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SOURCE OF INFORMATION

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.

STOCK BROKERS: VIOLATED SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
61
History of entity/person WASANKAR WEALTH MANAGEMENT LTD.

(PAN:AAACW8073C)

(Sub-Broker of ISE SECURITIES & SERVICES LTD., Member : BSE,Member : ICSE)  
  DID NOT PROVIDE INFORMATION WITH RESPECT TO ALL THE BANK ACCOUNTS VIOLATING OF REGULATIONS 9 AND 21 READ WITH CLAUSES A(1), A(2), A(3) AND A(5) OF CODE OF CONDUCT SPECIFIED IN SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF WASANKAR WEALTH MANAGEMENT LTD. AND WASANKAR INVESTMENT

DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE TRANSACTIONS VIOLATING REGULATION 15 READ WITH CLAUSES A(1), A(2) AND D(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS & SUB-BROKERS) REGULATIONS, 1992 IN MATTER OF WASANKAR WEALTH MANAGEMENT LTD. AND WASANKAR INVESTMENT   		IMPOSED PENALTY RS.4,00,000

20-MAR-2020 		SEBI VIDE ITS NOTICE DATED 31/12/2021 DIRECTED TO PAY A RS.4,86,611.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SEBI VIDE ITS NOTICE DATED 01/02/2022 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED  
62
History of entity/person YOKE SECURITIES LTD.

(Member : NSE/BSE/OTC)  
  ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS

ALLEGED VIOLATION OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992

ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

ALLEGED VIOLATION OF SEBI ACT, 1992   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)

20-MAY-2009 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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