| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 101 |
|
MONEY CLASSIC
(PAN:BLVPM9284R)
|
|
|
|
DEEPAK MISHRA
PAN:BLVPM9284R
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
DID NOT REDRESS INVESTOR COMPLAINTS
NOT A FIT & PROPER PERSON TO ACT AS AN INVESTMENT ADVISOR
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 29-DEC-2023 TO 28-DEC-2024
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 29-DEC-2023 TO 28-DEC-2024
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
DIRECTED TO FURNISH REPORT TO SEBI DULY CERTIFIED BY CHARTERED ACCOUNTANT RESOLVED ALL COMPLAINTS
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 29-DEC-2023 TO 28-DEC-2024
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
29-DEC-2023
|
|
| 102 |
|
|
MONEY DESIRE RESEARCH
(PAN:AAYFM6388F)
|
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
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
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 28-NOV-2022
28-NOV-2022
|
|
| 103 |
|
|
MONEY INDIA RESEARCH
|
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 21-AUG-2026
21-AUG-2026
|
|
| 104 |
|
|
MONEY MAKER RESEARCH & INVESTMENT ADVISOR PVT.LTD.
|
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 11-SEP-2026
11-SEP-2026
|
|
| 105 |
|
|
MONEY MARKET MANTHAN FINANCIAL SERVICES
(PAN:AWDPK4671L)
|
|
|
|
VICKY KAMARIYA
PAN:AWDPK4671L
|
|
DID NOT PROVIDE INFORMATION TO SEBI
DIVULGED SENSITIVE/CONFIDENTIAL CLIENT INFORMATION TO THIRD PARTY
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
SOLD ADVISORY SERVICES/PRODUCTS TO CLIENTS HAVING DIFFERENT NAMES BUT SAME FEATURE
DID NOT HAVE REQUISITE NISM CERTIFICATES AT ALL TIMES TO PROVIDE INVESTMENT ADVICE
DID NOT MAINTAIN RECORDS OF COMMUNICATION WITH CLIENTS DURING RISK PROFILING AND SUITABILITY ASSESSMENT OF ADVICE/SELECTION OF ADVISORY PRODUCT/SERVICES
SOLD MULTIPLE PRODUCTS AND CHARGED UNREASONABLE FEES AND/OR SERVICE CHARGE
DID NOT MAKE DISCLOSURE TO CLIENTS OF ALL MATERIAL FACTS/INFORMATION ABOUT BUSINESS, DISCIPLINARY HISTORY, AFFILIATION WITH OTHER INTERMEDIARIES
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES IN STIPULATED TIME
DID NOT APPOINT PRINCIPAL OFFICER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 14-JUL-2023
14-JUL-2023
|
|
| 106 |
|
|
MONEYBEE INVESTMENT ADVISORS PVT.LTD.
|
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 14-AUG-2026
14-AUG-2026
|
|
| 107 |
|
|
N2 CAPITAL ADVISORY LLP
(PAN:AAINF8399M)
|
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR
07-AUG-2026
|
|
| 108 |
|
|
NEURO INVESTMENT ADVISOR
(PAN:BTKPP6517P)
|
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR
27-NOV-2025
|
|
| 109 |
|
|
NIDHI CONSULTANTS
(PAN:AAEFN2546E)
|
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 10-SEP-2025
10-SEP-2025
|
|
| 110 |
|
|
NIVESHICON INVESTMENT ADVISORY
(PAN:BEDPG9199C)
|
|
|
|
VEERENDRA KUMAR GUPTA
PAN:BEDPG9199C
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR
27-NOV-2025
|
|
| 111 |
|
|
NIVESHSHALA,M/S
(PAN:AJOPD2243F)
|
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 21-JUL-2026
21-JUL-2026
|
|
| 112 |
|
|
ONLY PROFIT INDIA
|
|
|
|
SHABNAM KHAN
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 22-SEP-2026
22-SEP-2026
|
|
| 113 |
|
|
OPEN WORLD MONEY PLANNING SOLUTIONS LTD.
|
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 11-SEP-2026
11-SEP-2026
|
|
| 114 |
|
|
OSAR CAPITAL
(PAN:AOFPA9923H)
|
|
|
|
AMIT BABURAO AHIRE
PAN:AOFPA9923H
|
|
ALLOWED HBJ CAPITAL SERVICES PVT.LTD., AN ENTITY RESTRAINED BY SEBI FROM ACTING AS AN ADVISOR, TO PROVIDE INVESTMENT ADVISORY SERVICES USING HIS SEBI REGISTRATION AND ALSO IN HIS PROPRIETORY CONCERN OSAR CAPITAL
DID NOT PROVIDE DETAILS OF PROPRIETARY CONCERN FORMED BY HIM PURSUANT TO REGISTRATION GRANTED BY 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 10-JAN-2018 TO 09-JAN-2022
RESTRAINED FROM PROVIDING INVESTMENT ADVISORY SERVICES FROM 10-JAN-2018 TO 09-JAN-2022
DIRECTED TO DISGORGE RS.1,20,000 ALONG WITH OTHER ENTITIES/PERSONS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-JAN-2018 TO 09-JAN-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-JAN-2018 TO 09-JAN-2022
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 10-JAN-2018 TO 09-JAN-2022
17-MAR-2016
|
SEBI VIDE ITS ORDER DATED 10/01/2018 DIRECTED TO 1)) SURRENDER THE UNLAWFUL GAINS OF RS.1,20,000 WITHIN A PERIOD OF 3 MONTHS TO SEBI 2) NOT TO DIRECTLY OR INDIRECTLY ACCESS SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET DIRECTLY OR INDIRECTLY IN WHATSOEVER MANNER, TILL EXPIRY OF 4 YEARS FROM THE DATE OF PAYMENT 3) NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY INVESTMENT ADVISORY SERVICES OR ANY ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING A CERTIFICATE OF REGISTRATION FROM SEBI AS REQUIRED UNDER THE SECURITIES LAWS AFTER THE EXPIRY OF PERIOD OF DEBARMENT
SEBI VIDE ITS ORDER DATED 27/06/2019 CANCELLED CERTIFICATE OF REGISTRATION GRANTED AS INVESTMENT ADVISOR
|
| 115 |
|
|
PACE RESEARCH
|
|
|
|
RAJAT SINH
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 21-AUG-2026
21-AUG-2026
|
|
| 116 |
|
|
PALADIN CAPITAL MANAGEMENT LLP
(PAN:AATFP6057D)
|
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 10-SEP-2025
10-SEP-2025
|
|
| 117 |
|
|
PATTERN EFFECTS LABS PVT.LTD.
|
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 11-SEP-2026
11-SEP-2026
|
|
| 118 |
|
|
PFC CAPITAL ADVISORY SERVICES LTD.
(PAN:AAGCP2495R)
|
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 25-APR-2025
25-APR-2025
|
|
| 119 |
|
|
PINNACLE FINANCIAL SERVICES
|
|
|
|
ABHISHEK PATEL
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 21-AUG-2026
21-AUG-2026
|
|
| 120 |
|
|
PODIUM MARKET RESEARCH
(PAN:AMCPK0541Q)
|
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR
07-AUG-2026
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 6 of 9
|
