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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 : 16-DEC-2025

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: CANCELLED REGISTRATION AS INVESTMENT ADVISOR

S.No. PERSON ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
141
History of entity/person UTTAM KUMAR K.

(PAN:DUQPK6284M)  
  DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER   CANCELLED REGISTRATION AS INVESTMENT ADVISOR

27-NOV-2025 		 
142
History of entity/person VAIBHAV SHARMA

(PAN:EHVPS8595A)  
Click here to view complete history of this specific entity/person STOCKEY INVESTMENT ADVISORS

PAN:EHVPS8595A
  		DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER   CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 25-APR-2025

25-APR-2025 		 
143
History of entity/person VARDHAN KOSHAL

(PAN:AVGPK9584N)  
  DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER   CANCELLED REGISTRATION AS INVESTMENT ADVISOR

27-NOV-2025 		 
144
History of entity/person VARUN JALAN

(PAN:AFJPJ1156L)  
  DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER   CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 25-JUL-2025

25-JUL-2025 		 
145
History of entity/person VARUN RUIA

(PAN:ARWPR3399G)  
  DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER   CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 25-APR-2025

25-APR-2025 		 
146
History of entity/person VEER BHARTIYA

(PAN:ALEPB7617F)  
  DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER   CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 25-APR-2025

25-APR-2025 		 
147
History of entity/person VEERENDRA KUMAR GUPTA

(PAN:BEDPG9199C)  
Click here to view complete history of this specific entity/person NIVESHICON INVESTMENT ADVISORY

PAN:BEDPG9199C
  		DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER   CANCELLED REGISTRATION AS INVESTMENT ADVISOR

27-NOV-2025 		 
148
History of entity/person VENKATESH PUTHIGE

(PAN:AFIPP9828A)  
  DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER   CANCELLED REGISTRATION AS INVESTMENT ADVISOR

27-NOV-2025 		 
149
History of entity/person VICKY KAMARIYA

(PAN:AWDPK4671L)  
Click here to view complete history of this specific entity/person MONEY MARKET MANTHAN FINANCIAL SERVICES

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 		 
150
History of entity/person VIKRAM MALHOTRA

(PAN:AGBPM9919P)  
  DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER   CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 25-APR-2025

25-APR-2025 		 
151
History of entity/person VINEET VIMAL JAIN

(PAN:AEMPJ9471N)  
  DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER   CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 25-APR-2025

25-APR-2025 		 
152
History of entity/person VIPUL RATAN

(PAN:AGHPR8935Q)  
  DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER   CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 25-APR-2025

25-APR-2025 		 
153
History of entity/person VIRAL NAVINCHANDRA KENIA

(PAN:AKZPK2235L)  
Click here to view complete history of this specific entity/person F7 FINANCIAL PLANNER

PAN:AKZPK2235L
  		DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER   CANCELLED REGISTRATION AS INVESTMENT ADVISOR

27-NOV-2025 		 
154
History of entity/person VISHAL BANSAL

(PAN:AJZPB1630K)  
  DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER   CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 10-SEP-2025

10-SEP-2025 		 
155
History of entity/person VIVEKANAND RAMNATH DEVHARE

(PAN:AJAPD4663M)  
  DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER   CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 10-SEP-2025

10-SEP-2025 		 
156
History of entity/person YOGESH KADAM

(PAN:BLLPK9780Q)  
  DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER   CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 25-APR-2025

25-APR-2025 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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