| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
AI GROWTH ADVISORS PVT.LTD.
(PAN:AACCU6530E)
(Along with : ALTGRAAF,M/S)
|
|
|
ENGAGED IN SOLICITATION AND SALE OF UNLISTED NON-CONVERTIBLE DEBENTURES (NCDS)TO RETAIL INVESTORS ON UNREGISTERED ONLINE PLATFORMS
|
DIRECTED TO CEASE AND DESIST FROM OFFERING SECURITIES FOR PUBLIC SUBSCRIPTION OR FROM BEING OFFERED FOR SALE ON THEIR PLATFORMS
DIRECTED TO PRESERVE ALL RECORDS AND COMMUNICATIONS REGARDING OFFERINGS MADE AVAILABLE ON THEIR PLATFORMS FROM THEIR INCEPTION AS WELL AS ANY INVESTMENTS MADE BY THE NOTICEES OR THEIR ASSOCIATED COMPANIES IN SECURITIES
18-NOV-2024
|
|
| 2 |
|
|
ALTGRAAF,M/S
(PAN:AACCU6530E)
(Along with : AI GROWTH ADVISORS PVT.LTD.)
|
|
|
ENGAGED IN SOLICITATION AND SALE OF UNLISTED NON-CONVERTIBLE DEBENTURES (NCDS)TO RETAIL INVESTORS ON UNREGISTERED ONLINE PLATFORMS
|
DIRECTED TO CEASE AND DESIST FROM OFFERING SECURITIES FOR PUBLIC SUBSCRIPTION OR FROM BEING OFFERED FOR SALE ON THEIR PLATFORMS
DIRECTED TO PRESERVE ALL RECORDS AND COMMUNICATIONS REGARDING OFFERINGS MADE AVAILABLE ON THEIR PLATFORMS FROM THEIR INCEPTION AS WELL AS ANY INVESTMENTS MADE BY THE NOTICEES OR THEIR ASSOCIATED COMPANIES IN SECURITIES
18-NOV-2024
|
|
| 3 |
|
|
ALTGRAAF,M/S
(PAN:AAICT9574F)
(Along with : TEXTERITY PVT.LTD.)
|
|
|
ENGAGED IN SOLICITATION AND SALE OF UNLISTED NON-CONVERTIBLE DEBENTURES (NCDS)TO RETAIL INVESTORS ON UNREGISTERED ONLINE PLATFORMS
|
DIRECTED TO CEASE AND DESIST FROM OFFERING SECURITIES FOR PUBLIC SUBSCRIPTION OR FROM BEING OFFERED FOR SALE ON THEIR PLATFORMS
DIRECTED TO PRESERVE ALL RECORDS AND COMMUNICATIONS REGARDING OFFERINGS MADE AVAILABLE ON THEIR PLATFORMS FROM THEIR INCEPTION AS WELL AS ANY INVESTMENTS MADE BY THE NOTICEES OR THEIR ASSOCIATED COMPANIES IN SECURITIES
18-NOV-2024
|
|
| 4 |
|
|
AMRAPALI AADYA TRADING & INVESTMENT PVT.LTD.
(PAN:AAECA3909P)
|
|
|
|
ABNISH KUMAR SUDHANSHU
PAN:AXQPS1237C
|
|
|
NARAYAN JEE THAKUR
PAN:ADIPT8774F
|
|
|
PAWAN MISHRA
PAN:AMIPM6148D
|
|
|
SUJEET KUMAR SONA
PAN:CWTPS3069L
|
|
CREATED PLEDGE OF SECUTITIES OF ITS CLIENTS AND DID NOT MAKE DISCLOSURE TO NSE VIOLATING CLAUSES A(1) AND A(5) OF CODE OF CONDUCT PRESCRIBED FOR STOCK BROKERS UNDER SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT REPORT ITS DP ACCOUNTS TO NSE VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/MIRSD2/CIR/P/2016/95 DATED 26/09/2016
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-AUG-2017 UNTIL FURTHER ORDERS
DEBARRED FROM ACTING AS UN-REGISTERED PORTFOLIO MANAGER FROM 22-AUG-2017 UNTIL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-AUG-2017 UNTIL FURTHER ORDERS
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 22-AUG-2017 UNTIL FURTHER ORDERS
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, 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 NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO UTILIZE ASSETS OF THE ENTITIES ONLY FOR THE PURPOSE OF PAYMENT OF MONEY AND/OR DELIVERY OF SECURITIES, AS THE CASE MAY BE, TO CLIENTS/INVESTORS UNDER THE SUPERVISION OF CONCERNED STOCK EXCHANGE(S)
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 BY AMRAPALI AADYA TRADING & INVESTMENT PVT.LTD. AND AADYA COMMODITIES PVT.LTD. AND MR.SANJEEVA KUMAR SINHA EXCEPT FOR THE PURPOSE OF PAYMENT OF MONEY TO CLIENTS/INVESTORS UNDER WRITTEN CONFIRMATION OF CONCERNED STOCK EXCHANGES
22-AUG-2017
|
|
| 5 |
|
|
BERKELIUM TECHNOLOGIES PVT.LTD.
(PAN:AALCB1337P)
(Along with : STABLE INVESTMENTS)
|
|
|
ENGAGED IN SOLICITATION AND SALE OF UNLISTED NON-CONVERTIBLE DEBENTURES (NCDS)TO RETAIL INVESTORS ON UNREGISTERED ONLINE PLATFORMS
|
DIRECTED TO CEASE AND DESIST FROM OFFERING SECURITIES FOR PUBLIC SUBSCRIPTION OR FROM BEING OFFERED FOR SALE ON THEIR PLATFORMS
DIRECTED TO PRESERVE ALL RECORDS AND COMMUNICATIONS REGARDING OFFERINGS MADE AVAILABLE ON THEIR PLATFORMS FROM THEIR INCEPTION AS WELL AS ANY INVESTMENTS MADE BY THE NOTICEES OR THEIR ASSOCIATED COMPANIES IN SECURITIES
18-NOV-2024
|
|
| 6 |
|
|
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
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-JAN-2004
DEBARRED FROM ACTING AS UN-REGISTERED PORTFOLIO MANAGER FROM 02-JAN-2004
DEBARRED FROM PUBLISHING ADVERTISEMENTS LURING INVESTORS TO INVEST IN SECURITIES MARKET FROM 02-JAN-2004
02-JAN-2004
|
FILED CRIMINAL COMPLAINT ON 11/07/2008 AND PUBLIC CAUTIONED AND ADVISED NOT TO DEAL WITH RAJEEV KAPOOR
|
| 7 |
|
|
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
|
| 8 |
|
|
PURPLE PETAL INVEST PVT.LTD.
(PAN:AAMCP1499D)
(Along with : TAP INVEST)
|
|
|
ENGAGED IN SOLICITATION AND SALE OF UNLISTED NON-CONVERTIBLE DEBENTURES (NCDS)TO RETAIL INVESTORS ON UNREGISTERED ONLINE PLATFORMS
|
DIRECTED TO CEASE AND DESIST FROM OFFERING SECURITIES FOR PUBLIC SUBSCRIPTION OR FROM BEING OFFERED FOR SALE ON THEIR PLATFORMS
DIRECTED TO PRESERVE ALL RECORDS AND COMMUNICATIONS REGARDING OFFERINGS MADE AVAILABLE ON THEIR PLATFORMS FROM THEIR INCEPTION AS WELL AS ANY INVESTMENTS MADE BY THE NOTICEES OR THEIR ASSOCIATED COMPANIES IN SECURITIES
18-NOV-2024
|
|
| 9 |
|
|
STABLE INVESTMENTS
(PAN:AALCB1337P)
(Along with : BERKELIUM TECHNOLOGIES PVT.LTD.)
|
|
|
ENGAGED IN SOLICITATION AND SALE OF UNLISTED NON-CONVERTIBLE DEBENTURES (NCDS)TO RETAIL INVESTORS ON UNREGISTERED ONLINE PLATFORMS
|
DIRECTED TO CEASE AND DESIST FROM OFFERING SECURITIES FOR PUBLIC SUBSCRIPTION OR FROM BEING OFFERED FOR SALE ON THEIR PLATFORMS
DIRECTED TO PRESERVE ALL RECORDS AND COMMUNICATIONS REGARDING OFFERINGS MADE AVAILABLE ON THEIR PLATFORMS FROM THEIR INCEPTION AS WELL AS ANY INVESTMENTS MADE BY THE NOTICEES OR THEIR ASSOCIATED COMPANIES IN SECURITIES
18-NOV-2024
|
|
| 10 |
|
|
STOCK MARKET NAVIGATOR (SMN)
(PAN:ANBPS5743A)
|
|
|
|
ANIRUDH P.SETHI
PAN:ANBPS5743A
|
|
MISLED INVESTORS BY INDULGING IN ACTIVITIES PREJUDICIAL TO PRICE DISCOVERY MECHANISM OF STOCK EXCHANGE
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
DIRECTED TO CEASE & DESIST FROM GIVING MISLEADING RECOMMENDATIONS IN ANY PUBLIC ACCESSIBLE MEDIA
DEBARRED FROM ACTING AS UN-REGISTERED PORTFOLIO MANAGER FROM 19-JAN-2007
19-JAN-2007
|
ORDER DATED 19/01/2007 APPLICABLE TO ANY OTHER BUSINESS NAME EMPLOYED BY MR. ANIRUDH SETHI
AD INTERIM EX-PARTE ORDER DATED 19/01/2007 CONFIRMED AND CAUTIONED ANIRUDH SETHI OF HIS DEALING IN SECURITIES MARKET AND ADVISED STRICTLY TO FOLLOW HIS UNDERTAKING DATED 12/03/2007. DIRECTIONS TO CEASE AND DESIST FROM ACTING AS AN UNREGISTERED PORTFOLIO MANAGER STANDS VACATED
SEBI VIDE ITS ORDER DATED 16/03/2018 DIRECTED TO A) REFUND THE MONEY RECEIVED FROM ITS CLIENTS AS FEES/PROFIT SHARING/COMPENSATION IN ANY OTHER FORM, IN RESPECT OF ITS UNREGISTERED INVESTMENT ADVISORY ACTIVITIES AND UNREGISTERED RESEARCH ANALYST SERVICES B) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING THE MODALITIES FOR REFUND C) REPAYMENTS TO THE CLIENTS SHALL BE EFFECTED ONLY THROUGH BANK DEMAND DRAFT OR PAY ORDER D) NOT TO DIVERT ANY FUNDS RAISED FROM INVESTORS, KEPT IN BANK ACCOUNTS AND/OR IN HIS CUSTODY, EXCEPT FOR THE PURPOSE OF REFUNDS TO THE CLIENTS. BANKS AND DEPOSITORIES ARE DIRECTED THAT NO DEBIT SHALL BE MADE, WITHOUT PERMISSION OF SEBI, IN RESPECT OF THE BANK ACCOUNTS AND DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, BY MR. ANIRUDH SETHI E) SUBMIT A CERTIFICATE FROM A PEER REVIEWED CHARTERED ACCOUNTANT WHO IS IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION, WITHIN A PERIOD OF 3 MONTHS FROM THE DATE OF THIS ORDER F) NOT TO, DIRECTLY OR INDIRECTLY, ACCESS SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER ANY MANNER FOR A PERIOD OF FOUR YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS G) RESTRAINED FROM ASSOCIATING THEMSELVES WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC, OR ANY INTERMEDIARY REGISTERED WITH SEBI FOR A PERIOD OF FOUR YEARS FROM THE DATE OF COMPLETION OF REFUNDS TO INVESTORS H) NOT TO UNDERTAKE, EITHER DIRECTLY OR INDIRECTLY, INVESTMENT ADVISORY SERVICES, RESEARCH ANALYST SERVICES OR ANY ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
|
| 11 |
|
|
TAP INVEST
(PAN:AAMCP1499D)
(Along with : PURPLE PETAL INVEST PVT.LTD.)
|
|
|
ENGAGED IN SOLICITATION AND SALE OF UNLISTED NON-CONVERTIBLE DEBENTURES (NCDS)TO RETAIL INVESTORS ON UNREGISTERED ONLINE PLATFORMS
|
DIRECTED TO CEASE AND DESIST FROM OFFERING SECURITIES FOR PUBLIC SUBSCRIPTION OR FROM BEING OFFERED FOR SALE ON THEIR PLATFORMS
DIRECTED TO PRESERVE ALL RECORDS AND COMMUNICATIONS REGARDING OFFERINGS MADE AVAILABLE ON THEIR PLATFORMS FROM THEIR INCEPTION AS WELL AS ANY INVESTMENTS MADE BY THE NOTICEES OR THEIR ASSOCIATED COMPANIES IN SECURITIES
18-NOV-2024
|
|
| 12 |
|
|
TEXTERITY PVT.LTD.
(PAN:AAICT9574F)
(Along with : ALTGRAAF,M/S)
|
|
|
ENGAGED IN SOLICITATION AND SALE OF UNLISTED NON-CONVERTIBLE DEBENTURES (NCDS)TO RETAIL INVESTORS ON UNREGISTERED ONLINE PLATFORMS
|
DIRECTED TO CEASE AND DESIST FROM OFFERING SECURITIES FOR PUBLIC SUBSCRIPTION OR FROM BEING OFFERED FOR SALE ON THEIR PLATFORMS
DIRECTED TO PRESERVE ALL RECORDS AND COMMUNICATIONS REGARDING OFFERINGS MADE AVAILABLE ON THEIR PLATFORMS FROM THEIR INCEPTION AS WELL AS ANY INVESTMENTS MADE BY THE NOTICEES OR THEIR ASSOCIATED COMPANIES IN SECURITIES
18-NOV-2024
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
