECTED TO FILE REJOINDER WITHIN THREE WEEKS
SAT: SAT VIDE ITS ORDER DATED 23/01/2023 DISMISSED THE APPEAL. NO COSTS
SEBI VIDE ITS ORDER DATED 20/03/2023 DIRECTED ALL THE BANKS TO REMIT RS.4,34,22,543.00 TO THE EXTENT LYING IN THE ACCOUNT OF WAY2GAINS AND MR.RAJEEV KUMAR TIWARI TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 547 |
|
|
WAYS2STAR
(PAN:BXEPR5948G)
|
|
|
|
JAYESH SHANTILAL RAVAL
PAN:BXEPR5948G
|
|
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 26-MAR-2024 TO 25-MAR-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 26-MAR-2024 TO 25-MAR-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 26-MAR-2024 TO 25-MAR-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 26-MAR-2024 TO 25-MAR-2026
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
26-MAR-2024
|
SEBI VIDE ITS NOTICE DATED 23/06/2025 DIRECTED TO PAY RS.6,97,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 23/06/2025 DIRECTED TO PAY RS.56,63,229.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 17/07/2025 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 17/09/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.7,15,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS NOTICE DATED 17/09/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.58,09,666.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 548 |
|
|
WEALTH FINANCE
(PAN:BXVPT7696L)
|
|
|
|
REMISH TIRKEY
PAN:BXVPT7696L
|
|
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 31-MAR-2023 TO 30-MAR-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 31-MAR-2023 TO 30-MAR-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAR-2023 TO 30-MAR-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 31-MAR-2023 TO 30-MAR-2026
IMPOSED PENALTY
31-MAR-2023
|
SEBI VIDE ITS NOTICE DATED 31/01/2024 DIRECTED TO PAY RS.1,11,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 31/01/2024 DIRECTED TO PAY RS.94,98,456.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 18/06/2024 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS, MUTUAL FUNDS FOLIOS AND/OR POST OFFICE ACCOUNT 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 25/11/2025 CANCELLED RECOVERY CERTIFICATE NO.7553 OF 2024 DATED 31/01/2024
SEBI VIDE ITS NOTICE DATED 25/11/2025 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 18/06/2024
SEBI VIDE ITS NOTICE DATED 25/11/2025 CANCELLED RECOVERY CERTIFICATE NO.7567 OF 2024 DATED 31/01/2024
|
| 549 |
|
|
WEALTH GROUP
(PAN:BXVPT7696L)
|
|
|
|
REMISH TIRKEY
PAN:BXVPT7696L
|
|
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 31-MAR-2023 TO 30-MAR-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 31-MAR-2023 TO 30-MAR-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAR-2023 TO 30-MAR-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 31-MAR-2023 TO 30-MAR-2026
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-MAR-2023
|
SEBI VIDE ITS NOTICE DATED 31/01/2024 DIRECTED TO PAY RS.1,11,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 31/01/2024 DIRECTED TO PAY RS.94,98,456.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 18/06/2024 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS, MUTUAL FUNDS FOLIOS AND/OR POST OFFICE ACCOUNT 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 25/11/2025 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 18/06/2024
SEBI VIDE ITS NOTICE DATED 25/11/2025 CANCELLED RECOVERY CERTIFICATE NO.7553 OF 2024 DATED 31/01/2024
SEBI VIDE ITS NOTICE DATED 25/11/2025 CANCELLED RECOVERY CERTIFICATE NO.7567 OF 2024 DATED 31/01/2024
|
| 550 |
|
|
WEALTHIT GLOBAL
(PAN:CXGPM4395H)
|
|
|
|
MOHIT MANGHNANI
PAN:CXGPM4395H
|
|
DID NOT PROVIDE INFORMATION TO SEBI
DID NOT SUBMIT MATERIAL INFORMATION TO SEBI
DID NOT RENEW NISM REGISTRATION
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
SOLD MULTIPLE PRODUCTS AND CHARGED UNREASONABLE FEES AND/OR SERVICE CHARGE
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 PRODUCTS TO CLIENTS WHICH WERE NOT SUITABLE TO RISK PROFILE OF THE CLIENTS
DID NOT REDRESS INVESTOR COMPLAINTS
|
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 23-JAN-2023 TO 22-JAN-2028
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 23-JAN-2023 TO 22-JAN-2028
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-JAN-2023 TO 22-JAN-2028
IMPOSED PENALTY RS.30,00,000 ALONG WITH OTHER ENTITIES/PERSONS
23-JAN-2023
|
|
| 551 |
|
|
WEIRD INDUSTRIES LTD.
(CIN:U74120WB2008PLC123790)
|
|
|
|
BHABAGRAHI BEHERA
DIN:05113111
PAN:ASWPB3847N
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|
CHAND MOHAN GHOSH
DIN:02013676
PAN:AJFPG5051P
|
|
|
GOPAL DALAPATI
DIN:01742768
PAN:AEFPD9926H
|
|
|
HARI PADA SETH
|
|
|
JADUNATH JENA
DIN:03169961
PAN:ANUPJ8465D
|
|
|
MOHAMMED ARIFF BILLA
DIN:02738772
PAN:ADRPB8958J
|
|
|
RAMPROSAD MONDAL
PAN:ASPPM3388N
DIN:05115858
|
|
|
SAHAJAHAN KHAN
DIN:02013659
PAN:AGRPK0125D
|
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|
SANJAY KUMAR DAS
DIN:02016573
PAN:AGUPD3964E
|
|
MOBILIZED RS.3.45 CRORES FROM PUBLIC THROUGH ISSUANCE OF PREFERENCE SHARES BY WAY OF PRIVATE PLACEMENT TO 2,053 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36), 73 READ WITH SECTION 465 OF COMPANIES ACT, 2013, THE DIP DIRECTIVES/INSTRUCTIONS/GUIDELINES READ WITH ICDR REGULATIONS AND DEBT SECURITIES REGULATIONS
MOBILIZED RS.14 CRORES FROM PUBLIC THROUGH ISSUANCE OF NON-CONVERTIBLE DEBENTURES (NCDS) BY WAY OF PRIVATE PLACEMENT VIOLATING SECTIONS 56, 60 READ WITH 2(36), 73, 117B, 117C READ WITH SECTION 465 OF COMPANIES ACT, 2013, THE DIP DIRECTIVES/INSTRUCTIONS/GUIDELINES READ WITH ICDR REGULATIONS AND DEBT SECURITIES REGULATIONS
|
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC AND/OR INVITE SUBSCRIPTION, IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 21-OCT-2015 TO 20-OCT-2019
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 21-OCT-2015 TO 20-OCT-2019
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 21-OCT-2015 TO 20-OCT-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-OCT-2015 TO 20-OCT-2019
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF 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 21-OCT-2015 TO 20-OCT-2019
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
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
15-SEP-2014
|
SEBI VIDE ITS ORDER DATED 21/10/2015 DIRECTED TO A) REFUND THE MONEY COLLECTED THROUGH RPS AND NCDS FROM INVESTORS WITH INTEREST @ 15% P.A. COMPOUNDED AT HALF YEARLY INTERVALS FROM DATE OF REPAYMENTS BECAME DUE TO INVESTORS TILL DATE OF ACTUAL PAYMENT THROUGH BANK DEMAND DRAFT OR PAY ORDER B) PERMITTED TO SELL ASSETS OF THE COMPANY ONLY FOR SOLE PURPOSE OF MAKING REPAYMENTS AND DEPOSIT THE PROCEEDS IN ESCROW ACCOUNT OPENED WITH A NATIONALISED BANK C) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING THE MODALITIES FOR REFUND D) FILE CERTIFICATE OF SUCH COMPLETION WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS WHO ARE IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION E) 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 FORM F) NOT TO, DIRECTLY OR INDIRECTLY, ACCESS SECURITIES MARKET, BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC AND ARE FURTHER RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FOR A PERIOD OF FOUR YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS
SEBI VIDE ITS NOTICE DATED 12/02/2016 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS ORDER DATED 26/05/2016 A. PROHIBITED FROM DISPOSING, TRANSFERRING, ALIENATING OR CHARGING IN RESPECT OF THE PROPERTIES LISTED IN THE ORDER B. PROHIBITED FROM TAKING ANY BENEFIT UNDER SUCH DISPOSAL, TRANSFER, ALIENATION OR CHARGE IN RESPECT OF THE PROPERTIES. 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 PERTAINING TO THE PROPERTIES, WITHIN TWO WEEKS FROM THE DATE OF THIS ORDER AT SEBI, EASTERN REGIONAL OFFICE, KOLKATA. 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 WITH A DIRECTION 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
|
| 552 |
|
|
WEIRD INFRASTRUCTURES CORP.LTD.
(PAN:AAACW9754E)
|
|
|
|
AMRENDRA PRASAD SINGH
PAN:BHIPS9075B
DIN:06432050
|
|
|
AVIJIT CHATTERJEE
DIN:03170582
PAN:AFIPC2205A
|
|
|
BHABAGRAHI BEHERA
DIN:05113111
PAN:ASWPB3847N
|
|
|
BIMAL KUMAR JHA
PAN:ADVPJ5514A
DIN:02803464
|
|
|
CHAND MOHAN GHOSH
DIN:02013676
PAN:AJFPG5051P
|
|
|
GOPAL DALAPATI
DIN:01742768
PAN:AEFPD9926H
|
|
|
HARISH CHANDRA
|
|
|
JADUNATH JENA
DIN:03169961
PAN:ANUPJ8465D
|
|
|
RAKESH KUMAR
DIN:03346913
PAN:AMJPK6778N
|
|
|
SACHIN KUMAR THAKUR
DIN:06560350
PAN:AJUPT3341C
|
|
|
SANATAN BANERJEE
DIN:06685477
PAN:AUEPB3112A
|
|
|
SANJAY KUMAR DAS
DIN:02016573
PAN:AGUPD3964E
|
|
|
SK.ROMJAN ALI
DIN:05309921
PAN:AZAPA3366Q
|
|
|
SOMNATH SANTRA
DIN:06630049
PAN:DAPPS8724B
|
|
MOBILIZED RS.16.28 CRORES FROM PUBLIC THROUGH ISSUANCE OF 1,62,794 NON-CONVERTIBLE DEBENTURES BY WAY OF PRIVATE PLACEMENT VIOLATING SECTIONS 56, 60 READ WITH 2(36), 73, 117B, 117C READ WITH COMPANIES ACT, 2013 AND DEBT SECURITIES REGULATIONS
|
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC AND/OR INVITE SUBSCRIPTION, IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 24-JUL-2015 TO 23-JUL-2019
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 24-JUL-2015 TO 23-JUL-2019
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 24-JUL-2015 TO 23-JUL-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-JUL-2015 TO 23-JUL-2019
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF 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 24-JUL-2015 TO 23-JUL-2019
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
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
24-SEP-2014
|
SEBI VIDE ITS ORDER DATED 24/07/2015 DIRECTED TO A) JOINTLY AND SEVERALLY, REFUND THE MONEY COLLECTED THROUGH ISSUANCE OF SECURED NON-CONVERTIBLE DEBENTURES WITH INTEREST @ 15% P.A. COMPOUNDED AT HALF YEARLY FROM DATE OF REPAYMENTS BECAME DUE TO INVESTORS TILL DATE OF ACTUAL PAYMENT THROUGH BANK DEMAND DRAFT OR PAY ORDER B) TO SELL ASSETS OF THE COMPANY ONLY FOR SOLE PURPOSE OF MAKING REFUND AND DEPOSIT PROCEEDS IN ESCROW ACCOUNT OPENED WITH A NATIONALISED BANK C) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING THE MODALITIES FOR REFUND D) FILE CERTIFICATE OF SUCH COMPLETION WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS WHO ARE IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION E) NOT TO, DIRECTLY OR INDIRECTLY, ACCESS CAPITAL MARKET BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC AND IS FURTHER RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FOR A PERIOD OF FOUR YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS F) PROVIDE FULL INVENTORY OF THEIR ASSETS AND PROPERTIES AND DETAILS OF THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, IF HELD IN PHYSICAL FORM
SEBI VIDE ITS NOTICE DATED 04/12/2015 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS ORDER DATED 22/03/2016 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA AND NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS/LOCKERS/DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 04/12/2015
SEBI VIDE ITS ORDER DATED 22/03/2016 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA AND NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS/LOCKERS/DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 04/12/2015
SEBI VIDE ITS ORDER DATED 04/08/2016 A. PROHIBITED FROM DISPOSING, TRANSFERRING, ALIENATING OR CHARGING IN RESPECT OF THE 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 PERTAINING TO THE PROPERTIES, WITHIN TWO WEEKS FROM THE 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 WITH A DIRECTION 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 ORDER DATED 10/02/2017 PROHIBITED DEFAULTERS FROM DISPOSING, TRANSFERRING, ALIENATING OR CHARGING IN RESPECT OF ALL THE IMMOVABLE AND MOVABLE PROPERTIES HELD BY DEFAULTERS AND FROM TAKING ANY BENEFIT UNDER SUCH DISPOSAL, TRANSFER, ALIENATION OR CHARGE IN RESPECT OF THE PROPERTIES. DIRECTED DEFAULTERS TO FURNISH COMPLETE DETAILS OF ALL THE MOVABLE AND IMMOVABLE PROPERTIES HELD BY DEFAULTERS AND CHARGES, IF ANY, DULY CERTIFIED BY BOARD OF DIRECTORS ALONG WITH ORIGINAL TITLE DEEDS PERTAINING TO THE PROPERTIES WITHIN TWO WEEKS FROM DATE OF THIS ORDER AT SEBI, NORTHERN REGIONAL OFFICE, NEW DELHI. FURTHER DIRECTED INSPECTOR GENERAL OF REGISTRATION OF ALL THE STATES AND UNION TERRITORIES, CONCERNED TEHSILDARS, DISTRICT REGISTRARS AND SUB-REGISTARS OF THE RESPECTIVE AREAS WITH DIRECTION 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 ORDER DATED 21/07/2017 DIRECTED TO 1) BRING THE AMOUNT PAYABLE TO INVESTORS WHO HAVE INVESTED UP TO RS.10,000 WITHIN TWO MONTHS EITHER FROM THEIR OWN FUNDS OR THROUGH SALE/MORTGAGE OF ANY OF THE PROPERTIES OF THE DEFAULTERS 2) WITH THE AMOUNT COLLECTED AT (I) DEFAULTERS SHALL WITHIN ONE MONTH FROM THE DATE OF COMPLETION OF THE DIRECTION, REPAY ENTIRE DUES ALONG WITH ASSURED RETURNS AND INTEREST TO 5222 INVESTORS TO WHOM MONEY DUE IS UP TO RS.10,000 3) TO BRING AMOUNT PAYABLE TO INVESTORS WHO HAVE INVESTED RS.10,000 TO RS.30,000 WITHIN ONE MONTH FROM THE DATE OF COMPLIANCE OF DIRECTION AT (I) FROM ANY SOURCE I.E.EITHER FROM THEIR OWN FUNDS OR THROUGH SALE/MORTGAGE OF ANY OF THE PROPERTIES OF THE DEFAULTERS AND REPAY THE SAID AMOUNT TO SUCH INVESTORS ALONG WITH ASSURED RETURNS AND INTEREST WITHIN ONE MONTH THEREAFTER 4) TO BRING AMOUNT PAYABLE TO INVESTORS WHO HAVE INVESTED RS.30,000 TO RS.50,000 WITHIN ONE MONTH FROM THE DATE OF COMPLIANCE OF DIRECTION AT (III) FROM ANY SOURCE I.E.EITHER FROM THEIR OWN FUNDS OR THROUGH SALE/MORTGAGE OF ANY OF THE PROPERTIES OF THE DEFAULTERS AND REPAY THE SAID AMOUNT TO SUCH INVESTORS ALONG WITH ASSURED RETURNS AND INTEREST WITHIN ONE MONTH THEREAFTER 5) DEFAULTERS SHALL BRING AMOUNT PAYBALE TO INVESTORS WHO HAVE INVESTED BEYOND RS.50,001 WITHIN ONE MONTH FROM THE DATE OF COMPLIANCE OF DIRECTION AT (IV) FROM ANY SOURCE I.E.EITHER FROM THEIR OWN FUNDS OR THROUGH SALE/MORTGAGE OF ANY OF THE PROPERTIES OF THE DEFAULTERS AND REPAY THE SAID AMOUNT TO SUCH INVESTORS ALONG WITH ASSURED RETURNS AND INTEREST WITHIN ONE MONTH THEREAFTER 6) FURTHER, TO PAY PRINCIPAL AMOUNT ALONG WITH DUE RETURNS/INTEREST TO THE INVESTORS WHO HAVE INVESTED BEYOND RS.50,001 WITHIN ONE MONTH FROM THE DATE OF COMPLIANCE OF DIRECTION AT (V) EITHER FROM THEIR OWN FUNDS OR THROUGH SALE/MORTGAGE OF ANY OF THE PROPERTIES OF THE DEFAULTERS 7) TO SUBMIT WINDING UP AND REPAYMENT REPORT IN TERMS OF SEBI (CIS) REGULATIONS REGARDING REPAYMENT OF RS.16,27,94,215 ALONGWITH ASSURED RETURNS/INTEREST DUE TO THE INVESTORS AND THE ENTIRE PROCESS OF BRINGING FUND AND REPAYMENT SHALL BE DONE BY DEFAULTERS UNDER THE SUPERVISION OF SEBI AND CERTIFIED BY ANOTHER INDEPENDENT PEER REVIEWED CHARTERED ACCOUNT WHO IS IN THE PANEL OF ANY PUBLIC AUTHORITY OF PUBLIC INSTITUTION 8) RESTRAINED FROM DISPOSING/SELLING/MORTGAGING ANY OF THEIR ASSETS EXCEPT FOR THE PUPPOSE OF REPAYMENT TO THE INVESTORS WITH SPECIFIC PERMISSION FROM SEBI
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| 553 |
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WILD STOCK
(PAN:EQSPS8015M)
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SANJEEV SINGH
PAN:EQSPS8015M
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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 03-JUN-2021 TO 02-JUN-2023
DIRECTED TO CEASE & DESIST FROM ACTING AS AN INVESTMENT ADVISOR AND/OR ALTERNATIVE INVESTMENT FUND AND CEASE TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER UNREGISTERED ACTIVITIES IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 03-JUN-2021 TO 02-JUN-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 03-JUN-2021 TO 02-JUN-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 REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT NOT TRANSFERRED SECURITIES HELD JOINTLY OR SEVERALLY
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND CREDITS MADE IN DEMAT ACCOUNTS
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 03-JUN-2021 TO 02-JUN-2023
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 03-JUN-2021 TO 02-JUN-2023
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
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-JUN-2021 TO 02-JUN-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-JUN-2021 TO 02-JUN-2023
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 03-JUN-2021 TO 02-JUN-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 03-JUN-2021 TO 02-JUN-2023
16-JUL-2020
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SEBI VIDE ITS ORDER DATED 03/06/2021 DIRECTED TO A) REFUND THE MONEY RECEIVED FROM CLIENTS/INVESTORS/COMPLAINT AS FEES OR COMPENSATION OR IN ANY OTHER FORM IN RESPECT OF ITS UNREGISTERED INVESTMENT ADVISORY ACTIVITIES 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 C) REPAYMENTS TO THE CLIENTS/INVESTORS SHALL BE EFFECTED ONLY THROUGH BANK DEMAND DRAFT OR PAY ORDER OR ELECTRONIC FUND TRANSFER OR THROUGH ANY OTHER APPROPRIATE BANKING CHANNELS D) NOT TO SELL ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM EXCEPT FOR THE SOLE PURPOSE OF MAKING THE REFUNDS. FURTHER, THE BANKS ARE DIRECTED 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 THE 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 A PERIOD OF TWO YEARS FROM THE DATE OF THIS ORDER OR TILL THE EXPIRY OF TWO YEARS FROM THE DATE OF COMPLETION OF REFUNDS TO INVESTORS G) RESTRAINED FROM ASSOCIATING WITH ANY LISTED COMPANY WHOSE SECURITIES ARE LISTED ON RECOGNIZED STOCK EXCHANGE AND WHICH INTENDS TO RAISE MONEY FROM PUBLIC, OR ANY INTERMEDIARY REGISTERED WITH SEBI IN ANY CAPACITY OF DIRECTOR/PROMOTER/SENIOR MANAGEMENT FOR TWO YEARS FROM THE DATE OF COMPLETION OF REFUNDS TO INVESTORS H) NOT TO UNDERTAKE, EITHER DURING OR AFTER THE EXPIRY OF THE PERIOD OF DEBARMENT/RESTRAINT, EITHER DIRECTLY OR INDIRECTLY, INVESTMENT ADVISORY SERVICES OR ANY ACTIVITY IN THE SECURITIES MARKET WITHOUT OBTAINING A CERTIFICATE OF REGISTRATION FROM SEBI AS REQUIRED UNDER THE SECURITIES LAWS
SEBI VIDE ITS NOTICE DATED 30/11/2023 DIRECTED TO PAY RS.64,32,158.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 554 |
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WIN REALCON LTD.
(CIN:U45400WB2011PLC159851
PAN:AABCW0653M)
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AMIT DEBNATH
DIN:03422346
PAN:AUOPD1957D
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JOY BHOWMICK
DIN:03606641
PAN:AJSPB1308F
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JUTHIKA BANERJEE
PAN:AXAPB2104R
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MAHITOSH GANGULY
DIN:03606625
PAN:AKDPG9372N
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NIRMAL MUKHERJEE
DIN:03606635
PAN:AKEPM1906F
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PARTHA PRATIM ROY
PAN:AKXPR8291H
DIN:03522417
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RAJIB DEBNATH
DIN:03422294
PAN:AMYPD5063C
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RAJU DEY
DIN:03606643
PAN:AKJPD8355N
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RANABIR DAS
DIN:03606638
PAN:AMJPD0122F
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RITA DAS
DIN:03422045
PAN:ARNPD1804H
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SAMIT DEBNATH
PAN:AVPPD1087N
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SANJIB PODDER
DIN:03422007
PAN:AVJPP9442R
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SHEKH NUR MOHAMMAD
DIN:03422147
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SUJAY PATHAK
PAN:AIAPP0435G
DIN:03540400
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SUPRIYO SARKAR
DIN:03606630
PAN:AYCPS5612G
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SWAPAN DUTTA
DIN:03421963
PAN:ANOPD6613K
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MOBILIZED RS.117.76 LACS FROM PUBLIC THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 708 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36) AND 73 OF THE COMPANIES ACT, 1956
|
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC AND/OR INVITE SUBSCRIPTION, IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 30-OCT-2018 TO 29-OCT-2022
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 30-OCT-2018 TO 29-OCT-2022
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-OCT-2018 TO 29-OCT-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-OCT-2018 TO 29-OCT-2022
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 30-OCT-2018 TO 29-OCT-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-OCT-2018 TO 29-OCT-2022
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
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
18-FEB-2016
|
SEBI VIDE ITS ORDER DATED 30/10/2018 DIRECTED TO A) JOINTLY AND SEVERALLY REFUND THE MONEY COLLECTED THROUGH ISSUANCE OF RPS WITH INTEREST @ 15% P.A. FROM EIGHTH DAY OF COLLECTION OF FUNDS, TILL DATE OF ACTUAL PAYMENT B) PROVIDE FULL INVENTORY OF ASSETS & PROPERTIES AND DETAILS OF ALL BANK ACCOUNTS AND HOLDINGS OF MUTUAL FUNDS/SHARES/SECURITIES, IF HELD IN PHYSICAL AND DEMAT FORM, OF COMPANY AND THEIR OWN C) PERMITTED TO SELL ASSETS OF COMPANY ONLY FOR SOLE PURPOSE OF MAKING REFUNDS AND DEPOSIT PROCEEDS IN ESCROW ACCOUNT OPENED WITH NATIONALISED BANK D) PREVENTED FROM SELLING THEIR ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES IN DEMAT AND PHYSICAL FORM EXCEPT FOR SOLE PURPOSE OF MAKING REFUNDS AS DIRECTED AND DEPOSIT PROCEEDS IN ESCROW ACCOUNT OPENED WITH NATIONALISED BANK E) 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 F) FILE CERTIFICATE OF SUCH COMPLETION WITH SEBI CERTIFIED BY TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS WHO ARE IN PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION G) NOT TO, DIRECTLY OR INDIRECTLY, ACCESS SECURITIES MARKET BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC AND FURTHER RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FOR FOUR YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS
SAT: SAT VIDE ITS ORDER DATED 15/05/2019 DISMISSED THE APPEAL FOR WANT OF PROSECUTION
SEBI VIDE ITS NOTICE DATED 07/02/2020 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1. ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) 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 13/04/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.1,17,76,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTGS
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| 555 |
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WISDOM CAPITAL GROUP
|
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RAJESH NATH
PAN:EDRPR4810K
|
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SHUBHAM RAI
PAN:DXSPR9776L
|
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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
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DIRECTED TO DEPOSIT REMAINING BALANCE AMOUNT WITH SEBI TO BE KEPT IN ESCROW ACCOUNT
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 22-FEB-2023 TO 21-FEB-2026
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-FEB-2023 TO 21-FEB-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-FEB-2023 TO 21-FEB-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 22-FEB-2023 TO 21-FEB-2026
22-FEB-2023
|
|
| 556 |
|
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WISHWORTH FINANCIAL SERVICES
|
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PANKAJ KHANCHANDANI
PAN:AXTPK1590M
|
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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 09-SEP-2022
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
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-SEP-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-SEP-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 09-SEP-2022
09-SEP-2022
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SEBI VIDE ITS NOTICE DATED 06/06/2024 DIRECTED TO PAY RS.11,01,68,975.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 557 |
|
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WISHWORTH FINANCIAL SERVICES
|
|
|
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DHEERAJ KAPOOR
PAN:BLZPK3322E
|
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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 28-APR-2023 TO 27-APR-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
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-APR-2023 TO 27-APR-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-APR-2023 TO 27-APR-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 28-APR-2023 TO 27-APR-2026
09-SEP-2022
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SAT: SAT VIDE ITS ORDER DATED 25/11/2022 ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER DATED 09/09/2022 AND REMITTED MATTER TO WTM TO DECIDE AFRESH IN ACCORDANCE WITH LAW
SEBI VIDE ITS ORDER DATED 28/04/2023 DIRECTED TO A) REFUND THE MONEY RECEIVED FROM CLIENTS/INVESTORS/COMPLAINANT AS FEES OR CONSIDERATION OR IN ANY OTHER FORM IN RESPECT OF UNREGISTERED INVESTMENT ADVISORY ACTIVITIES 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 C) REPAYMENTS TO CLIENTS/INVESTORS ONLY THROUGH BANK DEMAND DRAFT OR PAY ORDER OR ELECTRONICS FUND TRANSFER D) RESTRAINED 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 SERVICESE) FILE REPORT OF SUCH COMPLETION WITH SEBI DULY CERTIFIED FROM INDEPENDENT CHARTERED ACCOUNTANTF) DEBARRED FROM ACCESSING SECURITIES MARKET DIRECTLY AND INDIRECTLY AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER FOR THREE YEARS FROM DATE OF THIS ORDER OR TILL EXPIRY OF THREE YEARS FROM DATE OF COMPLETION OF REFUNDS TO COMPLAINTS/INVESTORS G) RESTRAINED FROM ASSOCIATING WITH ANY COMPANY WHOSE SECURITIES ARE LISTED ON A RECOGNIZED STOCK EXCHANGE AND ANY COMPANY WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI IN ANY CAPACITY FOR SIX MONTHS FROM DATE OF THIS ORDER OR TILL EXPIRY OF SIX MONTHS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS H) NOT TO UNDERTAKE, EITHER DIRECTLY OR INDIRECTLY, INVESTMENT ADVISORY SERVICES OR ANY ACTIVITY IN THE SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
SAT: SAT VIDE ITS ORDER DATED 10/10/2023 DISMISSED THE APPEAL
SEBI VIDE ITS NOTICE DATED 05/06/2024 DIRECTED TO PAY RS.15,44,136.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 558 |
|
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YASH DREAM REAL ESTATE LTD.
(CIN:U70100CT2008PLC020683)
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AMIT KUMAR SHRIVASTAVA
PAN:BBNPS3367M
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DEEPAK SINGARE
PAN:AYNPS9873J
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NEETA SHRIVASTAVA
DIN:02084489
PAN:BIPPS9476L
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NITIN SHRIVASTAVA
DIN:02135639
PAN:AWJPS7878P
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POOJA TANDAN
PAN:ADNPT5796Q
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REEBHA SHRIVASTAVA
DIN:02087236
PAN:AXYPS7773H
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SINDHU SINGADHE
PAN:CFKPS3490F
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MOBILIZED RS.76.34 CRORES FROM PUBLIC THROUGH ISSUANCE OF OPTIONALLY FULLY CONVERTIBLE BONDS (OFCBS) BY WAY OF PRIVATE PLACEMENT TO 45,005 INVESTORS VIOLATING SECTIONS 56(1), 56(3), 60 AND 73 OF THE COMPANIES ACT, 1956, SECTIONS 29, 33(1) AND 40 OF THE COMPANIES ACT, 2013 AND REGULATIONS 4, 5, 6, 7, 25, 26, 32, 36, 37, 46, 47, 57 AND 63 OF THE ICDR REGULATIONS, 2009
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DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC AND/OR INVITE SUBSCRIPTION, IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 16-DEC-2014 TO 15-DEC-2017
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 16-DEC-2014 TO 15-DEC-2017
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 16-DEC-2014 TO 15-DEC-2017
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 16-DEC-2014 TO 15-DEC-2017
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 16-DEC-2014 TO 15-DEC-2017
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-DEC-2014 TO 15-DEC-2017
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED NOT TO PROMOTE ANY NEW COMPANY TO MOBILIZE FRESH FUNDS
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
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
16-DEC-2014
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SEBI VIDE ITS ORDER DATED 15/10/2015 DIRECTED TO A) JOINTLY AND SEVERALLY, REFUND RS.1,25,81,68,418 COLLECTED THROUGH ISSUANCE OF OFCBS TO SUBSCRIBERS / ALLOTTEES OF OFCBS WITH INTEREST @ 15% P.A. FROM DATE OF RECEIPT OF MONEY TILL THE DATE OF SUCH REFUND, WITHIN TIME THROUGH BANK DEMAND DRAFT OR PAY ORDER B) PRODUCE DOCUMENTARY EVIDENCE TO SHOW THAT RS.59,36,41,187 REFUNDED / REPAID BY YASH C) UTILIZE ASSETS OF COMPANY FOR SOLE PURPOSE OF MAKING REFUND / REPAYMENT TO SUBSCRIBERS / ALLOTTEES TILL FULL REFUND / REPAYMENT D) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF ONE NATIONAL DAILY AND IN ONE VERNACULAR DAILY WITH WIDE CIRCULATION, DETAILING THE MODALITIES FOR REFUND E) FILE A CERTIFICATE OF SUCH COMPLETION WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTS WHO ARE IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION F) RESTRAINED FROM, DIRECTLY OR INDIRECTLY, ACCESSING CAPITAL MARKET BY ISSUING PROSPECTUS, ANY OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC AND ARE FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FOR A PERIOD OF THREE YEARS OR TILL THE DATE OF REFUND OF MONEY TO ALLOTTEES
SEBI VIDE ITS ORDER DATED 26/08/2016 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 19/01/2017 PROHIBITED DEFAULTERS FROM DISPOSING, TRANSFERRING, ALIENATING OR CHARGING IN RESPECT OF ALL THE IMMOVABLE AND MOVABLE PROPERTIES HELD BY DEFAULTERS AND FROM TAKING ANY BENEFIT UNDER SUCH DISPOSAL, TRANSFER, ALIENATION OR CHARGE IN RESPECT OF THE PROPERTIES. DIRECTED DEFAULTERS TO FURNISH COMPLETE DETAILS OF ALL THE MOVABLE AND IMMOVABLE PROPERTIES HELD BY DEFAULTERS AND CHARGES, IF ANY, DULY CERTIFIED BY BOARD OF DIRECTORS ALONG WITH ORIGINAL TITLE DEEDS PERTAINING TO THE PROPERTIES WITHIN TWO WEEKS FROM DATE OF THIS ORDER AT SEBI, WESTERN OFFICE, AHMEDABAD. FURTHER DIRECTED INSPECTORS GENERAL OF CHHATTISGARH AND CONCERNED TEHSILDARS, DISTRICT REGISTRARS AND SUB-REGISTARS OF THE RESPECTIVE AREAS WITH DIRECTION 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 11/12/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.1,25,81,69,418.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTG
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| 559 |
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ZENITH HIGHRISE INFRACON LTD.
(PAN:AAACZ5643B
CIN:U45400WB2012PLC173631)
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NARAYAN CHANDRA DAS
PAN:BRNPD4333G
DIN:08000661
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MOBILIZED RS.43.04 LACS THROUGH ISSUANCE OF PREFERENCE SHARES BY WAY OF PRIVATE PLACEMENT TO MORE THAN 49 INVESTORS VIOLATING SECTIONS 56, 60 AND 73 OF THE COMPANIES ACT, 1956
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-JUN-2019 TO 26-JUN-2023
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 27-JUN-2019 TO 26-JUN-2023
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM INVESTORS
DIRECTED NOT TO DISPOSE OF, ALIENATE OR ENCUMBER ANY ASSETS / PROPERTIES
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
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 27-JUN-2019 TO 26-JUN-2023
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-JUN-2019 TO 26-JUN-2023
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
PERMITTED TO SELL ASSETS OF COMPANY FOR SOLE PURPOSE OF MAKING REFUNDS AND DEPOSIT PROCEEDS IN AN ESCROW ACCOUNT OPENED WITH NATIONALISED BANK
10-JAN-2017
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SEBI VIDE ITS ORDER DATED 27/07/2018 DIRECTED TO A) REFUND THE MONEY COLLECTED THROUGH ISSUANCE OF RPS WITH INTEREST @ 15% P.A. FROM EIGHTH DAY OF COLLECTION OF FUNDS, TILL DATE OF ACTUAL PAYMENT B) PROVIDE FULL INVENTORY OF ASSETS & PROPERTIES AND DETAILS OF ALL BANK ACCOUNTS AND HOLDINGS OF MUTUAL FUNDS/SHARES/SECURITIES, IF HELD IN PHYSICAL AND DEMAT FORM, OF COMPANY AND THEIR OWN C) PERMITTED TO SELL ASSETS OF COMPANY ONLY FOR SOLE PURPOSE OF MAKING REFUNDS AND DEPOSIT PROCEEDS IN ESCROW ACCOUNT OPENED WITH NATIONALISED BANK D) 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 E) FILE CERTIFICATE OF SUCH COMPLETION WITH SEBI CERTIFIED BY TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS WHO ARE IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION F) NOT TO, DIRECTLY OR INDIRECTLY, ACCESS SECURITIES MARKET BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC AND FURTHER RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FOR FOUR YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS
SAT: SAT VIDE ITS ORDER DATED 25/02/2020 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER 27/07/2018
|
| 560 |
|
|
ZENITH HIGHRISE INFRACON LTD.
(PAN:AAACZ5643B
CIN:U45400WB2012PLC173631)
|
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KALYAN BANERJEE
DIN:05189364
PAN:ADXPB9527D
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KUNTAL BANERJEE
DIN:06399077
PAN:BCUPB1092G
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NAMITA DE PAL
PAN:APVPP7716G
DIN:03550694
|
|
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SHIPRA BANERJEE
DIN:03061691
PAN:AKKPB3858M
|
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MOBILIZED RS.43.04 LACS THROUGH ISSUANCE OF PREFERENCE SHARES BY WAY OF PRIVATE PLACEMENT TO MORE THAN 49 INVESTORS VIOLATING SECTIONS 56, 60 AND 73 OF THE COMPANIES ACT, 1956
|
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC AND/OR INVITE SUBSCRIPTION, IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 27-JUL-2018 TO 26-JUL-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-JUL-2018 TO 26-JUL-2022
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 27-JUL-2018 TO 26-JUL-2022
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM INVESTORS
DIRECTED NOT TO DISPOSE OF, ALIENATE OR ENCUMBER ANY ASSETS / PROPERTIES
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
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
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 27-JUL-2018 TO 26-JUL-2022
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-JUL-2018 TO 26-JUL-2022
10-JAN-2017
|
SEBI VIDE ITS ORDER DATED 27/07/2018 DIRECTED TO A) REFUND THE MONEY COLLECTED THROUGH ISSUANCE OF RPS WITH INTEREST @ 15% P.A.FROM EIGHTH DAY OF COLLECTION OF FUNDS, TILL DATE OF ACTUAL PAYMENT B) PROVIDE FULL INVENTORY OF ASSETS & PROPERTIES AND DETAILS OF ALL BANK ACCOUNTS AND HOLDINGS OF MUTUAL FUNDS/SHARES/SECURITIES, IF HELD IN PHYSICAL AND DEMAT FORM, OF COMPANY AND THEIR OWN C) PERMITTED TO SELL ASSETS OF COMPANY ONLY FOR SOLE PURPOSE OF MAKING REFUNDS AND DEPOSIT PROCEEDS IN ESCROW ACCOUNT OPENED WITH NATIONALISED BANK D) 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 E) FILE CERTIFICATE OF SUCH COMPLETION WITH SEBI CERTIFIED BY TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS WHO ARE IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION F) NOT TO, DIRECTLY OR INDIRECTLY, ACCESS SECURITIES MARKET BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC AND FURTHER RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FOR FOUR YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS
SAT: SAT VIDE ITS ORDER DATED 25/02/2020 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER 27/07/2018
SAT: SAT VIDE ITS ORDER DATED 17/07/2020 REJECTED THE APPLICATION FILED BY SEBI
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