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 : 28-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: DIRECTED TO WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC., IF ANY, IN CONNECTION WITH THE SCHEME EMPLOYED

S.No.

PERSON

ENTITY

REGULATORY CHARGES

REGULATORY ACTION(S) / DATE OF ORDER

FURTHER DEVELOPMENTS

1

History of entity/person

GAUTAM SANJAY KHANDELWAL

(PAN:AZWPK6632R)

ACTED AS RESEARCH ANALYST WITHOUT SEBI REGISTRATION

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 23-FEB-2017 TO 22-FEB-2023

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-FEB-2017 TO 22-FEB-2023

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

DIRECTED TO CEASE & DESIST FROM DISSEMINATING NEWS OR MESSAGES IN ANY FORM RELATED TO SECURITIES MARKET, BY ANY MEANS WHATSOEVER FROM 23-FEB-2017 TO 22-FEB-2023

DIRECTED TO WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC., IF ANY, IN CONNECTION WITH THE SCHEME EMPLOYED

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

DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI EXCEPT FOR THE PURPOSE OF TRANSFER OF FUNDS TO ESCROW ACCOUNT

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

DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY

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

23-FEB-2017

DIRECTED TO DISGORGE RS.28,18,739

05-MAR-2019

SEBI VIDE ITS ORDER DATED 30/06/2017 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 23/02/2017

SEBI VIDE ITS ORDER DATED 05/03/2019 DIRECTED TO 1) DISGORGE RS.28,18,739.00 2) NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME AMOUNTS GAIN MADE ALONGWITH WITH INTEREST CREDITED TO ESCROW ACCOUNT WITHOUT PERMISSION FROM SEBI 2) NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT 3) BANKS AND DEPOSITORIES NO TO DEBIT,WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD BY NOTICEES 4) BANKS AND DEPOSITORIES TO ENSURE THAT ALL DIRECTIONS ARE STRICTLY ENFORCED 5) PROVIDE FULL INVENTORY OF THEIR ASSETS, PROPERTIES AND DETAILS OF ALL BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES / SECURITIES, IF HELD IN PHYSICAL FORM AND DETAILS OF COMPANIES HOLD SUBSTANTIAL OR CONTROLLING INTEREST

SEBI VIDE ITS ORDER DATED 06/07/2022 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATING WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER FOR SIX YEARS B) DURING THE PERIOD OF RESTRAINT EXISTING HOLDING, INCLUDING UNITS OF MUTUAL FUNDS TO REMAIN FROZEN C) DISGORGE AMOUNT RS.28,18,739.00 ALONG WITH SIMPLE INTEREST @ 12% P.A. FROM DATE OF IMPOUNDING ORDER TILL DATE OF ACTUAL PAYMENT D) REMIT DISGORGEMENT AMOUNT TO INVESTOR PROTECTION AND EDUCATION FUND (IPEF)

SEBI VIDE ITS NOTICE DATED 20/10/2022 DIRECTED TO PAY RS.37,85,253.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SEBI VIDE ITS NOTICE DATED 23/11/2022 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 ORDER DATED 26/12/2022 DIRECTED ALL THE BANKS TO REMIT RS.38,31,644.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.GAUTAM SANJAY KHANDELWAL TO SEBI BY WAY OF EFT/NEFT/RTGS

SAT: SAT VIDE ITS ORDER DATED 17/03/2023 CONDONED THE DELAY IN FILING OF APPEAL.IN THE MEANWHILE,RESPONDENT MAY FILE REPLY WITHIN THREE WEEKS AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE

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

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