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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
PERIOD COVERED : 30-NOV-2007 TO 07-AUG-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.

COMPANIES: VIOLATED SEBI (INVESTMENT ADVISORS) REGULATIONS, 2013

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person FREEDOM WEALTH SOLUTIONS PVT.LTD.

(PAN:AABCF3377P)  
  ALLEGED FAILURE IN TAKING PRIOR APPROVAL FROM SEBI TO ACQUIRE SHARES VIOLATING REGULATION 15(11) OF SEBI (INVESTMENT ADVISORS) REGULATIONS, 2013   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.14,62,500 VIDE CONSENT ORDER)

12-MAR-2020 		 
2
History of entity/person MANSUN CONSULTANCY PVT.LTD.

(PAN:AALCM1703G)  
Click here to view complete history of this specific entity/person MANGAYARKARASI SUNDAR

PAN:AMPPM2461E
Click here to view complete history of this specific entity/person P.R.SUNDAR

PAN:ANTPP8886F
  		ALLEGED ACTED AS INVESTMENT ADVISOR WITHOUT SEBI REGISTRATION   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.46,80,000, DISGORGEMENT AMOUNT RS.4,59,95,763, INTEREST RS.1,47,74,100 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 25-MAY-2023 TO 24-MAY-2024

25-MAY-2023 		 
3
History of entity/person NORTHWARD FINANCIAL PLANNERS  
Click here to view complete history of this specific entity/person DIYA THOMMY
Click here to view complete history of this specific entity/person THEJUS PALATHINGAL
Click here to view complete history of this specific entity/person VIDYA KRISHNAMOORTHY
  		ALLEGED DELAY IN FILING OF APPLICATION FOR REGISTRATION AS INVESTMENT ADVISOR AND CONTINUED ACTIVITIES VIOLATING SECTION 12(1) OF SEBI ACT, 1992 READ WITH REGULATION 3(1) OF SEBI (INVESTMENT ADVISORS) REGULATIONS, 2013 IN MATTER OF NORTHWARD FINANCIAL PLANNERS   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.21,67,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

09-JUL-2020 		 
4
History of entity/person STALLION ASSET

(PAN:AHYPJ4788K)  
Click here to view complete history of this specific entity/person AMIT MOHAN JESWANI

PAN:AHYPJ4788K
  		ALLEGED INDULGED IN SELLING MODEL PORTFOLIO PRODUCTS TO CLIENTS/PROSPECTIVE CLIENTS VIOLATING REGULATION 2(U) READ WITH CLAUSES 1, 2 AND 8 OF SCHEDULE III OF CODE OF CONDUCT UNDER SEBI (RESEARCH ANALYST) REGULATIONS, 2014

ALLEGED ACTED AS INVESTMENT ADVISOR WITHOUT SEBI REGISTRATION   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.28,60,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

06-MAY-2022 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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