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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.

PERSONS: VIOLATED SEBI (RESEARCH ANALYST) REGULATIONS, 2014

S.No. PERSON ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
81
History of entity/person PRITAM PRABODH DEUSKAR

(PAN:ALFPD0936Q)  
  DID NOT CONDUCT ANNUAL AUDIT IN RESPECT OF COMPLIANCE WITH SEBI (RESEARCH ANALYST) REGULATION, 2014 TILL THE INFORMATION RELATED TO ANNUAL AUDIT WAS SOUGHT BY SEBI VIOLATING REGULATION 25(3) AND CLAUSES 2 AND 7 OF CODE OF CONDUCT AS SPECIFIED IN THIRD SCHEDULE UNDER REGULATION 24(2) OF SEBI RA REGULATIONS, 2014   IMPOSED PENALTY RS.1,00,000

11-FEB-2025
 
82
History of entity/person PRIYANKA YADAV

(PAN:AFWPY1505P)  
Click here to view complete history of this specific entity/person TRADE MONEY RESEARCH

PAN:AFWPY1505P
 
OBTAIN REGISTRATION FROM SEBI IN HER NAME BUT CARRIED OUT ITS RESEARCH ADVISORY SERVICES THROUGH MR.SANDEEP YADAV A PERSON DEBARRED BY SEBI FROM DEALING IN SECURITIES MARKET

CONCEALED THE FACT TO THE CLIENTS THAT THE OPERATIONS OF WERE BEING RUN BY A PERSON DEBARRED BY SEBI FROM SECURITIES MARKET’

DID NOT CONDUCT ANNUAL AUDIT FROM MEMBER OF ICAI/ICSI

DID NOT FURNISH REQUISITE INFORMATION TO SEBI  
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, WHATSOEVER INCLUDING BY UNDERTAKING EITHER DIRECTLY OR INDIRECTLY ANY ACTIVITY IN NATURE OF RESEARCH ANALYST SERVICES FROM 29-JUL-2025 TO 28-JUL-2027

DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY

DIRECTED TO SEND ELECTRONIC MAIL TO CLIENTS

DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT

IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS

29-JUL-2025
 
83
History of entity/person PUNIT KUMAR

(PAN:AQHPK8566C)  
Click here to view complete history of this specific entity/person SHRIMONEY

PAN:AQHPK8566C
 
MISLED CLIENTS BY MAKING ASSURED PROFIT COMMITMENT

DID NOT MAINTAIN RATIONALES OF ALL THE RECOMMENDATIONS AND DID NOT CAPTURE SUPPORTING DATA IN RATIONALE  
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS

27-JAN-2025
 
84
History of entity/person PUNIT KUMAR

(PAN:AQHPK8566C)  
Click here to view complete history of this specific entity/person SHRIMONEY

PAN:AQHPK8566C
 
MISLED CLIENTS BY MAKING ASSURED PROFIT COMMITMENT

DID NOT MAINTAIN RATIONALES OF ALL THE RECOMMENDATIONS  
PROHIBITED FROM TAKING NEW CLIENTS AS RESEARCH ANALYST FROM 06-OCT-2025 TO 05-NOV-2025

06-OCT-2025
 
85
History of entity/person PUROOSKHAN

(PAN:BCMPP7058L)  
  ALLOWED TO CONTINUE TO USE HIS SEBI REGISTRATION DETAILS ON THE WEBSITE OF OPTION RESEARCH CONSULTANCY WHICH WAS ACTING AS INVESTMENT ADVISOR WITHOUT SEBI REGISTERED

AIDED AND ABETTED OPTION RESEARCH CONSULTANCY IN FRAUDULENTLY COLLECTING INVESTMENT ADVISORY FEES FROM INVESTORS/CLIENTS  
CANCELLED REGISTRATION AS RESEARCH ANALYST FROM 12-DEC-2025

12-DEC-2025
 
86
History of entity/person RAHUL

(PAN:ALQPB6255K)  
  DID NOT PAY RENEWAL FEE AS RESEARCH ANALYST   CANCELLED REGISTRATION AS RESEARCH ANALYST FROM 27-MAR-2025

27-MAR-2025
 
87
History of entity/person RAJESH RANJAN

(PAN:AROPR5161Q)  
Click here to view complete history of this specific entity/person KM FINANCIALS

PAN:AROPR5161Q
 
ACTED AS RESEARCH ANALYST WITHOUT SEBI REGISTRATION   DIRECTED TO REFUND MONEY TO THE INVESTORS

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

PROHIBITED FROM TAKING NEW CLIENTS AS RESEARCH ANALYST FROM 22-APR-2022 TILL THE COMPLETION OF REFUNDS TO COMPLAINANTS/CLIENTS

WARNED & CAUTIONS TO EXERCISE DUE CARE & DILIGENCE, IN FUTURE CONDUCT AS RESEARCH ANALYST

22-APR-2022
SAT: SAT VIDE ITS ORDER DATED 06/02/2023 ALLOWED THE APPEAL AND MATTER REMITTED TO WTM TO PASS FRESH ORDER

SEBI VIDE ITS ORDER DATED 26/04/2024 DIRECTED THAT THE DIRECTIONS ISSUED VIDE ORDER DATED 22/04/2022 WILL REMAIN IN FORCE TILL COMPLETION OF COMPLIANCE OF REFUND TO CLIENTS/INVESTORS

SAT: SAT VIDE ITS ORDER DATED 03/07/2025 CONDONED THE DELAY OF 318 DAYS IN FILING OF APPEAL. ACCEPTED APPELLANT SUBMISSION AND PERMITTED APPELLANT TO CARRY ON HIS PROFESSION AS RESEARCH ANALYST BY ENROLLING NEW CLIENTS. NO COSTS  
88
History of entity/person RAKESH GUPTA

(PAN:ABZPG7813P)  
  DID NOT PAY RENEWAL FEE AS RESEARCH ANALYST   CANCELLED REGISTRATION AS RESEARCH ANALYST FROM 27-MAR-2025

27-MAR-2025
 
89
History of entity/person RAVI MANOHARLAL KATARIA

(PAN:ARBPK1107E)  
  DID NOT PAY RENEWAL FEE AS RESEARCH ANALYST   CANCELLED REGISTRATION AS RESEARCH ANALYST FROM 27-MAR-2025

27-MAR-2025
 
90
History of entity/person RISHBHA BANTHIA

(PAN:AMYPB9003A)  
Click here to view complete history of this specific entity/person CAPITALSTARS FINANCIAL RESEARCH PVT.LTD.

PAN:AAECC5843N
 
DID NOT CARRY OUT RISK PROFILING OF CLIENTS

USED LEADING AND VAGUE QUESTIONS IN RISK PROFILING FORM

COLLECTED INSUFFICIENT AND INCOMPLETE INFORMATION WITHOUT SUPPORTING DOCUMENTS THROUGH RISK PROFILING QUESTIONNAIRE

OFFERED PRODUCTS/SERVICES WITHOUT ASSESSING APPROPRIATE RISK BEARING CAPACITY OF THE CLIENTS

CARRIED OUT IMPROPER RISK PROFILING OF CLIENTS

CHARGED SERVICE FEES DISPROPORTIONATE TO ANNUAL INCOME/PROPOSED INVESTMENT

SOLD ADVISORY SERVICES/PACKAGES TO SAME CLIENTS ON MULTIPLE OCCASION AT DIFFERENT ARBITRARY PRICE FOR FUTURE/OVERLAPPING PERIOD WHILE EXISTING SUBSCRIPTION WAS ACTIVE

DID NOT MAINTAIN RECORDS OF COMMUNICATION WITH CLIENTS DURING RISK PROFILING AND SUITABILITY ASSESSMENT OF ADVICE/SELECTION OF ADVISORY PRODUCT/SERVICES

DID NOT REPORT SUSPICIOUS TRANSACTIONS UNDER PMLA/AML PROVISONS

DID NOT HAVE REQUISITE NISM CERTIFICATES AT ALL TIMES TO PROVIDE INVESTMENT ADVICE

PROVIDED FALSE INFORMATION REGARDING DETAILS OF COMPLIANCE OFFICER

DID NOT OBTAIN NISM CERTIFICATION AS RESEARCH ANALYST

DID NOT COMMUNICATE RISK PROFILE TO CLIENTS  
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 16-DEC-2022 TO 15-MAR-2023

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-DEC-2022 TO 15-MAR-2023

DIRECTED TO RESOLVE ALL PENDING COMPLAINTS

DIRECTED TO UPDATE AML, PMLA POLICY AS PER SEBI MASTER CIRCULAR DATED 15/10/2019 AND APPOINT DESIGNATED DIRECTORS AS PER SEBI CIRCULAR DATED 12/03/2014 WITHIN THREE MONTHS

IMPOSED PENALTY RS.12,00,000 ALONG WITH OTHER ENTITIES/PERSONS

16-DEC-2022
 
91
History of entity/person ROHIT NAGRAJ

(PAN:ACMPT4282H)  
  DID NOT PAY RENEWAL FEE AS RESEARCH ANALYST   CANCELLED REGISTRATION AS RESEARCH ANALYST FROM 27-MAR-2025

27-MAR-2025
 
92
History of entity/person S.SATHISH KUMAR  
  DID NOT PAY RENEWAL FEE AS RESEARCH ANALYST   CANCELLED REGISTRATION AS RESEARCH ANALYST FROM 27-MAR-2025

27-MAR-2025
 
93
History of entity/person SADDAM HUSSAIN

(PAN:AFLPH4418M)  
Click here to view complete history of this specific entity/person MR CAPITAL

PAN:AFLPH4418M
 
ACTED AS RESEARCH ANALYST 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 ACCEPT REFUND CLAIMS/REQUESTS FROM THE PUBLIC

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 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-JAN-2023

31-JAN-2023
SEBI VIDE ITS NOTICE DATED 12/12/2023 DIRECTED TO PAY RS.17,04,469.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SEBI VIDE ITS ORDER DATED 05/08/2024 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED  
94
History of entity/person SAKET GODBOLE

(PAN:AGIPG6916B)  
  DID NOT PAY RENEWAL FEE AS RESEARCH ANALYST   CANCELLED REGISTRATION AS RESEARCH ANALYST FROM 27-MAR-2025

27-MAR-2025
 
95
History of entity/person SAMEER KALRA

(PAN:ANTPK0360R)  
  DID NOT PAY RENEWAL FEE AS RESEARCH ANALYST   CANCELLED REGISTRATION AS RESEARCH ANALYST FROM 27-MAR-2025

27-MAR-2025
 
96
History of entity/person SAMEER PANDE

(PAN:AMAPP3518Q)  
Click here to view complete history of this specific entity/person NIFTYPRO TRADING RESEARCH

PAN:AMAPP3518Q
 
USED WORDS BEST AND ACCURATE ON ITS WEBSITE PROHIBITED AS PER SEBI CIRCULAR

DISPLAYED MISLEADING AND/OR DECEPTIVE TESTIMONIALS ON ITS WEBSITE

DID NOT MENTION ITS PAST PERFORMANCE ON ITS WEBSITE

MISLED CLIENTS BY MAKING ASSURED PROFIT COMMITMENT

MADE SPECIFIC CLAIMS OF EXPECTED RETURNS TO POTENTIAL CLIENTS  
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

14-MAY-2025
 
97
History of entity/person SAMIR ARVIND SHAH

(PAN:AYQPS8253F)  
  DID NOT PAY RENEWAL FEE AS RESEARCH ANALYST   CANCELLED REGISTRATION AS RESEARCH ANALYST FROM 27-MAR-2025

27-MAR-2025
 
98
History of entity/person SANJAY GOYAL

(PAN:AIXPG7506J)  
  DID NOT PAY RENEWAL FEE AS RESEARCH ANALYST   CANCELLED REGISTRATION AS RESEARCH ANALYST FROM 27-MAR-2025

27-MAR-2025
 
99
History of entity/person SANTOSH GAJANDER SINGH

(PAN:DAQPS5163B)  
  INDULGED IN SENDING BULK SMS WITH BUY RECOMMENDATIONS WITH ULTIMATE GOAL OF OFFLOADING SHAREHOLDING OF PROMOTERS/DIRECTORS IN MATTER OF SUPREME TEX MART LTD.

ACTED AS INVESTMENT ADVISOR OR RESEARCH ANALYST VIOLATING SECTION 12(1) OF SEBI ACT READ WITH REGULATION 3(1) OF SEBI (RESEARCH ANALYSTS) REGULATIONS, 2014 IN MATTER OF SUPREME TEX MART LTD.  
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-NOV-2017 TO 31-OCT-2023

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-NOV-2017 TO 31-OCT-2023

DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS

DIRECTED TO CEASE & DESIST FROM DISSEMINATING NEWS OR MESSAGES IN ANY FORM RELATED TO SECURITIES MARKET, BY ANY MEANS WHATSOEVER FROM 01-NOV-2017 TO 31-OCT-2023

01-NOV-2017
SEBI VIDE ITS ORDER DATED 06/07/2022 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATING WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER FOR SIX YEARS B) DURING THE PERIOD OF RESTRAINT EXISTING HOLDING, INCLUDING UNITS OF MUTUAL FUNDS TO REMAIN FROZEN  
100
History of entity/person SAUMYA KALA

(PAN:CDXPK7038J)  
Click here to view complete history of this specific entity/person CYPRESS MONEY INVESTMENT ADVISER

PAN:AAKFC7589G
 
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION

ACTED AS RESEARCH ANALYST WITHOUT SEBI REGISTRATION  
DIRECTED TO CEASE & DESIST FROM ACTING AS AN INVESTMENT ADVISOR AND/OR RESEARCH ANALYST AND CEASE TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER UNREGISTERED ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 03-MAY-2018 TO 02-MAY-2021

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-MAY-2018 TO 02-MAY-2021

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-MAY-2018 TO 02-MAY-2021

DIRECTED NOT TO COLLECT ANY MONEY AND/OR FEE FROM 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 FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-MAY-2018 TO 02-MAY-2021

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-MAY-2018 TO 02-MAY-2021

RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 03-MAY-2018 TO 02-MAY-2021

01-JUN-2017
SEBI VIDE ITS ORDER DATED 03/05/2018 DIRECTED TO A) REFUND THE MONEY RECEIVED FROM ITS CLIENTS AS FEES/PROFIT SHARING/COMPENSATION IN ANY OTHER FORM, IN RESPECT OF ITS UNREGISTERED INVESTMENT ADVISORY ACTIVITIES AND UNREGISTERED RESEARCH ANALYST 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 THE MODALITIES FOR REFUND C) REPAYMENTS TO THE CLIENTS SHALL BE EFFECTED ONLY THROUGH BANK DEMAND DRAFT OR PAY ORDER D) PREVENTED FROM SELLING THEIR ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES IN DEMAT AND PHYSICAL FORM EXCEPT FOR THE SOLE PURPOSE OF MAKING THE REFUNDS E) SUBMIT A CERTIFICATE FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS WHO ARE IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION, WITHIN A PERIOD OF 3 MONTHS FROM THE DATE OF THIS ORDER F) NOT TO, DIRECTLY OR INDIRECTLY, ACCESS SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER ANY MANNER FOR A PERIOD OF THREE YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS G) 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 A PERIOD OF THREE YEARS FROM THE DATE OF COMPLETION OF REFUNDS TO INVESTORS H) NOT TO UNDERTAKE, EITHER DIRECTLY OR INDIRECTLY, INVESTMENT ADVISORY SERVICES OR ANY ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI AFTER EXPIRY OF PERIOD OF DEBARMENT

SEBI VIDE ITS NOTICE DATED 12/02/2019 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

SEBI VIDE ITS ORDER DATED 13/12/2019 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS,DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF DEFAULTERS WHICH WERE ATTACHED PURSUANT TO NOTICE OF ATTACHMENT DATED 12/02/2019  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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