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: 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

S.No.

PERSON

ENTITY

REGULATORY CHARGES

REGULATORY ACTION(S) / DATE OF ORDER

FURTHER DEVELOPMENTS

161

DEEPAK GOEL

(PAN:ADEPG1122G)

Click here to view complete history of this specific entity/person

F6 FINSERVE PVT.LTD.

PAN:AABCF0080D

DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS

FUNDS RECEIVED IN CLIENT A/C TRANSFERRED TO OVERDRAFT BANK A/C

USED SECURITIES FROM CLIENTS TO MEET OBLIGATION OF ANOTHER CLIENT

MIS-UTILIZED SECURITIES FOR SETTLEMENT OF PRO/OWN OBLIGATION

RECEIVED SECURITIES FROM THIRD PARTY IN ITS CLIENTS A/C

DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES

MISUTILIZED CLIENTS FUNDS FOR DEBIT OBLIGATION OF OWN/OTHER CLIENTS

RAISED FUNDS BY PLEDGING SECURITIES OF CLIENTS

INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES

INDULGED IN TRANSFER OF RS.5.51 CRORE (APPROX) BETWEEN F6 SECURITIES PVT.LTD. AND F6 COMMODITIES PVT.LTD.

DID NOT CO-OPERATE AND PROVIDE COMPLETE INFORMATION TO INSPECTION AUTHORITY VIOLATING OF REGULATION 21 OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992

DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO THE STATUTORY REQUIREMENTS VIOLATING REGULATION 9(F) READ WITH CLAUSES A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-JUN-2022 TO 08-JUN-2027

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-JUN-2022 TO 08-JUN-2027

DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 09-JUN-2022 TO 08-JUN-2027

DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS

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

DIRECTED TO UTILIZE ASSETS OF THE ENTITIES ONLY FOR THE PURPOSE OF PAYMENT OF MONEY AND/OR DELIVERY OF SECURITIES, AS THE CASE MAY BE, TO CLIENTS/INVESTORS UNDER THE SUPERVISION OF CONCERNED STOCK EXCHANGE(S)

DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS

DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES

RESTRAINED AND FURTHER PROHIBITED FROM HOLDING AND OCCUPYING ANY MANAGERIAL POST OR BEING ASSOCIATED DIRECTLY OR INDIRECTLY WITH ANY LISTED PUBLIC COMPANY AND/OR ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM 09-JUN-2022 TO 08-JUN-2027

DIRECTED TO REFUND MONEY TO THE INVESTORS

29-MAY-2018

SEBI VIDE ITS ORDER DATED 14/12/2018 A) CONFIRMED THE DIRECTIONS ISSUED VIDE AD INTERIM EX-PARTE ORDER DATED 29/05/2018 B) DIRECTED DEPOSITORIES, REGISTRAR AND TRANSFER AGENTS AND BANKS THAT NO DEBITS/TRANSFER MADE FROM THE ACCOUNTS OF THE NOTICEES

SEBI VIDE ITS ORDER DATED 09/06/2022 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET IN ANY MANNER AND ARE ALSO PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER MANNER FOR FIVE YEARS B) NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS, WHETHER MOVABLE OR IMMOVABLE (INCLUDING FUNDS IN THEIR BANK ACCOUNTS) OR CREATE ANY INTEREST OR CHARGE IN ANY SUCH ASSETS, TILL SUCH TIME THE REFUNDS/REPAYMENTS C) BANKS TO ENSURE THAT NO DEBITS ARE MADE IN THE BANK ACCOUNTS HELD JOINTLY OR SEVERALLY BY NOTICES EXCEPT FOR THE PURPOSE OF PAYMENT OF MONEY TO THE CLIENTS/INVESTORS UNDER WRITTEN CONFIRMATION OF THE CONCERNED STOCK EXCHANGE D) RESTRAINED FROM HOLDING POST OF DIRECTOR, ANY MANAGERIAL POSITION OR ASSOCIATING THEMSELVES IN ANY CAPACITY WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC, OR ANY SECURITIES MARKET INTERMEDIARY REGISTERED WITH SEBI FOR FIVE YEARS E) JOINTLY AND SEVERALLY, LIABLE TO REPAY/REFUND THE INVESTORS/CLIENTS� MONEY WITH INTEREST OF 15% P.A. FROM THE DATE WHEN THE REPAYMENT BECAME DUE TILL DATE OF ACTUAL REPAYMENT UNDER SUPERVISION OF NSE F) JOINTLY AND SEVERALLY, LIABLE TO RETURN THE SECURITIES DUE TO THE CLIENTS/INVESTORS OF F6 FINSERVE OR THEIR MONETARY VALUE AS ON THE DATE OF ACTUAL PAYMENT OF MONEY IN LIEU OF SHARES, UNDER THE SUPERVISION OF NSE

162

DEEPAK MISHRA

(PAN:BLVPM9284R)

MONEY CLASSIC

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

163

DEEPAK PARAKH

(PAN:AFPPP0732C)

GUINESS SECURITIES LTD.

PAN:AAACG9843L

MISAPPROPRIATED CLIENT SECURITIES AND/OR FUNDS

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-DEC-2018 TILL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-DEC-2018 TILL FURTHER ORDERS

DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 19-DEC-2018 TILL FURTHER ORDERS

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

DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS

DIRECTED TO UTILIZE ASSETS OF THE ENTITIES ONLY FOR THE PURPOSE OF PAYMENT OF MONEY AND/OR DELIVERY OF SECURITIES, AS THE CASE MAY BE, TO CLIENTS/INVESTORS UNDER THE SUPERVISION OF CONCERNED STOCK EXCHANGE(S)

DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS

19-DEC-2018

SEBI VIDE ITS ORDER DATED 31/07/2019 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS EX-PARTE AD INTERIM ORDER DATED 19/12/2018

SEBI VIDE ITS ORDER DATED 30/06/2022 REVOKED THE DIRECTIONS ISSUED VIDE ITS EX-PARTE AD-INTERIM ORDER DATED 19/12/2018

164

DEEPIKA SHARMA

(PAN:HFDPS1131F)

(Along with : RAJNEESH KUMAR,

ASHISH PANALAL SHAH,

KIRTIDAN K.GADHAVI)

AIDED AND ABETTED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUPERIOR FINLEASE LTD.

INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUPERIOR FINLEASE LTD.

DIRECTED TO DISGORGE RS.17,22,000 ALONG WITH OTHER ENTITIES/PERSONS

DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT

DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY

DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI

DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 22-MAY-2024 TO 21-MAY-2029

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

DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-MAY-2024 TO 21-MAY-2029

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-MAY-2024 TO 21-MAY-2029

DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)

25-JAN-2023

SEBI VIDE ITS ORDER DATED 22/05/2024 DIRECTED TO A) RESTRAINED 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, WHATSOEVER FOR FIVE YEARS FROM DATE OF THIS ORDER B) DISGORGE RS.17.22 LAC ALONG WITH SIMPLE INTEREST @ 12% P.A. CALCULATED FROM 14/09/2021 TILL DATE OF ACTUAL PAYMENT /IMPOUNDING AND AMOUNT TO BE REMITTED TO IPEF WITHIN FORTY FIVE DAYS FROM DATE OF RECEIPT OF THIS ORDER

SEBI VIDE ITS NOTICE DATED 22/11/2024 DIRECTED TO PAY RS.18,43,540.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SEBI VIDE ITS ORDER DATED 14/01/2025 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

165

DEIVENDRAN KUMAR

(PAN:AZNPK8135G)

RIGHT TARGET ADVISORY SERVICE

PAN:AAPFR4002A

ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION

SEBI VIDE ITS ORDER DATED 28/03/2022 DIRECTED TO A) REFUND THE MONEY RECEIVED FROM CLIENTS/INVESTORS/COMPLAINTS, AS FEES OR CONSIDERATION OR IN ANY OTHER FORM, IN RESPECT OF UNREGISTERED INVESTMENT ADVISORY ACTIVITIES WITHIN THREE MONTHS FROM DATE OF THIS ORDER 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 MODALITIES FOR REFUND INCLUDING DETAILS OF CONTACT PERSON NAMES, ADDRESSES AND CONTACT DETAILS WITHIN 15 DAYS OF COMING FORCE OF THIS ORDER C) REPAYMENTS TO CLIENTS/INVESTORS TO BE EFFECTED ONLY THROUGH BANK DEMAND DRAFT OR PAY ORDER OR ELECTRONICS FUND TRANSFER D) PREVENTED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM EXCEPT FOR THE SOLE PURPOSE OF MAKING THE REFUNDS AS DIRECTED. FURTHER, DIRECTED BANK TO ALLOW DEBIT ONLY FOR THE PURPOSE OF MAKING REFUNDS TO THE CLIENTS/INVESTORS WHO WERE AVAILING THE INVESTMENT ADVISORY SERVICES E) RESOLVE ALL THE COMPLAINTS PENDING AGAINST THEM AND FILE REPORT OF SUCH RESOLUTION WITH SEBI WITHIN A PERIOD OF 30 DAYS FROM THE DATE OF THIS ORDER F) FILE REPORT OF SUCH COMPLETION WITH SEBI DULY CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANTS G) DEBARRED FROM ACCESSING SECURITIES MARKET DIRECTLY OR INDIRECTLY AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER FOR SIX MONTH FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS H) RESTRAINED FROM ASSOCIATING WITH ANY COMPANY WHOSE SECURITIES ARE LISTED ON RECOGNIZED STOCK EXCHANGE AND ANY COMPANY WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC, OR ANY INTERMEDIARY REGISTERED WITH SEBI IN ANY CAPACITY FOR A PERIOD OF SIX MONTHS FROM THE DATE OF THIS ORDER OR TILL THE EXPIRY OF SIX MONTHS FROM THE DATE OF COMPLETION OF REFUNDS TO INVESTORS I) NOT TO UNDERTAKE, EITHER DIRECTLY OR INDIRECTLY, INVESTMENT ADVISORY SERVICES OR ANY OTHER ACTIVITY IN THE SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI J) NOT TO DIVERT ANY FUNDS COLLECTED FROM INVESTORS, KEPT IN BANK ACCOUNT(S) AND/OR IN THEIR CUSTODY EXCEPT FOR THE PURPOSE OF REFUND K) NOT TO DISPOSED OFF OR ALIENATE ANY ASSETS, WHETHER MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE ON ANY OF SUCH ASSETS HELD IN THEIR NAME, INCLUDING MONEY LYING IN BANK ACCOUNTS EXCEPT FOR THE PURPOSE OF REFUND

166

DEIVENDRAN SARAVANAN

(PAN:BHUPS1380R)

RIGHT TARGET ADVISORY SERVICE

PAN:AAPFR4002A

ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION

167

DEVANGKUMAR PARESHBHAI VYAS

(PAN:AZIPV2102K)

ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION

SAT: SAT VIDE ITS ORDER DATED 26/04/2021 DISPOSED OFF THE APPEAL AND DIRECTED APPELLANTS TO FILE APPLICATION FOR REVOCATION / MODIFICATION OF THE ORDER DATED 25/01/2021 WITHIN TWO WEEKS FROM THE DATE OF THIS ORDER

SEBI VIDE ITS ORDER DATED 22/06/2021 DISPOSED OFF THE APPEAL WITHOUT REVOCATION/MODIFICATION IN THE INTERIM ORDER DATED 25/01/2021

SEBI VIDE ITS ORDER DATED 13/12/2021 DIRECTED TO A) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION B) DETAILS OF CONTACT PERSON NAMES, ADDRESSES (INCLUDING EMAIL ADDRESS) AND CONTACT DETAILS, C) ENSURE TO RESOLVE GRIEVANCES AND COMPLAINTS WITHIN THIRTY DAYS FROM CLOSURE TO LODGE COMPLAINT D) REPAYMENTS TO CLIENTS/INVESTORS TO BE EFFECTED ONLY IN CASH THROUGH BANK DEMAND DRAFT OR PAY ORDER OR ELECTRONICS FUND TRANSFER E) FILE REPORT OF SUCH COMPLETION WITH SEBI DULY CERTIFIED FROM INDEPENDENT CHARTERED ACCOUNTANTS F) PREVENTED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM EXCEPT FOR THE SOLE PURPOSE OF MAKING THE REFUNDS AS DIRECTED. FURTHER, DIRECTED BANK TO ALLOW DEBIT ONLY FOR THE PURPOSE OF MAKING REFUNDS TO THE CLIENTS/INVESTORS WHO WERE AVAILING INVESTMENT ADVISORY SERVICES G) RESTRAINED ON SALE OF ASSETS SHALL CEASE TO OPERATE ONCE THE REDRESSAL TO THE COMPLAINTS/GRIEVANCES COMPLETED H) DEBARRED FROM ACCESSING SECURITIES MARKET DIRECTLY OR INDIRECTLY AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER FOR SIX MONTHS FROM DATE OF COMPLETION OF REDRESSAL I) RESTRAINED FROM ASSOCIATING WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC, OR ANY INTERMEDIARY REGISTERED WITH SEBI IN ANY CAPACITY FOR PERIOD OF SIX MONTHS FROM DATE OF COMPLETION OF REDRESSAL J) NOT TO UNDERTAKE, EITHER DIRECTLY OR INDIRECTLY, INVESTMENT ADVISORY SERVICES OR ANY OTHER ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI

168

DHANASHRI CHANDRAKANT GIRI

(PAN:BDCPG2078Q)

RAVINDRA BHARTI EDUCATION INSTITUTE PVT.LTD.

PAN:AAHCR6075L

ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION

CEASED TO SOLICIT OR UNDERTAKE INVESTMENT ADVISORY ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 05-APR-2024 TO 04-APR-2025

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-APR-2024 TO 04-APR-2025

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

DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS

DIRECTED NOT TO COLLECT ANY MONEY AND/OR FEE FROM THE INVESTORS FROM 05-APR-2024 TO 04-APR-2025

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-APR-2024 TO 04-APR-2025

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

RESTRAINED FROM ASSOCIATING WITH ANY INTERMEDIARY REGISTERED WITH SEBI IN ANY OFFICIAL CAPACITY FROM 05-APR-2024 TO 04-APR-2025

DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS/PROPERTIES/ SECURITIES

DIRECTED TO CEASE AND DESIST FROM OFFERING INVESTMENT ADVISORY SERVICES OR ACTING AS OR HOLDING THEMSELVES OUT TO BE INVESTMENT ADVISORS IN ANY MANNER

05-APR-2024

SEBI VIDE ITS ORDER DATED 10/12/2024 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND ARE FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER TILL 04/04/2025 B) DURING THE PERIOD OF RESTRAINT EXISTING HOLDING OF SECURITIES INCLUDING UNITS OF MUTUAL FUNDS TO REMAIN FROZEN C) RESTRAINED FROM ASSOCIATING THEMSELVES WITH ANY INTERMEDIARY REGISTERED WITH SEBI IN ANY CAPACITY TILL 04/04/2025 D) NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS/PROPERTIES/SECURITIES TILL SUCH TIME AS AMOUNT OF UNLAWFUL GAIN DISGORGED IN TERMS OF THIS ORDER EXCEPT WITH PRIOR PERMISSION OF SEBI E) CEASE AND DESIST FROM OFFERING INVESTMENT ADVISORY SERVICES OR ACTING AS OR HOLDING THEMSELVES OUT TO BE INVESTMENT ADVISORS IN ANY MANNER WHATSOEVER INCLUDING BY USING �RAVINDRABHARTI EDUCATION INSTITUTE PVT.LTD., �RAVINDRABHARTI WEALTH� OR OTHERWISE WITHOUT OBTAINING A CERTIFICATE OF REGISTRATION FROM SEBI

169

DHARMENDRA KOTHARI

(PAN:AFGPK6680M)

GUINESS SECURITIES LTD.

PAN:AAACG9843L

MISAPPROPRIATED CLIENT SECURITIES AND/OR FUNDS

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-DEC-2018 TO 18-DEC-2023

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-DEC-2018 TO 18-DEC-2023

DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 19-DEC-2018 TO 18-DEC-2023

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

DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS

DIRECTED TO UTILIZE ASSETS OF THE ENTITIES ONLY FOR THE PURPOSE OF PAYMENT OF MONEY AND/OR DELIVERY OF SECURITIES, AS THE CASE MAY BE, TO CLIENTS/INVESTORS UNDER THE SUPERVISION OF CONCERNED STOCK EXCHANGE(S)

DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS

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

RESTRAINED AND FURTHER PROHIBITED FROM HOLDING AND OCCUPYING ANY MANAGERIAL POST OR BEING ASSOCIATED DIRECTLY OR INDIRECTLY WITH ANY LISTED PUBLIC COMPANY AND/OR ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM 19-DEC-2018 TO 18-DEC-2023

DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY

19-DEC-2018

SEBI VIDE ITS ORDER DATED 31/07/2019 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS EX-PARTE AD INTERIM ORDER DATED 19/12/2018

SEBI VIDE ITS ORDER DATED 30/06/2022 DIRECTED TO A) RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY AND ASSOCIATING THEMSELVES WITH SECURITIES MARKET IN ANY MANNER FOR FIVE YEARS B) DURING THE PERIOD OF RESTRAINT THE EXISTING HOLDING, INCLUDING UNITS OF MUTUAL FUNDS SHALL REMAIN FROZEN C) RESTRAINED FROM HOLDING ANY POSITION OF DIRECTOR OR KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY OR ANY INTERMEDIARY REGISTERED WITH SEBI OR ASSOCIATING THEMSELVES WITH ANY LISTED PUBLIC COMPANY OR A PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FOR FIVE YEARS D) NOT TO DISPOSE OFF OR ALIENATE ANY ASSETS, WHETHER MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY SUCH ASSETS INCLUDING MONEY LYING IN BANK ACCOUNT EXCEPT WITH PRIOR PERMISSION OF SEBI E) PROVIDE FULL INVENTORY OF ALL ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND MUTUAL FUND INVESTMENTS AS WELL AS DETAILS OF ANY LOANS OR ADVANCE, RECOVERABLE BY THEM AS ON THE DATE OF THIS ORDER F) DIRECTED TO FULLY CO-OPERATE WITH STOCK EXCHANGES IN ENSURING THE DIRECTION INCLUDING IN LIQUIDATING THE FUNDS, SECURITIES, CHARGE, RECOVERABLE DUES, ADVANCES AND OTHER MOVABLE AND IMMOVABLE ASSETS G) BANKS TO ENSURE THAT NO DEBITS ARE MADE IN THE BANK ACCOUNTS HELD JOINTLY OR SEVERALLY BY NOTICEES

SEBI VIDE ITS NOTICE DATED 19/09/2023 DIRECTED TO PAY RS.87,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SEBI VIDE ITS ORDER DATED 06/10/2023 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

SEBI VIDE ITS NOTICE DATED 16/11/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.87,01,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG

SEBI VIDE ITS ORDER DATED 26/12/2023 A) PROHIBITED FROM DISPOSING, TRANSFERRING, ALIENATING OR CHARGING IN RESPECT OF ALL THE IMMOVABLE AND MOVABLE PROPERTIES LISTED IN THE ORDER B) PROHIBITED FROM TAKING ANY BENEFIT UNDER SUCH DISPOSAL, TRANSFER, ALIENATION OR CHARGE IN RESPECT OF THE PROPERTIES LISTED IN ORDER C) DIRECTED TO FURNISH THE COMPLETE DETAILS OF ALL MOVABLE AND IMMOVABLE PROPERTIES HELD BY DEFAULTER AND CHARGES, IF ANY, WITHIN TWO WEEKS FROM DATE OF THIS ORDER AT SEBI EASTERN REGIONAL OFFICE, KOLKATA D) DIRECTED INSPECTORS GENERAL OF REGISTRATION OF ALL STATES AND UNION TERRITORIES AND CONCERNED TEHSILDARS, DISTRICT REGISTRARS AND SUB REGISTRARS OF THE RESPECTIVE AREAS WHERE THE PROPERTIES ARE LOCATED E) NOT TO ACT UPON ANY DOCUMENTS PURPORTING TO BE DEALING WITH TRANSFER, MORTGAGE, CHARGE, LEASE OR CREATION OR ALTERATION OF ANY INTEREST IN ANY OF THE PROPERTIES OWNED/HELD BY THE DEFAULTERS, IF PRESENTED FOR REGISTRATION

SAT: SAT VIDE ITS ORDER DATED 25/09/2024 DISMISSED THE APPEAL. NO COSTS

170

DHAVANI JAYANTKUMAR SHAH

(PAN:AIWPS7376P)

(Along with : BHAVIN ARVIND SHAH,

KEVIN KAPADIA,

HANIF KASAMBHAI SHEKH,

KASAMBHAI SHEKH,

HASINA KASAMBHAI SHEKH,

SHASHIKANT CHINUBHAI KAPADIA,

KRUTI KEVIN KAPADIA,

ARVIND SHANTILAL SHAH,

BHARATI ARVIND SHAH,

RAMNARESH DASHADEEN NIRMAL,

MEHUL HASMUKH SHAH,

BHASHIT DEEPAK SHAH,

YASH MANISH MEHTA,

AAKASH DILIP DOSHI,

ANKURKUMAR SURESHKUMAR MEHTA,

RUPAL BHAVIN SHAH,

VIDHI MEHUL SHAH,

HIMANSHU RAMNIKLAL SHAH,

RAJVI NARESH SHAH)

ECONO BROKING PVT.LTD.

PAN:AADCB8817A

ECONO TRADE (INDIA) LTD.

PAN:AAACE5451C

ROBERT RESOURCES LTD.

PAN:AAACR2073D

SAI METALTECH LLP

PAN:ADXFS9004L

INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF DARJEELING ROPEWAY CO.LTD.

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-JUN-2023 TILL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-JUN-2023 TILL FURTHER ORDERS

DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI

DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI

DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI

DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS

DIRECTED TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI

DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES

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

DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS

DIRECTED TO DISGORGE RS.10,39,71,344 ALONG WITH OTHER ENTITIES/PERSONS

19-JUN-2023

171

DHIMANT HIMATLAL SHAH

(PAN:AAJPS8256P)

(Along with : BHAVESH GANDHI,

RUTUL RAJESHBHAI SHAH)

INDULGED IN FRONT RUNNING TRADING ACTIVITIES OF DEALERS OF RELIANCE SECURITIES LTD. AND OTHER CONNECTED ENTITIES VIOLATING REGULATIONS 3(A) TO (D) AND 4(1) & 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003

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 07-AUG-2020 TO 06-AUG-2024

DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 07-AUG-2020 TO 06-AUG-2024

DIRECTED TO OPEN ESCROW ACCOUNT WITH A NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT TO BE PROCEEDS GENERATED FROM FRONT RUNNING TRADES WITHOUT PERMISSION FROM SEBI

DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS

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

DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 07-AUG-2020 TO 06-AUG-2024

DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS

DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES

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

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 07-AUG-2020 TO 06-AUG-2024

DIRECTED TO DISGORGE RS.1,47,87,332 ALONG WITH OTHER ENTITIES/PERSONS

07-AUG-2020

SEBI VIDE ITS ORDER DATED 30/06/2021 DIRECTED TO DEPOSIT THE REMAINING PROCEEDS IN THE ESCROW ACCOUNT IMMEDIATELY IN COMPLIANCE OF THE PAYMENT TOWARDS TOTAL AMOUNT MENTIONED AT TABLE 29 READ WITH PARA 43.7 OF THE INTERIM ORDER DATED 07/08/2020

SEBI VIDE ITS ORDER DATED 30/06/2021 DIRECTED TO A) RESTRAINED FROM BUYING, SELLING OR DEALING IN THE SECURITIES MARKET OR ASSOCIATING THEMSELVES WITH SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER TILL FURTHER DIRECTIONS B) CEASE AND DESIST FROM UNDERTAKING ANY ACTIVITY IN THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER TILL FURTHER DIRECTIONS C) DURING THE PERIOD OF RESTRAINT EXISTING HOLDING, INCLUDING UNITS OF MUTUAL FUNDS AND DEMAT ACCOUNTS SHALL REMAIN FROZEN

SEBI VIDE ITS ORDER DATED 30/01/2023 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER MANNER, FOR FOUR YEARS B) DISGORGED AMOUNT OF WRONGFUL GAINS RS.1,47,87,332.35 ALONG WITH INTEREST OF 12% FROM JOINTLY AND SEVERALLY

SAT: SAT VIDE ITS ORDER DATED 07/06/2023 CONDONED THE DELAY IN FILING OF APPEAL. IN THE MEANWHILE, RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER. STAYED IMPUGNED ORDER AND DIRECTED APPELLANT TO DEPOSIT BALANCE DISGORGEMENT AMOUNT AND PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER

172

DHIRAJ GUPTA

(PAN:CMVPG2518N
DIN:08355010)

FINGRAVY WEALTH CREATION SERVICES PVT.LTD.

PAN:AADCF2427Q
CIN:U73200MH2017PTC301697

ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION

SEBI VIDE ITS ORDER DATED 29/11/2022 DIRECTED TO A) REFUND THE MONEY RECEIVED FROM ANY INVESTORS/CLIENTS, AS FEES OR CONSIDERATION OR IN ANY OTHER FORM, IN RESPECT OF UNREGISTERED INVESTMENT ADVISORY ACTIVITIES WITHIN THREE MONTHS FROM DATE OF THIS ORDER 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 MODALITIES FOR REFUND INCLUDING DETAILS OF CONTACT PERSON NAMES, ADDRESSES AND CONTACT DETAILS WITHIN 15 DAYS OF COMING INTO FORCE OF THIS ORDER C) REPAYMENTS TO INVESTORS/CLIENTS TO BE EFFECTED ONLY THROUGH BANK DEMAND DRAFT OR PAY ORDER OR ELECTRONICS FUND TRANSFER D) RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM EXCEPT FOR THE SOLE PURPOSE OF MAKING THE REFUNDS AS DIRECTED. FURTHER, DIRECTED BANK TO ALLOW DEBIT ONLY FOR THE PURPOSE OF MAKING REFUNDS TO THE CLIENTS/INVESTORS, WHO WERE AVAILING THE INVESTMENT ADVISORY SERVICES E) FILE REPORT OF SUCH COMPLETION WITH SEBI DULY CERTIFIED FROM INDEPENDENT CHARTERED ACCOUNTANT F) DEBARRED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER FOR ONE YEAR FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS/CLIENTS G) NOT TO UNDERTAKE, EITHER DURING OR AFTER THE EXPIRY OF THE PERIOD OF DEBARMENT/RESTRAINT EITHER DIRECTLY OR INDIRECTLY, INVESTMENT ADVISORY SERVICES OR ANY ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING A CERTIFICATE OF REGISTRATION FROM SEBI

SAT: SAT VIDE ITS ORDER DATED 16/12/2024 GRANTED APPELLANTS TWO WEEKS TO FILE REJOINDER

173

DHRUVESH MAHESHBHAI PATEL

(DIN:07712652
PAN:APMPP2298E)

RAGHUKUL SHARES INDIA PVT.LTD.

CIN:U67120RJ2009PTC029155
PAN:AAECR3716R

MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS

DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES

DID NOT SETTLE CLIENT�S FUNDS AND/OR SECURITIES

DID NOT MAINTAIN BOOKS OF ACCOUNT AND OTHER DOCUMENTS

DID NOT MAINTAIN NETWORTH AND DEPOSIT REQUIREMENTS

MADE FIXED PAYMENTS/RETURNS TO CLIENTS

DID NOT OBTAIN PRIOR APPROVAL FROM STOCK EXCHANGE FOR CHANGE IN CONTROL AND APPOINTMENT OF DIRECTOR VIOLATING SEBI CIRCULAR CIR/MIRSD/14/2011 DATED 02/08/2011 AND CIR/MIRSD/2/2011 DATED 03/06/2011

DID NOT REPORT COMPLETE AND CORRECT DATA TO EXCHANGE ON TIME VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/MIRSD2/CIR/P/2016/95 DATED 26/09/2016

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-JUN-2019 TILL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUN-2019 TILL FURTHER ORDERS

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

DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS

DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS

DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY

28-JUN-2019

SEBI VIDE ITS ORDER DATED 31/05/2023 VACATED THE DIRECTIONS ISSUED EX-PARTE AD INTERIM ORDER DATED 28/06/2019 READ WITH CONFIRMATORY ORDER DATED 24/01/2020

174

DHRUVESH MAHESHBHAI PATEL

(DIN:07712652
PAN:APMPP2298E)

175

DIBAKAR LAHA

(PAN:AJVPL4026B)

(Along with : SUBRATA LAHA,

PRIYANKAR LAHA,

TAPAS LAHA,

ARUN LAHA)

INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF VISHAL FABRICS LTD.

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-JUN-2023 TILL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-JUN-2023 TILL FURTHER ORDERS

DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI

DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI

DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI

DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS

DIRECTED TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI

DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES

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

DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS

DIRECTED TO DISGORGE RS.1,34,67,773 ALONG WITH OTHER ENTITIES/PERSONS

19-JUN-2023

176

DIBAKAR LAHA

(PAN:AJVPL4026B)

(Along with : NAVNEET KUMAR SUREKA,

DEEPA SUREKA,

SAHILKUMAR AMRUTBHAI VAGHELA,

PRAKASH KANTILAL VAGHELA,

RAVI KANNADASAN ADIDRAVID,

KEVAL SAVANT,

DIPIKA POPATBHAI PARMAR,

MANISHKUMAR RAJPUT,

CHIRAGKUMAR MAKWANA,

KRUSHA BIRJUKUMAR SANGHVI,

KARAN BIRJUBHAI SANGHVI,

FULDEEP POPATBHAI SEHGAL,

MAKWANA MADHUBEN,

POPATBHAI RAMJIBHAI PARMAR,

HINA BAROT,

LILABEN POPATBHAI PARMAR,

PRITIBEN POPATBHAI PARMAR,

SHAHRUKHKHAN PATHAN,

ARPAN DAS,

SUMIT LAHA,

SUPRABHAT LAHA,

SANJAY DEY,

DEBASHISH DUTTA,

BUDDHADEB LAHA,

UMA DUTTA,

SUBRATA LAHA)

LINKUP FINANCIAL CONSULTANTS PVT.LTD.

PAN:AACCL0347G

INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF MAURIA UDYOG LTD.

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-JUN-2023 TILL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-JUN-2023 TILL FURTHER ORDERS

DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI

DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI

DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI

DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS

DIRECTED TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI

DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES

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

DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS

DIRECTED TO DISGORGE RS.33,48,04,829 ALONG WITH OTHER ENTITIES/PERSONS

19-JUN-2023

177

DIBAKAR LAHA

(PAN:AJVPL4026B)

(Along with : HANIF KASAMBHAI SHEKH,

KASAMBHAI SHEKH,

HASINA KASAMBHAI SHEKH,

TEJAL AMITKUMAR KHATRI,

CHANDRIKABEN MAHESHBHAI CHAUHAN,

NITESH P.PAVSKAR,

NAGINBHAI JESHINGBHAI MAHERIYA,

CHINTUKUMAR VASUDEVBHAI PANDYA,

GOVINDBHAI NATVARLAL CHAUHAN,

VIJAY RAJESHBHAI VASITA,

KAMLESHKUMAR G.SOLANKI,

JITENDRA HARJIVANBHAI GOHIL,

RAVINDRA NANALAL RAVAL,

DIXIT BORISA,

NATVARBHAI PATLIA,

SUSHMA JASMIN BAROT,

MANOHARPRASAD GHANSHYAMBHAI VAISHNAV,

MAHESHKUMAR NARESHKUMAR PURABIA,

SUMIT LAHA,

UJJAL LAHA,

SANJAY DEY,

SUPRABHAT LAHA,

ARPAN DAS,

SOURAV DAS)

ECONO BROKING PVT.LTD.

PAN:AADCB8817A

ECONO TRADE (INDIA) LTD.

PAN:AAACE5451C

HIGHGROWTH VINCOM PVT.LTD.

PAN:AACCH1789A

ROBERT RESOURCES LTD.

PAN:AAACR2073D

SAI METALTECH LLP

PAN:ADXFS9004L

INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF 7NR RETAIL LTD.

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-JUN-2023 TILL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-JUN-2023 TILL FURTHER ORDERS

DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI

DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI

DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI

DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS

DIRECTED TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI

DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES

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

DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS

DIRECTED TO DISGORGE RS.29,60,46,866 ALONG WITH OTHER ENTITIES/PERSONS

19-JUN-2023

178

DILIP KUMAR RAJAK

(PAN:BYFPR7769R)

FORTUNESCRIPT SERVICES PVT.LTD.

PAN:AACCF6496N

ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION

SEBI VIDE ITS ORDER DATED 06/05/2022 DIRECTED TO A) REFUND THE MONEY RECEIVED FROM COMPLAINTS/INVESTORS, AS FEES OR CONSIDERATION OR IN ANY OTHER FORM, IN RESPECT OF UNREGISTERED INVESTMENT ADVISORY ACTIVITIES WITHIN THREE MONTHS FROM DATE OF THIS ORDER 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 MODALITIES FOR REFUND INCLUDING DETAILS OF CONTACT PERSON NAMES, ADDRESSES AND CONTACT DETAILS WITHIN 15 DAYS OF COMING FORCE OF THIS ORDER C) REPAYMENTS TO COMPLAINTS/INVESTORS TO BE EFFECTED ONLY THROUGH BANK DEMAND DRAFT OR PAY ORDER OR ELECTRONICS FUND TRANSFER D) PREVENTED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM EXCEPT FOR THE SOLE PURPOSE OF MAKING THE REFUNDS AS DIRECTED. FURTHER, DIRECTED BANK TO ALLOW DEBIT ONLY FOR THE PURPOSE OF MAKING REFUNDS TO THE CLIENTS/INVESTORS/COMPLAINTS WHO WERE AVAILING THE INVESTMENT ADVISORY SERVICES E) FILE REPORT OF SUCH COMPLETION WITH SEBI DULY CERTIFIED FROM INDEPENDENT CHARTERED ACCOUNTANTS F) DEBARRED FROM ACCESSING SECURITIES MARKET DIRECTLY OR INDIRECTLY AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER FOR SIX MONTHS FROM DATE OF COMPLETION OF REFUNDS TO COMPLAINTS/INVESTORS G) NOT TO UNDERTAKE, EITHER DIRECTLY OR INDIRECTLY, INVESTMENT ADVISORY SERVICES OR ANY OTHER ACTIVITY IN THE SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI

SAT: SAT VIDE ITS ORDER DATED 03/07/2023 DISMISSED THE APPEAL FOR WANT OF PROSECUTION

SAT: SAT VIDE ITS ORDER DATED 11/08/2023 ALLOWED THE APPLICATION AND RECALLED ORDER DATED 03/07/2023

SEBI VIDE ITS NOTICE DATED 14/09/2023 DIRECTED TO PAY RS.1,02,64,572.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SAT: SAT VIDE ITS ORDER DATED 28/02/2024 CONDONED THE DELAY IN FILING OF APPEAL. ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND REJOINDER TO BE FILED THREE WEEKS THEREAFTER

SAT: SAT VIDE ITS ORDER DATED 19/07/2024 GRANTED APPELLANTS THREE WEEKS TO FILE REJOINDER

SAT: SAT VIDE ITS ORDER DATED 16/12/2024 DISMISSED THE APPEAL. NO COSTS

SEBI VIDE ITS ORDER DATED 02/01/2025 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

SEBI VIDE ITS NOTICE DATED 14/02/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.1,17,55,860.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTG

SEBI VIDE ITS ORDER DATED 28/01/2026 A) PROHIBITED FROM DISPOSING, TRANSFERRING, ALIENATING OR CHARGING IN RESPECT OF ALL THE IMMOVABLE AND MOVABLE PROPERTIES LISTED IN THE ORDER B) PROHIBITED FROM TAKING ANY BENEFIT UNDER SUCH DISPOSAL, TRANSFER, ALIENATION OR CHARGE IN RESPECT OF THE PROPERTIES LISTED IN ORDER C) DIRECTED TO FURNISH COMPLETE DETAILS OF ALL MOVABLE AND IMMOVABLE PROPERTIES HELD BY DEFAULTERS AND CHARGES, IF ANY, ALONG WITH ORIGINAL TITLE DEEDS PERTAINING TO THE PROPERTIES, WITHIN TWO WEEKS FROM DATE OF THIS ORDER AT SEBI, SOUTHERN REGIONAL OFFICE, CHENNAI D) DEFAULTERS AND INSPECTOR GENERAL OF REGISTRATION OF ALL THE STATES AND UNION TERRITORIES AND SPECIFICALLY TO THE CONCERNED TEHSILDARS, DISTRICT REGISTRARS AND SUB-REGISTRARS IN THE STATE OF KARNATAKA, ODISHA, JHARKHAND AND BIHAR E) NOT TO ACT UPON ANY DOCUMENTS PURPORTING TO BE DEALING WITH TRANSFER, MORTGAGE, CHARGE, LEASE OR CREATION OR ALTERATION OF ANY INTEREST IN ANY OF THE PROPERTIES OWNED / HELD BY THE DEFAULTER, INCLUDING THE SAID PROPERTIES, IF PRESENTED FOR REGISTRATION

179

DINESH KUMAR

(PAN:ABKPK0853A)

CPR CAPITAL SERVICES LTD.

PAN:AAACC3235A

(Depository Participants : CDSL,Member : NSE/BSE/MSEI)

DID NOT REDRESS INVESTOR COMPLAINTS

DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES

MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS

DID NOT SETTLE CLIENT�S FUNDS AND/OR SECURITIES

TRANSFERRED CLIENTS SECURITIES TO ITS RELATED ENTITIES

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 25-SEP-2018 TO 24-SEP-2025

DIRECTED TO REFUND MONEY TO THE INVESTORS

DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 25-SEP-2018 TO 24-SEP-2025

DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS

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

DIRECTED TO UTILIZE ASSETS OF THE ENTITIES ONLY FOR THE PURPOSE OF PAYMENT OF MONEY AND/OR DELIVERY OF SECURITIES, AS THE CASE MAY BE, TO CLIENTS/INVESTORS UNDER THE SUPERVISION OF CONCERNED STOCK EXCHANGE(S)

DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS

DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES

25-SEP-2018

SEBI VIDE ITS ORDER DATED 25/10/2019 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 25/09/2018

SEBI VIDE ITS ORDER DATED 20/09/2023 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, EITHER DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH THE SECURITIES MARKET IN ANY MANNER WHATSOEVER FOR SEVEN YEARS B) JOINTLY AND SEVERALLY, BE LIABLE TO REPAY/REFUND THE MONEY DUE TO INVESTORS/CLIENT�S UNDER THE SUPERVISION OF NSE AND BSE C) JOINTLY AND SEVERALLY, BE LIABLE TO RETURN THE SECURITIES DUE TO INVESTORS/CLIENTS OF CPR CAPITAL SERVICES LTD. OR THEIR MONETARY VALUE AS ON THE DATE ACTUAL PAYMENT OF MONEY IN LIEU OF SHARES UNDER SUPERVISION OF NSE AND BSE D) NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS, WHETHER MOVABLE OR IMMOVABLE (INCLUDING FUNDS IN THEIR BANK ACCOUNTS) OR CREATE ANY INTEREST OR CHARGE IN ANY SUCH ASSETS TILL SUCH TIME THE REFUNDS/REPAYMENTS AS DIRECTED ABOVE ARE COMPLETED E) BANK TO ENSURE THAT NO DEBITS ARE MADE IN THE BANK ACCOUNTS HELD BY NOTICEE EXCEPT FOR THE PURPOSE OF PAYMENT OF MONEY TO THE CLIENTS/INVESTORS UNDER THE WRITTEN CONFIRMATION OF NSE AND BSE, TILL SUCH TIME THE REFUNDS/REPAYMENTS AS DIRECTED ABOVE ARE COMPLETED F) NSE AND BSE DEFAULTERS COMMITTEE TO, AS EXPEDITIOUSLY AS POSSIBLE OPEN AND OPERATE DEDICATED DEMAT ACCOUNT WHERE ALL THE SECURITIES LYING IN DEMAT ACCOUNTS OF NOTICEES TO BE TRANSFERRED G) NSE AND BSE DEFAULTERS COMMITTEE TO OPEN AND OPERATE A DEDICATED INTEREST BEARING BANK ACCOUNT WITH NATIONALIZED BANK WHERE ALL THE FUNDS LYING IN VARIOUS BANK ACCOUNTS HELD IN THE NAME OF NOTICEES TO BE TRANSFERRED H) MODALITIES OF SELLING THE ASSETS, DEPOSITING THE PROCEEDS THEREOF IN THE ACCOUNT OPENED IN ACCORDANCE WITH DIRECTIONS CONTAINED IN SUB-PARAGRAPHS (H) AND (I) ABOVE AND DISBURSING AMOUNTS TO THE CLIENTS/INVESTORS AFTER VERIFYING THE CLAIMS, TO BE WORKED OUT BY NSE AND BSE I) NSE AND BSE TO DEAL WITH THE CLAIMS OF CLIENTS/INVESTORS IN ACCORDANCE WITH BYE-LAWS AND PROCEDURES AFTER ADJUSTING DISBURSEMENTS MADE THROUGH THE DEFAULTERS COMMITTEE MECHANISM J) NSE AND BSE TO PROCEED WITH RECOVERY OF FUNDS AND SECURITIES FROM ASSETS OF RESPECTIVE NOTICEES (INCLUDING THE FUNDS LYING IN THE ESCROW ACCOUNT OPENED AS DIRECTED AT SUB-PARAGRAPH (E) TO COVER ANY SHORTFALL IN FUNDS AND SECURITIES IN THE ESCROW ACCOUNTS(S) AND DEMAT ACCOUNT

180

DIPA ASHISH PAREKH

(PAN:AGMPP8210F)

(Along with : ASHISH S.PAREKH,

NAGENDRA S.DUBEY)

INDULGED IN FRONT RUNNING TRADING ACTIVITIES VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003