| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
A TO Z SOLUTION
(Along with : FULLON CORP.,
INDIAN TRADING CO.,
OPTION & M.C.X KING,
LALSHAH MCX ALGO MANAGEMENT CO.,
GLOBAL MCX MANAGEMENT SERVICE,
ATLAS CORP.)
|
|
|
|
MANSOOR RAFIQ KHANDA
PAN:ALMPK3448B
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-JUN-2018 TO 19-JUN-2021
05-JUN-2014
DIRECTED TO DISGORGE RS.2,82,15,646 ALONG WITH OTHER ENTITIES/PERSONS
12-MAY-2016
|
SEBI VIDE ITS ORDER DATED 15/09/2014 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 05/06/2014
SEBI VIDE ITS ORDER DATED 12/05/2016 DIRECTED TO 1. IMPOUND UNLAWFUL GAINS OF RS.5,04,01,896 (GAIN OF RS.3,83,80,477 + INTEREST OF RS.1,20,21,419), JOINTLY AND SEVERALLY FROM ALL THE DEFAULTERS 2. BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS, AND ENSURE THAT ALL DIRECTIONS ARE STRICTLY ENFORCED. HOWEVER, CREDITS, IF ANY INTO THE ACCOUNTS MAY BE ALLOWED 3. NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME AMOUNTS ARE CREDITED TO AN ESCROW ACCOUNT CREATED SPECIFICALLY FOR PURPOSE IN A NATIONALIZED BANK AND TO CREATE AN ESCROW ACCOUNT IN FAVOUR OF SEBI AND MONIES KEPT THEREIN SHALL NOT BE RELEASED WITHOUT PERMISSION OF SEBI 4. PROVIDE FULL INVENTORY OF ALL THEIR ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, IF HELD IN PHYSICAL FORM
SEBI VIDE ITS ORDER DATED 20/06/2018 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY FOR A PERIOD OF THREE YEARS FROM DATE OF THIS ORDER B) DISGORGE JOINTLY AND SEVERALLY UNLAWFUL GAINS ALONGWITH INTEREST RS.5,04,01,896 (GAIN - RS.3,83,80,477 + INTEREST - RS.1,20,21,419) WITHIN 45 DAYS FROM DATE OF THIS ORDER THROUGH DEMAND DRAFT C) BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS EXCEPT OF THE PURPOSE OF COMPLIANCE WITH THIS ORDER D) NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME DIRECTIONS OF THIS ORDER ARE COMPLIED E) DISPOSED OFF INTERIM ORDER DATED 05/06/2014 READ WITH CONFIRMATORY ORDER DATED 15/09/2014 AND IMPOUNDING ORDER DATED 12/05/2016 ALONG WITH SCN DATED 31/01/2017
SAT: SAT VIDE ITS ORDER DATED 09/09/2021 REJECTED THE MISC.APPLICATION
|
| 2 |
|
|
ALDERBROOKE PORTFOLIO MANAGEMENT SERVICES PVT.LTD.
(CIN:U74140GJ2010PTC059749
PAN:AAICA8270H)
|
|
|
|
ANANDKUMAR KANUBHAI RAVAT
PAN:AIMPR9602D
|
|
|
JALPESHKUMAR AMRUTLAL MAKWANA
PAN:AXLPM4291R
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-DEC-2013 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-DEC-2013 TILL FURTHER ORDERS
DEBARRED FROM ACTING AS UN-REGISTERED PORTFOLIO MANAGER FROM 20-DEC-2013 TILL FURTHER ORDERS
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET FROM 20-DEC-2013 TILL FURTHER ORDERS
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 20-DEC-2013 TILL FURTHER ORDERS
20-DEC-2013
|
SEBI VIDE ITS ORDER DATED 01/04/2014 DIRECTED ALDERBROOKE PORTFOLIO MANAGEMENT SERVICES PVT.LTD. AND ITS DIRECTORS MR. ANANDKUMAR KANUBHAI RAVAT AND MR.JALPESHKUMAR AMRUTLAL MAKWANA TO 1.CEASE AND DESIST FROM ACTING AS UNREGISTERED PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITY OR ANY OTHER ACTIVITIES IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER WITHOUT PROPER AUTHORIZATION / REGISTRATION 2) WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITES, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES OR ANY ACTIVITIES IN SECURITIES MARKET 3) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER, FOR A PERIOD OF FIVE YEARS 4) REFUND THE FUNDS COLLECTED FROM INVESTORS WITH RETURNS WHICH ARE DUE TO THE INVESTORS AS PER TERMS OF INVESTMENT WITHIN A PERIOD OF ONE MONTH FROM DATE OF THIS ORDER
|
| 3 |
|
|
ANUGRAH STOCK & BROKING PVT.LTD.
(PAN:AAACW2920N)
(Depository Participants : CDSL,Member : NSE/BSE/MSEI)
|
|
|
|
PARESH MULJI KARIYA
PAN:AAEPK0469M
|
|
|
SADHANA PARESH KARIYA
PAN:AJHPK6018N
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
OFFERED DERIVATIVES ADVISORY SERVICES
MISSTATEMENT ABOUT DEBTORS AND CREDITORS
SHORTFALL OF CLIENTS FUNDS AND SECURITIES
PAYMENTS MADE TO CLIENTS HAVING RUNNING DEBIT BALANCE
DISCREPANCIES IN MAINTENANCE OF CLIENT RECORDS
|
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR TO CREATE OR INVOKE OR RELEASE ANY INTEREST OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF NSE AND BSE
PROHIBITED FROM ANY UNREGISTERED PORTFOLIO MANAGEMENT SERVICES FROM 13-NOV-2020 TILL COMPLETION OF PROCEEDINGS
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS (INCLUDING ASSETS UNDER POSSESSION OF RECEIVER APPOINTED BY HON'BLE HIGH COURT OF BOMBAY) 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
13-NOV-2020
|
|
| 4 |
|
|
ASIAN CORPORATE CONSULTANCY
|
|
|
|
DILIP ANANTRAI DESAI
PAN:AABPD3489M
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 03-MAR-2016 TO 02-JUN-2016
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM ITS EXISTING CLIENTS / INVESTORS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-MAR-2016 TO 02-JUN-2016
24-APR-2015
|
SEBI VIDE ITS ORDER DATED 03/03/2016 DIRECTED 1) TO PROHIBIT FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF THREE YEARS 2) NOT TO UNDERTAKE, EITHER DIRECTLY OR INDIRECTLY, ANY ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING REGISTRATION FROM SEBI AS REQUIRED UNDER SECURITIES LAW 3) TO EXPEDITIOUSLY RETURN MONIES RECEIVED FROM ITS CLIENTS ALONG WITH PROMISED RETURNS, IN RESPECT OF ITS UNREGISTERED PORTFOLIO MANAGER AND INVESTMENT ADVISER ACTIVITIES AND SUBMIT A CERTIFICATE FROM A PEER REVIEWED CHARTERED ACCOUNTANT, WITHIN A PERIOD OF 3 MONTHS FROM DATE OF THIS ORDER
|
| 5 |
|
|
ATLAS CORP.
(Along with : FULLON CORP.,
LALSHAH MCX ALGO MANAGEMENT CO.,
GLOBAL MCX MANAGEMENT SERVICE,
EAGLE BROKING)
|
|
|
|
FIROZ RAFIQ KHANDA
PAN:AFMPK5766J
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-JUN-2018 TO 19-JUN-2021
05-JUN-2014
DIRECTED TO DISGORGE RS.2,21,86,250 ALONG WITH OTHER ENTITIES/PERSONS
12-MAY-2016
|
SEBI VIDE ITS ORDER DATED 15/09/2014 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 05/06/2014
SEBI VIDE ITS ORDER DATED 12/05/2016 DIRECTED TO 1. IMPOUND UNLAWFUL GAINS OF RS.5,04,01,896 (GAIN OF RS.3,83,80,477 + INTEREST OF RS.1,20,21,419), JOINTLY AND SEVERALLY FROM ALL THE DEFAULTERS 2. BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS, AND ENSURE THAT ALL DIRECTIONS ARE STRICTLY ENFORCED. HOWEVER, CREDITS, IF ANY INTO THE ACCOUNTS MAY BE ALLOWED 3. NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME AMOUNTS ARE CREDITED TO AN ESCROW ACCOUNT CREATED SPECIFICALLY FOR PURPOSE IN A NATIONALIZED BANK AND TO CREATE AN ESCROW ACCOUNT IN FAVOUR OF SEBI AND MONIES KEPT THEREIN SHALL NOT BE RELEASED WITHOUT PERMISSION OF SEBI 4. PROVIDE FULL INVENTORY OF ALL THEIR ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, IF HELD IN PHYSICAL FORM
SEBI VIDE ITS ORDER DATED 20/06/2018 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY FOR A PERIOD OF THREE YEARS FROM DATE OF THIS ORDER B) DISGORGE JOINTLY AND SEVERALLY UNLAWFUL GAINS ALONGWITH INTEREST RS.5,04,01,896 (GAIN - RS.3,83,80,477 + INTEREST - RS.1,20,21,419) WITHIN 45 DAYS FROM DATE OF THIS ORDER THROUGH DEMAND DRAFT C) BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS EXCEPT OF THE PURPOSE OF COMPLIANCE WITH THIS ORDER D) NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME DIRECTIONS OF THIS ORDER ARE COMPLIED E) DISPOSED OFF INTERIM ORDER DATED 05/06/2014 READ WITH CONFIRMATORY ORDER DATED 15/09/2014 AND IMPOUNDING ORDER DATED 12/05/2016 ALONG WITH SCN DATED 31/01/2017
SAT: SAT VIDE ITS ORDER DATED 09/09/2021 REJECTED THE MISC.APPLICATION
|
| 6 |
|
|
ATLAS CORP.
(Along with : FULLON CORP.,
INDIAN TRADING CO.,
OPTION & M.C.X KING,
A TO Z SOLUTION,
LALSHAH MCX ALGO MANAGEMENT CO.,
GLOBAL MCX MANAGEMENT SERVICE)
|
|
|
|
MANSOOR RAFIQ KHANDA
PAN:ALMPK3448B
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-JUN-2018 TO 19-JUN-2021
05-JUN-2014
DIRECTED TO DISGORGE RS.2,82,15,646 ALONG WITH OTHER ENTITIES/PERSONS
12-MAY-2016
|
SEBI VIDE ITS ORDER DATED 15/09/2014 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 05/06/2014
SEBI VIDE ITS ORDER DATED 12/05/2016 DIRECTED TO 1. IMPOUND UNLAWFUL GAINS OF RS.5,04,01,896 (GAIN OF RS.3,83,80,477 + INTEREST OF RS.1,20,21,419), JOINTLY AND SEVERALLY FROM ALL THE DEFAULTERS 2. BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS, AND ENSURE THAT ALL DIRECTIONS ARE STRICTLY ENFORCED. HOWEVER, CREDITS, IF ANY INTO THE ACCOUNTS MAY BE ALLOWED 3. NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME AMOUNTS ARE CREDITED TO AN ESCROW ACCOUNT CREATED SPECIFICALLY FOR PURPOSE IN A NATIONALIZED BANK AND TO CREATE AN ESCROW ACCOUNT IN FAVOUR OF SEBI AND MONIES KEPT THEREIN SHALL NOT BE RELEASED WITHOUT PERMISSION OF SEBI 4. PROVIDE FULL INVENTORY OF ALL THEIR ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, IF HELD IN PHYSICAL FORM
SEBI VIDE ITS ORDER DATED 20/06/2018 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY FOR A PERIOD OF THREE YEARS FROM DATE OF THIS ORDER B) DISGORGE JOINTLY AND SEVERALLY UNLAWFUL GAINS ALONGWITH INTEREST RS.5,04,01,896 (GAIN - RS.3,83,80,477 + INTEREST - RS.1,20,21,419) WITHIN 45 DAYS FROM DATE OF THIS ORDER THROUGH DEMAND DRAFT C) BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS EXCEPT OF THE PURPOSE OF COMPLIANCE WITH THIS ORDER D) NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME DIRECTIONS OF THIS ORDER ARE COMPLIED E) DISPOSED OFF INTERIM ORDER DATED 05/06/2014 READ WITH CONFIRMATORY ORDER DATED 15/09/2014 AND IMPOUNDING ORDER DATED 12/05/2016 ALONG WITH SCN DATED 31/01/2017
SAT: SAT VIDE ITS ORDER DATED 09/09/2021 REJECTED THE MISC.APPLICATION
|
| 7 |
|
|
BLISS CONSULTANTS
(PAN:AMMPM0167G)
|
|
|
|
ASHESH SHAILESH MEHTA
PAN:AMMPM0167G
|
|
|
SHIVANGI ASHESH MEHTA
PAN:AKJPL8198F
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
DIRECTED TO REFUND MONEY RECEIVED FROM CLIENTS/INVESTORS/COMPLAINANT AS FEES OR CONSIDERATION OR IN ANY OTHER FORM IN RESPECT OF UNREGISTERED PORTFOLIO MANAGER ACTIVITIES
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 24-APR-2025 TO 23-APR-2028
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DIRECTED TO DEPOSIT REMAINING BALANCE AMOUNT WITH SEBI TO BE KEPT IN ESCROW ACCOUNT
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 24-APR-2025 TO 23-APR-2028
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-APR-2025 TO 23-APR-2028
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY INVESTMENT ADVISORY SERVICES AND/OR RESEARCH ANALYST ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI FROM 24-APR-2025 TO 23-APR-2028
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
24-APR-2025
|
|
| 8 |
|
|
BULL TRADER
|
|
|
|
VALI MAMAD HABIB GHANIWALA
PAN:BGHPG6861M
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-AUG-2013 TO 19-AUG-2018
DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 20-AUG-2013 TO 19-AUG-2018
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET FROM 20-AUG-2013 TO 19-AUG-2018
20-AUG-2013
|
SEBI VIDE ITS ORDER DATED 30/12/2013 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 20/08/2013
SEBI VIDE ITS ORDER DATED 11/09/2014 RESTRAINED THE NOTICEES FROM BUYING, SELLING OR DEALING IN THE SECUTITIES MARKET, EITHER DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER FOR A PERIOD OF 5 YEARS
|
| 9 |
|
|
DELTA ALLIANCE FINANCIAL SERVICES
|
|
|
|
RAJEEV KAPOOR
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
LURED LARGE NUMBER OF UNSUSPECTING INVESTORS OF EASTERN REGION BY ASSURING THEM HIGH RETURNS
|
RESTRAINED FROM ACCEPTING LOANS/DEPOSITS FROM PUBLIC FOR SECURITIES MARKET FROM 02-JAN-2004 TILL FURTHER ORDER
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-JAN-2004 TILL FURTHER ORDER
DEBARRED FROM ACTING AS UN-REGISTERED PORTFOLIO MANAGER FROM 02-JAN-2004 TILL FURTHER ORDER
DEBARRED FROM PUBLISHING ADVERTISEMENTS LURING INVESTORS TO INVEST IN SECURITIES MARKET FROM 02-JAN-2004 TILL FURTHER ORDER
02-JAN-2004
|
FILED CRIMINAL COMPLAINT ON 11/07/2008 AND PUBLIC CAUTIONED AND ADVISED NOT TO DEAL WITH RAJEEV KAPOOR
|
| 10 |
|
|
DELTA ALLIANCE INVESTMENTS
|
|
|
|
SANTA CHAKARABORTY
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
LURED LARGE NUMBER OF UNSUSPECTING INVESTORS OF EASTERN REGION BY ASSURING THEM HIGH RETURNS
|
RESTRAINED FROM ACCEPTING LOANS/DEPOSITS FROM PUBLIC FOR SECURITIES MARKET FROM 16-AUG-2004 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-AUG-2004 TILL FURTHER ORDERS
DEBARRED FROM ACTING AS UN-REGISTERED PORTFOLIO MANAGER FROM 16-AUG-2004 TILL FURTHER ORDERS
DEBARRED FROM PUBLISHING ADVERTISEMENTS LURING INVESTORS TO INVEST IN SECURITIES MARKET FROM 16-AUG-2004 TILL FURTHER ORDERS
16-AUG-2004
|
FILED CRIMINAL COMPLAINT ON 11/07/2008 AND PUBLIC CAUTIONED AND ADVISED NOT TO DEAL WITH RAJEEV KAPOOR
|
| 11 |
|
|
EAGLE BROKING
(Along with : FULLON CORP.,
LALSHAH MCX ALGO MANAGEMENT CO.,
ATLAS CORP.,
GLOBAL MCX MANAGEMENT SERVICE)
|
|
|
|
FIROZ RAFIQ KHANDA
PAN:AFMPK5766J
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-JUN-2018 TO 19-JUN-2021
05-JUN-2014
DIRECTED TO DISGORGE RS.2,21,86,250 ALONG WITH OTHER ENTITIES/PERSONS
12-MAY-2016
|
SEBI VIDE ITS ORDER DATED 15/09/2014 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 05/06/2014
SEBI VIDE ITS ORDER DATED 12/05/2016 DIRECTED TO 1. IMPOUND UNLAWFUL GAINS OF RS.5,04,01,896 (GAIN OF RS.3,83,80,477 + INTEREST OF RS.1,20,21,419), JOINTLY AND SEVERALLY FROM ALL THE DEFAULTERS 2. BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS, AND ENSURE THAT ALL DIRECTIONS ARE STRICTLY ENFORCED. HOWEVER, CREDITS, IF ANY INTO THE ACCOUNTS MAY BE ALLOWED 3. NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME AMOUNTS ARE CREDITED TO AN ESCROW ACCOUNT CREATED SPECIFICALLY FOR PURPOSE IN A NATIONALIZED BANK AND TO CREATE AN ESCROW ACCOUNT IN FAVOUR OF SEBI AND MONIES KEPT THEREIN SHALL NOT BE RELEASED WITHOUT PERMISSION OF SEBI 4. PROVIDE FULL INVENTORY OF ALL THEIR ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, IF HELD IN PHYSICAL FORM
SEBI VIDE ITS ORDER DATED 20/06/2018 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY FOR A PERIOD OF THREE YEARS FROM DATE OF THIS ORDER B) DISGORGE JOINTLY AND SEVERALLY UNLAWFUL GAINS ALONGWITH INTEREST RS.5,04,01,896 (GAIN - RS.3,83,80,477 + INTEREST - RS.1,20,21,419) WITHIN 45 DAYS FROM DATE OF THIS ORDER THROUGH DEMAND DRAFT C) BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS EXCEPT OF THE PURPOSE OF COMPLIANCE WITH THIS ORDER D) NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME DIRECTIONS OF THIS ORDER ARE COMPLIED E) DISPOSED OFF INTERIM ORDER DATED 05/06/2014 READ WITH CONFIRMATORY ORDER DATED 15/09/2014 AND IMPOUNDING ORDER DATED 12/05/2016 ALONG WITH SCN DATED 31/01/2017
SAT: SAT VIDE ITS ORDER DATED 09/09/2021 REJECTED THE MISC.APPLICATION
|
| 12 |
|
|
FULLON CORP.
(Along with : LALSHAH MCX ALGO MANAGEMENT CO.,
ATLAS CORP.,
GLOBAL MCX MANAGEMENT SERVICE,
EAGLE BROKING)
|
|
|
|
FIROZ RAFIQ KHANDA
PAN:AFMPK5766J
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-JUN-2018 TO 19-JUN-2021
05-JUN-2014
DIRECTED TO DISGORGE RS.2,21,86,250 ALONG WITH OTHER ENTITIES/PERSONS
12-MAY-2016
|
SEBI VIDE ITS ORDER DATED 15/09/2014 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 05/06/2014
SEBI VIDE ITS ORDER DATED 12/05/2016 DIRECTED TO 1. IMPOUND UNLAWFUL GAINS OF RS.5,04,01,896 (GAIN OF RS.3,83,80,477 + INTEREST OF RS.1,20,21,419), JOINTLY AND SEVERALLY FROM ALL THE DEFAULTERS 2. BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS, AND ENSURE THAT ALL DIRECTIONS ARE STRICTLY ENFORCED. HOWEVER, CREDITS, IF ANY INTO THE ACCOUNTS MAY BE ALLOWED 3. NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME AMOUNTS ARE CREDITED TO AN ESCROW ACCOUNT CREATED SPECIFICALLY FOR PURPOSE IN A NATIONALIZED BANK AND TO CREATE AN ESCROW ACCOUNT IN FAVOUR OF SEBI AND MONIES KEPT THEREIN SHALL NOT BE RELEASED WITHOUT PERMISSION OF SEBI 4. PROVIDE FULL INVENTORY OF ALL THEIR ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, IF HELD IN PHYSICAL FORM
SEBI VIDE ITS ORDER DATED 20/06/2018 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY FOR A PERIOD OF THREE YEARS FROM DATE OF THIS ORDER B) DISGORGE JOINTLY AND SEVERALLY UNLAWFUL GAINS ALONGWITH INTEREST RS.5,04,01,896 (GAIN - RS.3,83,80,477 + INTEREST - RS.1,20,21,419) WITHIN 45 DAYS FROM DATE OF THIS ORDER THROUGH DEMAND DRAFT C) BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS EXCEPT OF THE PURPOSE OF COMPLIANCE WITH THIS ORDER D) NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME DIRECTIONS OF THIS ORDER ARE COMPLIED E) DISPOSED OFF INTERIM ORDER DATED 05/06/2014 READ WITH CONFIRMATORY ORDER DATED 15/09/2014 AND IMPOUNDING ORDER DATED 12/05/2016 ALONG WITH SCN DATED 31/01/2017
SAT: SAT VIDE ITS ORDER DATED 09/09/2021 REJECTED THE MISC.APPLICATION
|
| 13 |
|
|
FULLON CORP.
(Along with : INDIAN TRADING CO.,
OPTION & M.C.X KING,
A TO Z SOLUTION,
LALSHAH MCX ALGO MANAGEMENT CO.,
GLOBAL MCX MANAGEMENT SERVICE,
ATLAS CORP.)
|
|
|
|
MANSOOR RAFIQ KHANDA
PAN:ALMPK3448B
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-JUN-2018 TO 19-JUN-2021
05-JUN-2014
DIRECTED TO DISGORGE RS.2,82,15,646 ALONG WITH OTHER ENTITIES/PERSONS
12-MAY-2016
|
SEBI VIDE ITS ORDER DATED 15/09/2014 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 05/06/2014
SEBI VIDE ITS ORDER DATED 12/05/2016 DIRECTED TO 1. IMPOUND UNLAWFUL GAINS OF RS.5,04,01,896 (GAIN OF RS.3,83,80,477 + INTEREST OF RS.1,20,21,419), JOINTLY AND SEVERALLY FROM ALL THE DEFAULTERS 2. BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS, AND ENSURE THAT ALL DIRECTIONS ARE STRICTLY ENFORCED. HOWEVER, CREDITS, IF ANY INTO THE ACCOUNTS MAY BE ALLOWED 3. NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME AMOUNTS ARE CREDITED TO AN ESCROW ACCOUNT CREATED SPECIFICALLY FOR PURPOSE IN A NATIONALIZED BANK AND TO CREATE AN ESCROW ACCOUNT IN FAVOUR OF SEBI AND MONIES KEPT THEREIN SHALL NOT BE RELEASED WITHOUT PERMISSION OF SEBI 4. PROVIDE FULL INVENTORY OF ALL THEIR ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, IF HELD IN PHYSICAL FORM
SEBI VIDE ITS ORDER DATED 20/06/2018 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY FOR A PERIOD OF THREE YEARS FROM DATE OF THIS ORDER B) DISGORGE JOINTLY AND SEVERALLY UNLAWFUL GAINS ALONGWITH INTEREST RS.5,04,01,896 (GAIN - RS.3,83,80,477 + INTEREST - RS.1,20,21,419) WITHIN 45 DAYS FROM DATE OF THIS ORDER THROUGH DEMAND DRAFT C) BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS EXCEPT OF THE PURPOSE OF COMPLIANCE WITH THIS ORDER D) NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME DIRECTIONS OF THIS ORDER ARE COMPLIED E) DISPOSED OFF INTERIM ORDER DATED 05/06/2014 READ WITH CONFIRMATORY ORDER DATED 15/09/2014 AND IMPOUNDING ORDER DATED 12/05/2016 ALONG WITH SCN DATED 31/01/2017
SAT: SAT VIDE ITS ORDER DATED 09/09/2021 REJECTED THE MISC.APPLICATION
|
| 14 |
|
|
GLOBAL MCX MANAGEMENT SERVICE
(Along with : FULLON CORP.,
INDIAN TRADING CO.,
OPTION & M.C.X KING,
A TO Z SOLUTION,
LALSHAH MCX ALGO MANAGEMENT CO.,
ATLAS CORP.)
|
|
|
|
MANSOOR RAFIQ KHANDA
PAN:ALMPK3448B
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-JUN-2018 TO 19-JUN-2021
05-JUN-2014
DIRECTED TO DISGORGE RS.2,82,15,646 ALONG WITH OTHER ENTITIES/PERSONS
12-MAY-2016
|
SEBI VIDE ITS ORDER DATED 15/09/2014 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 05/06/2014
SEBI VIDE ITS ORDER DATED 12/05/2016 DIRECTED TO 1. IMPOUND UNLAWFUL GAINS OF RS.5,04,01,896 (GAIN OF RS.3,83,80,477 + INTEREST OF RS.1,20,21,419), JOINTLY AND SEVERALLY FROM ALL THE DEFAULTERS 2. BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS, AND ENSURE THAT ALL DIRECTIONS ARE STRICTLY ENFORCED. HOWEVER, CREDITS, IF ANY INTO THE ACCOUNTS MAY BE ALLOWED 3. NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME AMOUNTS ARE CREDITED TO AN ESCROW ACCOUNT CREATED SPECIFICALLY FOR PURPOSE IN A NATIONALIZED BANK AND TO CREATE AN ESCROW ACCOUNT IN FAVOUR OF SEBI AND MONIES KEPT THEREIN SHALL NOT BE RELEASED WITHOUT PERMISSION OF SEBI 4. PROVIDE FULL INVENTORY OF ALL THEIR ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, IF HELD IN PHYSICAL FORM
SEBI VIDE ITS ORDER DATED 20/06/2018 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY FOR A PERIOD OF THREE YEARS FROM DATE OF THIS ORDER B) DISGORGE JOINTLY AND SEVERALLY UNLAWFUL GAINS ALONGWITH INTEREST RS.5,04,01,896 (GAIN - RS.3,83,80,477 + INTEREST - RS.1,20,21,419) WITHIN 45 DAYS FROM DATE OF THIS ORDER THROUGH DEMAND DRAFT C) BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS EXCEPT OF THE PURPOSE OF COMPLIANCE WITH THIS ORDER D) NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME DIRECTIONS OF THIS ORDER ARE COMPLIED E) DISPOSED OFF INTERIM ORDER DATED 05/06/2014 READ WITH CONFIRMATORY ORDER DATED 15/09/2014 AND IMPOUNDING ORDER DATED 12/05/2016 ALONG WITH SCN DATED 31/01/2017
SAT: SAT VIDE ITS ORDER DATED 09/09/2021 REJECTED THE MISC.APPLICATION
|
| 15 |
|
|
GLOBAL MCX MANAGEMENT SERVICE
(Along with : FULLON CORP.,
LALSHAH MCX ALGO MANAGEMENT CO.,
ATLAS CORP.,
EAGLE BROKING)
|
|
|
|
FIROZ RAFIQ KHANDA
PAN:AFMPK5766J
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-JUN-2018 TO 19-JUN-2021
05-JUN-2014
DIRECTED TO DISGORGE RS.2,21,86,250 ALONG WITH OTHER ENTITIES/PERSONS
12-MAY-2016
|
SEBI VIDE ITS ORDER DATED 15/09/2014 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 05/06/2014
SEBI VIDE ITS ORDER DATED 12/05/2016 DIRECTED TO 1. IMPOUND UNLAWFUL GAINS OF RS.5,04,01,896 (GAIN OF RS.3,83,80,477 + INTEREST OF RS.1,20,21,419), JOINTLY AND SEVERALLY FROM ALL THE DEFAULTERS 2. BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS, AND ENSURE THAT ALL DIRECTIONS ARE STRICTLY ENFORCED. HOWEVER, CREDITS, IF ANY INTO THE ACCOUNTS MAY BE ALLOWED 3. NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME AMOUNTS ARE CREDITED TO AN ESCROW ACCOUNT CREATED SPECIFICALLY FOR PURPOSE IN A NATIONALIZED BANK AND TO CREATE AN ESCROW ACCOUNT IN FAVOUR OF SEBI AND MONIES KEPT THEREIN SHALL NOT BE RELEASED WITHOUT PERMISSION OF SEBI 4. PROVIDE FULL INVENTORY OF ALL THEIR ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, IF HELD IN PHYSICAL FORM
SEBI VIDE ITS ORDER DATED 20/06/2018 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY FOR A PERIOD OF THREE YEARS FROM DATE OF THIS ORDER B) DISGORGE JOINTLY AND SEVERALLY UNLAWFUL GAINS ALONGWITH INTEREST RS.5,04,01,896 (GAIN - RS.3,83,80,477 + INTEREST - RS.1,20,21,419) WITHIN 45 DAYS FROM DATE OF THIS ORDER THROUGH DEMAND DRAFT C) BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS EXCEPT OF THE PURPOSE OF COMPLIANCE WITH THIS ORDER D) NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME DIRECTIONS OF THIS ORDER ARE COMPLIED E) DISPOSED OFF INTERIM ORDER DATED 05/06/2014 READ WITH CONFIRMATORY ORDER DATED 15/09/2014 AND IMPOUNDING ORDER DATED 12/05/2016 ALONG WITH SCN DATED 31/01/2017
SAT: SAT VIDE ITS ORDER DATED 09/09/2021 REJECTED THE MISC.APPLICATION
|
| 16 |
|
|
GSB SECURITIES PVT.LTD.
(PAN:AAACG9905H)
|
|
|
ALLEGED INDULGENCE IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.28,00,000 VIDE CONSENT ORDER)
31-OCT-2012
|
|
| 17 |
|
|
INDIAN TRADING CO.
(Along with : FULLON CORP.,
OPTION & M.C.X KING,
A TO Z SOLUTION,
LALSHAH MCX ALGO MANAGEMENT CO.,
GLOBAL MCX MANAGEMENT SERVICE,
ATLAS CORP.)
|
|
|
|
MANSOOR RAFIQ KHANDA
PAN:ALMPK3448B
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-JUN-2018 TO 19-JUN-2021
05-JUN-2014
DIRECTED TO DISGORGE RS.2,82,15,646 ALONG WITH OTHER ENTITIES/PERSONS
12-MAY-2016
|
SEBI VIDE ITS ORDER DATED 15/09/2014 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 05/06/2014
SEBI VIDE ITS ORDER DATED 12/05/2016 DIRECTED TO 1. IMPOUND UNLAWFUL GAINS OF RS.5,04,01,896 (GAIN OF RS.3,83,80,477 + INTEREST OF RS.1,20,21,419), JOINTLY AND SEVERALLY FROM ALL THE DEFAULTERS 2. BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS, AND ENSURE THAT ALL DIRECTIONS ARE STRICTLY ENFORCED. HOWEVER, CREDITS, IF ANY INTO THE ACCOUNTS MAY BE ALLOWED 3. NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME AMOUNTS ARE CREDITED TO AN ESCROW ACCOUNT CREATED SPECIFICALLY FOR PURPOSE IN A NATIONALIZED BANK AND TO CREATE AN ESCROW ACCOUNT IN FAVOUR OF SEBI AND MONIES KEPT THEREIN SHALL NOT BE RELEASED WITHOUT PERMISSION OF SEBI 4. PROVIDE FULL INVENTORY OF ALL THEIR ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, IF HELD IN PHYSICAL FORM
SEBI VIDE ITS ORDER DATED 20/06/2018 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY FOR A PERIOD OF THREE YEARS FROM DATE OF THIS ORDER B) DISGORGE JOINTLY AND SEVERALLY UNLAWFUL GAINS ALONGWITH INTEREST RS.5,04,01,896 (GAIN - RS.3,83,80,477 + INTEREST - RS.1,20,21,419) WITHIN 45 DAYS FROM DATE OF THIS ORDER THROUGH DEMAND DRAFT C) BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS EXCEPT OF THE PURPOSE OF COMPLIANCE WITH THIS ORDER D) NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME DIRECTIONS OF THIS ORDER ARE COMPLIED E) DISPOSED OFF INTERIM ORDER DATED 05/06/2014 READ WITH CONFIRMATORY ORDER DATED 15/09/2014 AND IMPOUNDING ORDER DATED 12/05/2016 ALONG WITH SCN DATED 31/01/2017
SAT: SAT VIDE ITS ORDER DATED 09/09/2021 REJECTED THE MISC.APPLICATION
|
| 18 |
|
|
JHP SECURITIES PVT.LTD.
(PAN:AAACJ2847H)
|
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
IMPOSED PENALTY RS.3,00,000
23-OCT-2017
|
SAT: APPEAL DISMISSED. NO COSTS
|
| 19 |
|
|
JOGLEKAR INVESTMENTS PVT.LTD.
(CIN:U65993PN1997PTC106626)
|
|
|
|
MADHAV PRASAD JOGLEKAR
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-OCT-2007 TILL COMPLETION OF INQUIRY
17-OCT-2007
|
WITHDRAWN INTERIM ORDER DATED 17/10/2007
|
| 20 |
|
|
KE CONSULTING GROUP
(PAN:ACTPT8377N)
|
|
|
|
MANISH HARISH THAKKAR
PAN:ACTPT8377N
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-FEB-2018 TO 01-FEB-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-FEB-2018 TO 01-FEB-2025
DIRECTED TO WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITES ETC.
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC OR OFFER ANY PORTFOLIO MANAGEMENT SERVICES FROM 02-FEB-2018 TO 01-FEB-2025
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
RESTRAINED FROM ASSOCIATING WITH ANY INTERMEDIARY REGISTERED WITH SEBI IN ANY OFFICIAL CAPACITY FROM 02-FEB-2018 TO 01-FEB-2025
28-FEB-2012
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SAT: APPEAL DISPOSED OFF WITHOUT ANY DIRECTION. NO ORDER AS TO COSTS
SEBI VIDE ITS ORDER DATED 02/02/2018 DIRECTED NOT TO 1) ACCESS SECURITIES MARKET OR BUY,SELL OR OTHERWISE DEAL IN SECURITIES MARKET EITHER DIRECTLY OR INDIRECTLY FOR A PERIOD OF SEVEN YEARS 2) ASSOCIATE HIMSELF WITH ANY LISTED COMPANY OR COMPANY INTENDING TO RAISE MONEY FROM PUBLIC, OR ANY REGISTERED INTERMEDIARY, IN THE CAPACITY OF A DIRECTOR, KEY MANAGEMENT PERSONNEL OR PARTNER FOR A PERIOD OF SEVEN YEARS 3) MOBILIZE FUNDS FROM PUBLIC OR OFFER ANY PORTFOLIO MANAGEMENT SERVICES FOR A PERIOD OF SEVEN YEARS FROM THE DATE OF THIS ORDER
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