| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
AMIT MOHAN JESWANI
(PAN:AHYPJ4788K)
|
|
|
|
STALLION ASSET
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
|
|
| 2 |
|
|
ARUNMOZHI GOPALAN
(PAN:AIJPA0575F)
|
|
|
ALLEGED NON COMPLIANCE OF SECTION 12(1) OF SEBI ACT, 1992 READ WITH REGULATION 3(1) OF SEBI (INVESTMENT ADVISORS) REGULATIONS, 2013 IN MATTER OF HBJ CAPITAL SERVICES LTD. LTD.
ALLEGED NON COMPLIANCE OF SECTION 12(1) OF SEBI ACT, 1992 READ WITH REGULATION 3 OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 IN MATTER OF HBJ CAPITAL SERVICES LTD. LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.71,71,875 VIDE CONSENT ORDER)
24-SEP-2019
|
|
| 3 |
|
|
DIYA THOMMY
|
|
|
|
NORTHWARD FINANCIAL PLANNERS
|
|
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 |
|
|
GOKULRAJ PONNURAJ
(PAN:AOWPG7071H)
|
|
|
ALLEGED NON COMPLIANCE OF SECTION 12(1) OF SEBI ACT, 1992 READ WITH REGULATION 3(1) OF SEBI (INVESTMENT ADVISORS) REGULATIONS, 2013 IN MATTER OF HBJ CAPITAL SERVICES LTD. LTD.
ALLEGED NON COMPLIANCE OF SECTION 12(1) OF SEBI ACT, 1992 READ WITH REGULATION 3 OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 IN MATTER OF HBJ CAPITAL SERVICES LTD. LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.86,06,250 VIDE CONSENT ORDER)
24-SEP-2019
|
|
| 5 |
|
|
MANGAYARKARASI SUNDAR
(PAN:AMPPM2461E)
|
|
|
|
MANSUN CONSULTANCY PVT.LTD.
PAN:AALCM1703G
|
|
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
|
|
| 6 |
|
|
P.R.SUNDAR
(PAN:ANTPP8886F)
|
|
|
|
MANSUN CONSULTANCY PVT.LTD.
PAN:AALCM1703G
|
|
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
|
|
| 7 |
|
|
THEJUS PALATHINGAL
|
|
|
|
NORTHWARD FINANCIAL PLANNERS
|
|
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
|
|
| 8 |
|
|
VIDYA KRISHNAMOORTHY
|
|
|
|
NORTHWARD FINANCIAL PLANNERS
|
|
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
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
