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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.

PERSONS: VIOLATED SEBI (RESEARCH ANALYST) REGULATIONS, 2014

S.No. PERSON ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person AMIT MOHAN JESWANI

(PAN:AHYPJ4788K)  
Click here to view complete history of this specific entity/person 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 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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