SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE � PRESS RELEASES/ CHAIRMAN�S AND MEMBER�S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
UPDATED TILL : 02-MAR-2026

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

PERSONS: PROVIDED WRONG/INCOMPLETE INFORMATION TO SEBI/DID NOT CO-OPERATE WITH SEBI IN INVESTIGATIONS

S.No.

PERSON

ENTITY

REGULATORY CHARGES

REGULATORY ACTION(S) / DATE OF ORDER

FURTHER DEVELOPMENTS

ANIL KUMAR TRIVEDI

(DIN:03116758)

Click here to view complete history of this specific entity/person

INDUS WEIR INDUSTRIES LTD.

PAN:AACCI4265N
CIN:U15410DL2010PLC207057

MOBILIZED FUNDS OF RS.33.40 CRORE THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 32,454 INVESTORS VIOLATING SECTIONS 67(3), 73(2), 73(3), 56(1), 56(3) AND 60 READ WITH SECTION 2(36) OF THE COMPANIES ACT, 1956

MOBILIZED FUNDS OF RS.33.40 CRORE THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 32,454 INVESTORS VIOLATING REGULATION 16(1) OF SEBI (ISSUE AND LISTING OF NCRPS) REGULATIONS, 2013

DID NOT MAKE APPLICATION FOR LISTING UNDER SECTION 73(1) OF COMPANIES ACT, 1956

DID NOT PROVIDE CORRECT STATUS OF REFUND DONE TO INVESTORS

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 08-MAY-2024 TO 07-MAY-2027

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-MAY-2024 TO 07-MAY-2027

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-MAY-2024 TO 07-MAY-2027

DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS

DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 08-MAY-2024 TO 07-MAY-2027

DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 08-MAY-2024 TO 07-MAY-2027

DIRECTED TO PROVIDE COMPLETE DETAILS OF ALL RPS OR ANY OTHER SECURITIES ISSUED BY COMPANY AFTER 31/07/2013

DIRECTED TO PROVIDE COMPLETE DETAILS OF ALL REFUNDS MADE TO INVESTORS IN RESPECT OF OFFER AND ALLOTMENT OF RPS

25-MAY-2023

SEBI VIDE ITS ORDER DATED 08/05/2024 DIRECTED TO A) RESTRAINED FROM DIRECTLY OR INDIRECTLY, ACCESSING CAPITAL MARKET BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FOR THREE YEARS FROM DATE OF THIS ORDER B) DURING PERIOD OF RESTRAINT EXISTING HOLDING, INCLUDING MUTUAL FUNDS UNITS TO REMAIN FROZEN

ANIL SURESHBHAI MISTRY

INDULGED IN CREATION OF ARTIFICIALLY MARKET AND PRICE MANIPULATION IN SCRIP OF MOH LTD.

VIOLATED REGULATION 4(A) OF PFUTP REGULATIONS, 1996

NON-COOPERATION WITH SEBI IN INVESTIGATIONS

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-JUN-2007 TO 19-JUN-2009

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-JUN-2007 TO 19-JUN-2009

20-JUN-2007

ANINDYA BIKAS DATTA

(PAN:AJNPD7375B)

DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION / DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF EROS INTERNATIONAL MEDIA LTD.

IMPOSED PENALTY RS.12,00,000

29-OCT-2024

SEBI VIDE ITS NOTICE DATED 14/01/2025 DIRECTED TO PAY RS.12,49,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SEBI VIDE ITS ORDER DATED 06/02/2025 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

SAT: SAT VIDE ITS ORDER DATED 21/04/2025 CONDONED THE DELAY OF 91 DAYS IN FILING OF APPEAL AND REJOINDER, IF ANY, BE FILE WITHIN TWO WEEKS THEREAFTER

ANIRUDDHA GHOSAL

(PAN:AHEPG6300N
DIN:03398215)

ROOFERS CAPITAL MANAGEMENT LTD.

CIN:U74140WB2009PLC140331
PAN:AAECR6116M

DID NOT ADHERE TO SUMMONS ISSUED BY INVESTIGATION AUTHORITY IN MATTER OF ROOFERS CAPITAL MANAGEMENT LTD.

IMPOSED PENALTY RS.2,00,000

30-OCT-2018

SEBI VIDE ITS NOTICE DATED 19/05/2021 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

ANISH VINODCHANDRA SHAH

(PAN:AWWPS3129G)

RFL INTERNATIONAL LTD.

PAN:AAACR9384B

MISUSED NAMES OF CHARTERED ACCOUNTANTS AS STATUTORY AUDITORS IN FINANCIAL STATEMENTS AND FILED FRAUDULENT AUDIT REPORTS AND DID NOT SUBMIT TRUE AND FAIR AUDITED FINANCIAL STATEMENTS TO STOCK EXCHANGES VIOLATING SECTION 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(D), 4(2)(F) AND 4(2)(K) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ACIL COTTON INDUSTRIES LTD., UNIVERSAL CREDIT & SECURITIES LTD., MINDVISION CAPITAL LTD. AND RFL INTERNATIONAL LTD.

MISUSED NAMES OF CHARTERED ACCOUNTANTS AS STATUTORY AUDITORS IN FINANCIAL STATEMENTS AND FILED FRAUDULENT AUDIT REPORTS AND DID NOT SUBMIT TRUE AND FAIR AUDITED FINANCIAL STATEMENTS TO STOCK EXCHANGES VIOLATING REGULATION 4(1)(B), (C), (G), (J), 33(1)(D), 33(3)(D), (E), 34(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ACIL COTTON INDUSTRIES LTD., UNIVERSAL CREDIT & SECURITIES LTD., MINDVISION CAPITAL LTD. AND RFL INTERNATIONAL LTD.

MISUSED NAMES OF CHARTERED ACCOUNTANTS AS STATUTORY AUDITORS IN FINANCIAL STATEMENTS AND FILED FRAUDULENT AUDIT REPORTS AND DID NOT SUBMIT TRUE AND FAIR AUDITED FINANCIAL STATEMENTS TO STOCK EXCHANGES VIOLATING CLAUSE 41(I)(D)(IV), AND (V) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF ACIL COTTON INDUSTRIES LTD., UNIVERSAL CREDIT & SECURITIES LTD., MINDVISION CAPITAL LTD. AND RFL INTERNATIONAL LTD.

DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION / DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF ACIL COTTON INDUSTRIES LTD., UNIVERSAL CREDIT & SECURITIES LTD., MINDVISION CAPITAL LTD. AND RFL INTERNATIONAL LTD.

IMPOSED PENALTY RS.8,00,000

21-OCT-2022

SEBI VIDE ITS NOTICE DATED 16/10/2023 DIRECTED TO PAY RS.8,00,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SEBI VIDE ITS ORDER DATED 21/11/2023 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED

SEBI VIDE ITS NOTICE DATED 02/01/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.9,29,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG

ANJU AGARWAL

DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION

IMPOSED PENALTY RS.30,000

31-MAR-2005

ANJU PIPALWA

(PAN:ALNPP7535M)

DID NOT FURNISH BANK STATEMENTS/CASH RECEIPT/SHARE BILL IN RESPECT OF TRANSACTIONS IN MATTER OF DELTA LEASING & FINANCE LTD.

IMPOSED PENALTY RS.1,00,000

29-SEP-2022

SEBI VIDE ITS NOTICE DATED 13/06/2023 DIRECTED TO PAY RS.1,11,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SEBI VIDE ITS ORDER DATED 30/06/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6663 OF 2023 DATED 13/06/2023

ANKIT G.JHAVERI

DID NOT APPEAR AND FURNISH NECESSARY INFORMATION TO SEBI IN RESPONSE TO SUMMONS IN MATTER OF SOFTRACK TECHNOLOGY EXPORTS LTD.

IMPOSED PENALTY RS.2,00,000

15-DEC-2010

ANKUR JAYKISHOR CHATURVEDI

(PAN:ABFPC1081P)

DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF BRIJLAXMI LEASING & FINANCE LTD.

IMPOSED PENALTY RS.5,00,000

11-JAN-2010

SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS

INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI

SEBI VIDE ITS NOTICE DATED 26/09/2014 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

SAT: SAT VIDE ITS ORDER DATED 02/02/2016 DISPOSED OFF BOTH REVIEW APPLICATIONS AS ALSO BOTH MISC. APPLICATIONS AS INFRUCTUOUS. NO COSTS

SAT: SAT VIDE ITS ORDER DATED 02/02/2016 MISC. APPLICATIONS FILED THEREUNDER DISPOSED OFF. NO COSTS

ANKUR JITENDRAKUMAR SHAH

(PAN:BFKPS3124P)

IMPOSED PENALTY RS.8,00,000

21-OCT-2022

SEBI VIDE ITS NOTICE DATED 26/10/2023 DIRECTED TO PAY RS.9,05,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SEBI VIDE ITS ORDER DATED 11/12/2023 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED

ANOOP RAMAKANT BAGARIA

(PAN:AGTPB1096L)

DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF ROCKON FINTECH LTD.

INDULGED IN CREATION OF REVERSAL OF TRADE TRANSACTIONS AND OFF-MARKET TRANSFERS WITHOUT ANY CONSIDERATION IN MATTER OF ROCKON FINTECH LTD.

IMPOSED PENALTY RS.2,00,000

11-MAY-2017

INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI

SEBI VIDE ITS NOTICE DATED 14/10/2019 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 06/12/2019 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.2,89,965.00 LYING OUTSTANDING IN ACCOUNT OF MR.ANOOP BAGARIA

SEBI VIDE ITS ORDER DATED 11/08/2020 DIRECTED ALL THE BANKS TO REMIT RS.86,145.09 TO THE EXTENT LYING IN THE ACCOUNT OF MR.ANOOP BAGARIA TO SEBI BY WAY OF EFT/NEFT/RTGS

ANUBHAV BHATTER

(PAN:AHBPB4285E)

BMA COMMODITIES PVT.LTD.

PAN:AACCB5142K

(Member : MCX/NCDEX)

BMA WEALTH CREATORS LTD.

PAN:AACCB5141L

(Member : BSE)

DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES

DID NOT UNPLEDGE AND RETURN SECURITIES TO CLIENTS UPON FULFILMENT OF PAY-IN-OBLIGATION

MADE UNAUTHORISED TRANSFER OF SHARES FROM CLIENT�S DEMAT ACCOUNTS

PROVIDED MISLEADING INFORMATION TO STOCK EXCHANGES

RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 07-OCT-2019 TO 06-OCT-2026

DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 07-OCT-2019 TO 06-OCT-2026

DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR TO CREATE OR INVOKE OR RELEASE ANY INTEREST OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF NSE AND BSE

DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS

DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS

DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY

DIRECTED TO REFUND MONEY TO THE INVESTORS

IMPOSED PENALTY RS.1,00,00,000

07-OCT-2019

SEBI VIDE ITS ORDER DATED 02/01/2020 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 07/10/2019

SEBI VIDE ITS ORDER DATED 11/01/2023 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES EITHER DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER FOR SEVEN YEARS B) IMPOSED PENALTY OF RS.5 CRORE U/S 15HA OF SEBI ACT. AND 23D OF SCRA C) JOINTLY AND SEVERALLY TO REPAY/REFUND THE MONIES TO INVESTORS/CLIENTS OF BRH WEALTH CREATORS LTD. UNDER SUPERVISION OF NSE D) JOINTLY AND SEVERALLY RETURN THE SECURITIES DUE TO CLIENTS/INVESTORS OF BRH WEALTH CREATORS LTD. OR THEIR MONETARY VALUE AS ON DATE OF ACTUAL PAYMENT OF MONEY IN LIEU OF SHARES UNDER SUPERVISION OF NSE E) NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS, WHETHER MOVABLE OR IMMOVABLE (INCLUDING FUNDS IN THEIR BANK ACCOUNTS) OR CREATE ANY INTEREST OR CHARGE IN ANY SUCH ASSETS, TILL SUCH TIME THE REFUNDS/REPAYMENTS F) BANKS ARE TO ENSURE NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY, EXCEPT FOR THE PURPOSE OF PAYMENT OF MONEY TO CLIENTS/INVESTORS UNDER THE WRITTEN CONFIRMATION OF NSE G) NSE DEFAULTERS COMMITTEE TO, AS EXPEDITIOUSLY AS POSSIBLE OPEN AND OPERATE DEDICATED DEMAT ACCOUNT WHERE ALL THE SECURITIES LYING IN THE DEMAT ACCOUNTS OF BRH WEALTH CREATORS LTD. AND BRH COMMODITIES PVT.LTD. TO BE TRANSFERRED H) NSE DEFAULTERS COMMITTEE TO OPEN AND OPERATE A DEDICATED INTEREST BEARING BANK ACCOUNT WITH NATIONALIZED BANK WHERE ALL THE FUNDS LYING IN VARIOUS BANK ACCOUNTS HELD IN THE NAME OF BRH WEALTH CREATORS LTD. AND BRH COMMODITIES PVT.LTD. TO BE TRANSFERRED I) MODALITIES OF SELLING THE ASSETS, DEPOSITING THE PROCEEDS THEREOF IN THE ESCROW ACCOUNT(S) TO BE WORKED OUT BY NSE J) NSE TO DEAL WITH CLAIMS OF CLIENTS/INVESTORS IN ACCORDANCE WITH BYE-LAWS AND PROCEDURES AFTER ADJUSTING DISBURSEMENTS MADE THROUGH DEFAULTERS COMMITTEE MECHANISM K) PROCEED WITH RECOVERY OF FUNDS AND SECURITIES FROM THE ASSETS OF RESPECTIVE NOTICEES TO COVER ANY SHORTFALL IN FUNDS AND SECURITIES IN THE ESCROW ACCOUNTS(S) AND DEMAT ACCOUNT

SEBI VIDE ITS NOTICE DATED 19/09/2023 DIRECTED TO PAY RS.1,09,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SEBI VIDE ITS ORDER DATED 06/10/2023 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED

SEBI VIDE ITS NOTICE DATED 16/11/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.1,09,01,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG

SEBI VIDE ITS NOTICE DATED 17/06/2025 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 06/10/2023

SEBI VIDE ITS ORDER DATED 17/06/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7171 OF 2023 DATED 19/09/2023

SAT: SAT VIDE ITS ORDER DATED 21/07/2025 APPEAL DISPOSED OF BY PERMITTING APPELLANT TO GO AHEAD WITH SALE AS PER DIRECTION OF HON'BLE BOMBAY HIGH COURT

ANUJ GARG

(PAN:AHEPG5644F)

CPR CAPITAL SERVICES LTD.

PAN:AAACC3235A

(Member : NSE/BSE/MSEI)

DID NOT CAPTURE INCOME DETAILS OF CLIENTS

DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS

DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES

MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS

DID NOT FOLLOW NORMS FOR NOMENCLATURE OF ACCOUNTS

MISUSED PLEDGING OF CLIENT�S SECURITIES

DID NOT FURNISH REQUISITE INFORMATION TO SEBI

DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT�S EARLIER ORDER

DID NOT REDRESS INVESTOR COMPLAINTS

DID NOT ADHERE TO DIRECTIVES/INSTRUCTIONS/GUIDELINES ON ANTI MONEY LAUNDERING STANDARDS

IMPOSED PENALTY RS.4,00,000

22-MAY-2023

SEBI VIDE ITS NOTICE DATED 14/09/2023 DIRECTED TO PAY RS.4,21,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SEBI VIDE ITS ORDER DATED 10/01/2025 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED

SEBI VIDE ITS NOTICE DATED 16/07/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.5,09,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG

SEBI VIDE ITS NOTICE DATED 19/12/2025 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 10/01/2025

SEBI VIDE ITS ORDER DATED 19/12/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7153 OF 2023 DATED 14/09/2023

ANUP SAXENA

CAUVERY SOFTWARE ENGINEERING SYSTEMS LTD.

DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION

DID NOT ADHERE TO SUMMONS ISSUED BY SEBI

IMPOSED PENALTY RS.6,75,000

18-DEC-2003

SAT: APPEAL DISMISSED

INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI

ANURADHA DEVI

(PAN:AJCPA8040P)

DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF DELTA LEASING & FINANCE LTD.

IMPOSED PENALTY RS.1,00,000

18-OCT-2022

SEBI VIDE ITS NOTICE DATED 03/04/2023 DIRECTED TO PAY RS.1,08,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SEBI VIDE ITS ORDER DATED 07/06/2023 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED

SEBI VIDE ITS NOTICE DATED 11/07/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.1,11,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG

ANURAG BHATIA

(PAN:AVEPB6967G)

MINANCE INVESTMENT ADVISORS PVT.LTD.

PAN:AALCM4744M

DID NOT SUBMIT MATERIAL INFORMATION TO SEBI

DID NOT ADHERE TO REQUIREMENT OF CAPITAL ADEQUACY

DID NOT APPOINT COMPLIANCE OFFICER

DID NOT FURNISH REQUISITE INFORMATION TO SEBI

SEBI VIDE ITS ORDER DATED 20/04/2021 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 20/10/2020

SEBI VIDE ITS ORDER DATED 31/05/2023 DIRECTED TO A) CANCEL CERTIFICATE OF REGISTRATION AS INVESTMENT ADVISER B) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER FOR FIVE YEARS FROM INTERIM ORDER C) RESOLVE THE COMPLAINTS PENDING IN SCORES TO INVESTMENT ADVISORY SERVICES WITHIN THIRTY DAYS FROM DATE OF THIS ORDER

ANURESH

(DIN:03115467)

INDUS WEIR INDUSTRIES LTD.

PAN:AACCI4265N
CIN:U15410DL2010PLC207057

SEBI VIDE ITS ORDER DATED 08/05/2024 DIRECTED TO A) REFUND THE MONEY COLLECTED THROUGH ISSUANCE OF RPS WITH INTEREST @ 8% P.A. FROM DATE OF RECEIPT OF MONEY TILL DATE OF REFUND THROUGH BANK DEMAND DRAFT OR PAY ORDER B) RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FOR THREE YEARS OR TILL DATE OF REFUND OF MONEY TO ALLOTTEES C) RESTRAINED FROM DIRECTLY OR INDIRECTLY, ACCESSING CAPITAL MARKET BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC FOR A PERIOD OF THREE YEARS OR TILL THE DATE OF REFUND OF MONEY TO ALLOTTEES D) RESTRAINED FROM ASSOCIATING THEMSELVES WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC, OR ANY INTERMEDIARY REGISTERED WITH SEBI FOR THREE YEARS OR TILL DATE OF REFUND OF MONEY TO ALLOTTEES E) DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS & PROPERTIES AND DETAILS OF ALL BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF MUTUAL FUNDS/SHARES/SECURITIES, IF HELD IN PHYSICAL FORM AND DEMAT FORM WITHIN A PERIOD OF FIFTEEN DAYS FROM DATE OF THIS ORDER I) DURING PERIOD OF RESTRAINT EXISTING HOLDING, INCLUDING MUTUAL FUNDS UNITS TO REMAIN FROZEN

ARPIT PIYUSHBHAI SHAH

(PAN:BECPS1043E)

AIDED AND ABETTED MR.PRANAV KAMLESHKUMAR TRIVEDI TO MANIPULATE IN THE SCRIP OF QUASAR INDIA LTD.

DID NOT CO-OPERATE WITH SEBI IN INSPECTION

IMPOSED PENALTY RS.7,00,000

31-OCT-2025

ARSHAD AFZAL KHAN

(PAN:ADVPK6755C)

CLIP SECURITIES & FINANCE PVT.LTD.

DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF PRUDENTIAL PHARMACEUTICALS LTD.

IMPOSED PENALTY RS.2,00,000

25-JAN-2011

INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI

SEBI VIDE ITS NOTICE DATED 19/01/2022 DIRECTED TO PAY A RS.4,64,803.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SEBI VIDE ITS NOTICE DATED 25/02/2022 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 13/05/2022 DIRECTED ALL THE BANKS TO REMIT RS.4,75,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.ARSHAD AFZAL KHAN TO SEBI BY WAY OF EFT/NEFT/RTGS

ARUN GOYAL

(PAN:ACKPG1931G)

GFL FINANCIALS (INDIA) LTD.

PAN:AABCG0597Q

DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF GFL FINANCIALS INDIA LTD.

DID NOT ADHERE TO SUMMONS ISSUED BY SEBI

IMPOSED PENALTY RS.28,00,000

24-SEP-2015

INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI

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