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 : 04-NOV-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: CANCELLED REGISTRATION AS INVESTMENT ADVISOR

S.No.

PERSON

ENTITY

REGULATORY CHARGES

REGULATORY ACTION(S) / DATE OF ORDER

FURTHER DEVELOPMENTS

161

PINTU BHAVSAR (AKA.HIMANSHU BHARATKUMAR BHAVSAR)

(PAN:AJVPB0407A)

DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER

CANCELLED REGISTRATION AS INVESTMENT ADVISOR

07-AUG-2026

162

PIYUSH JAIN

(PAN:AMAPJ2811L)

DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER

CANCELLED REGISTRATION AS INVESTMENT ADVISOR

07-AUG-2026

163

PIYUSH JAIN

(PAN:ATCPJ2297H)

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WEALTHMAX SOLUTION INVESTMENT ADVISER

PAN:ATCPJ2297H

DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER

DID NOT RENEW NISM REGISTRATION

DID NOT OBTAIN MEMBERSHIP FROM BSE ADMINISTRATION & SUPERVISION LTD. (BASL)

CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 09-APR-2026

09-APR-2026

164

POOJA ANILBHAI THAKAR

(PAN:AESPT5257J)

DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER

CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 10-SEP-2025

10-SEP-2025

165

POONAM GAUTAM

(PAN:AWYPG8752B)

UNIQUE RESEARCH

PAN:AWYPG8752B

DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER

CANCELLED REGISTRATION AS INVESTMENT ADVISOR

07-AUG-2026

166

PRABUDDHA ROY

(PAN:AIBPR8248L)

DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER

CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 21-JUL-2026

21-JUL-2026

167

PRAKASH PYNADATH

DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER

CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 10-SEP-2026

10-SEP-2026

168

PRASHANT GOLE

(PAN:BAAPG4714Q)

CAPITAL GROW FINANCIAL SERVICES

PAN:BAAPG4714Q

DID NOT INFORM SEBI ABOUT CHANGE OF ADDRESS

DID NOT OBTAIN MEMBERSHIP FROM BSE ADMINISTRATION & SUPERVISION LTD. (BASL)

CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 15-MAR-2024

15-MAR-2024

169

PRATIK BAJAJ

(PAN:AOGPB8408M)

DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER

CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 21-JUL-2026

21-JUL-2026

170

PRAVEEN VERMA

(PAN:AISPV5820B)

INVESTMENT VISOR

PAN:AISPV5820B

PROVIDED INVESTMENT ADVICE ON FREE TRIALS TO CLIENTS

PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS

DID NOT POSSESS NISM CERTIFICATE

SOLD PRODUCTS TO CLIENTS WHICH WERE NOT SUITABLE TO RISK PROFILE OF THE CLIENTS

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

DID NOT CO-OPERATE AND NOT SUBMITTED DOCUMENTS DURING INSPECTION

DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR�S GRIEVANCES IN STIPULATED TIME

CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 07-JUN-2023

07-JUN-2023

171

PRAVIN KUMAR JAIN

(PAN:AADPJ4747L)

DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER

CANCELLED REGISTRATION AS INVESTMENT ADVISOR

27-NOV-2025

172

PRERNA SHARMA

(PAN:BJEPS7547A)

DID NOT RENEW NISM CERTIFICATE

DID NOT SUBMIT PERIODIC REPORTS TO INVESTMENT ADVISER ADMINISTRATION AND SUPERVISORY BODY (IAASB)

CANCELLED REGISTRATION AS INVESTMENT ADVISOR

11-JUN-2026

173

PRITHVIRAJ MEENA

DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER