| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 121 |
|
MANOJ JEEVRAJ RATHORE
(PAN:ABWPR4756K)
|
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR
27-NOV-2025
|
|
| 122 |
|
|
MAYANK SINGH
(PAN:AXVPS8097B)
|
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 25-APR-2025
25-APR-2025
|
|
| 123 |
|
|
MAYUR JOSHI
(PAN:AEJPJ0812Q)
|
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR
07-AUG-2026
|
|
| 124 |
|
|
MITESH KAMDAR
(PAN:AADPK0912E)
|
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR
27-NOV-2025
|
|
| 125 |
|
|
MOHIT MANGHNANI
(PAN:CXGPM4395H)
|
|
|
|
WEALTHIT GLOBAL
PAN:CXGPM4395H
|
|
DID NOT RENEW NISM REGISTRATION
DID NOT HAVE QUALIFICATION TO CONTINUE TO ACT AS REGISTERED INVESTMENT ADVISER
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
SOLD MULTIPLE PRODUCTS AND CHARGED UNREASONABLE FEES AND/OR SERVICE CHARGE
DID NOT CO-OPERATE IN PROVIDING INFORMATION TO SEBI FOR THE PURPOSE OF EXAMINATION OF ITS AFFAIRS
DID NOT PROVIDE MATERIAL INFORMATION TO SEBI
DID NOT COMMUNICATE RISK PROFILE TO CLIENTS
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES IN STIPULATED TIME
DID NOT REDRESS INVESTOR COMPLAINTS
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 30-APR-2023
31-MAR-2023
|
SAT: SAT VIDE ITS ORDER DATED 25/07/2023 CONDONED THE DELAY IN FILING OF APPEAL. ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER 31/03/2023. MATTER REMITTED BACK TO SEBI TO PASS FRESH ORDER IN ACCORDANCE WITH LAW
|
| 126 |
|
|
MOIZ A.CHOOLAWALA
(PAN:AQAPM2596D)
|
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR
27-NOV-2025
|
|
| 127 |
|
|
MONA BAJAJ
(PAN:ADBPA0831B)
|
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 25-APR-2025
25-APR-2025
|
|
| 128 |
|
|
MUDASSIR HASAN
(PAN:AGDPH7770D)
|
|
|
|
ALLIANCE RESEARCH
PAN:AGDPH7770D
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 21-JUL-2026
21-JUL-2026
|
|
| 129 |
|
|
NAGARAJU GAJJALA
|
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 10-SEP-2026
10-SEP-2026
|
|
| 130 |
|
|
NAGESWARARAO KHANDAVALLI
(PAN:AKVPK4402H)
|
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 25-APR-2025
25-APR-2025
|
|
| 131 |
|
|
NALINI JINDAL
(PAN:AFWJP1649B)
|
|
|
|
ROTHAMANS INVESTMENT ADVISORY
PAN:AFWJP1649B
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR
07-AUG-2026
|
|
| 132 |
|
|
NAMRATA PATEL
(PAN:AZYPP7566P)
|
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 21-JUL-2026
21-JUL-2026
|
|
| 133 |
|
|
NANDITA ASHISH SHIVALKAR
(PAN:CBSPS0523B)
|
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 25-APR-2025
25-APR-2025
|
|
| 134 |
|
|
NARASIMHA RAJU LAKKARAJU
|
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 14-AUG-2026
14-AUG-2026
|
|
| 135 |
|
|
NARAYANASWAMY RAMACHANDRAN
|
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 21-AUG-2026
21-AUG-2026
|
|
| 136 |
|
|
NARENDER KRISHNANI
(PAN:AVJPK8314M)
|
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 25-APR-2025
25-APR-2025
|
|
| 137 |
|
|
NARENDRA SINGH TANWAR
(PAN:AINPT0227B)
|
|
|
|
CAPITAL TRUE FINANCIAL SERVICES
PAN:AINPT0227B
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
OBTAINED REGISTRATION FROM SEBI BY PRODUCING FALSE AND FABRICATED DOCUMENTS TO PROVE HIS ELIGIBILITY TO WORK AS AN INVESTMENT ADVISOR
|
CEASED AND 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 05-JUN-2020 TO 04-JUN-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 05-JUN-2020 TO 04-JUN-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 05-JUN-2020 TO 04-JUN-2022
DIRECTED TO SUBMIT LIST OF CLIENTS AND FEE COLLECTED FROM THEM
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 05-JUN-2020 TO 04-JUN-2022
CEASED AND DESIST FROM ACTING AS AN INVESTMENT ADVISER
DIRECTED NOT TO USE TERM ‘INVESTMENT ADVISER’ DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER ON LETTER-HEAD, WEBSITE, SIGNAGE BOARD OR OTHERWISE
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 05-JUN-2020 TO 04-JUN-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
06-NOV-2018
|
SEBI VIDE ITS ORDER DATED 05/06/2020 A) CANCELLED CERTIFICATE OF REGISTRATION AS INVESTMENT ADVISER AND CEASE AND DESIST FROM ACTING AS INVESTMENT ADVISER C) DIRECTED TO NOT TO USE THE TERM ‘INVESTMENT ADVISER’ DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER ON LETTER-HEAD, WEBSITE, SIGNAGE BOARD OR OTHERWISE D) DEBARRED 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, FOR TWO YEARS E) DURING PERIOD OF RESTRAINT FREEZED EXISTING HOLDING, INCLUDING MUTUAL FUNDS UNITS
|
| 138 |
|
|
NEHA GUPTA
(PAN:BEHPG5479R)
|
|
|
|
TRADE INDIA RESEARCH
PAN:BEHPG5479R
|
|
CHARGED UNREASONABLE, ARBITRARILY AND INCONSISTENT FEE
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
SOLD ADVISORY SERVICES/PRODUCTS TO CLIENTS WITHOUT ENSURING SUITABILITY OF ADVICE ACCORDING TO THEIR RISK PROFILE
PROVIDED INVESTMENT ADVICE WITHOUT CONSENT OF THE CLIENTS
DID NOT OBTAIN AND/OR MAINTAIN ANY DOCUMENTS FOR KNOW YOUR CLIENTS (KYC), RISK PROFILING, SUITABILITY, ACKNOWLEDGEMENT FROM CLIENTS, COMMUNICATION WITH CLIENTS/INVESTORS, CALL RECORDING OF CARRYING OUT RISK PROFILING AND RATIONALE FOR ADVISORY SERVICES ETC.
DID NOT INTIMATE SEBI ABOUT MATERIAL CHANGE IN INFORMATION
MANIPULATED AND FORCED CLIENT TO PAY MORE AND MORE FEES WITH THREAT OF FORFEITURE
PROVIDED EXECUTION SERVICES TO CLIENT
MOBILIZED MONEY FROM CLIENT IN DECEITFULLY AND CREATED FAKE PORTFOLIO
CONCEALED INFORMATION IN APPLICATION FORM FOR GRANT OF REGISTRATION CERTIFICATE
REPRESENTATIVES/EMPLOYEES DID NOT HAVE REQUISITE QUALIFICATION AND CERTIFICATION
DID NOT REDRESS INVESTOR COMPLAINTS
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 30-NOV-2023
30-NOV-2023
|
|
| 139 |
|
|
NEHA GUPTA
(PAN:BEHPG5479R)
|
|
|
|
TRADE INDIA RESEARCH
PAN:BEHPG5479R
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 22-SEP-2026
22-SEP-2026
|
|
| 140 |
|
|
NIKHIL DAYANAND BALJEKAR
(PAN:ABYPB7880N)
|
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 21-JUL-2026
21-JUL-2026
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 7 of 14
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