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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
UPDATED TILL : 16-DEC-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 COMMUNICATE ORDER TO COMPLAINANTS WHOSE COMPLAINTS PENDING RESOLUTION

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

(PAN:AISPV5820B)  
Click here to view complete history of this specific entity/person INVESTMENT VISOR

PAN:AISPV5820B
  		DID NOT CO-OPERATE AND NOT SUBMITTED DOCUMENTS DURING INSPECTION

DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES IN STIPULATED TIME

PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS

DID NOT POSSESS NISM CERTIFICATE

DID NOT MAINTAIN RECORDS OF COMMUNICATION WITH CLIENTS DURING RISK PROFILING AND SUITABILITY ASSESSMENT OF ADVICE/SELECTION OF ADVISORY PRODUCT/SERVICES

SOLD MULTIPLE PRODUCTS AND CHARGED UNREASONABLE FEES AND/OR SERVICE CHARGE

PUBLISHED FALSE CLAIMS ON WEBSITE AND PHONE CALLS

CHARGED GST AMOUNTS EVEN AFTER CANCELLATION OF GOODS AND SERVICES TAX NETWORK (GSTN)   		DIRECTED TO COMMUNICATE ORDER TO COMPLAINANTS WHOSE COMPLAINTS PENDING RESOLUTION

DIRECTED TO RESOLVE ALL PENDING COMPLAINTS

DIRECTED TO FILE A REPORT OF RESOLUTION OF COMPLAINTS

IMPOSED PENALTY RS.12,00,000 ALONG WITH OTHER ENTITIES/PERSONS

31-JUL-2023 		SEBI VIDE ITS NOTICE DATED 19/09/2025 DIRECTED TO PAY RS.15,25,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SEBI VIDE ITS ORDER DATED 27/10/2025 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS, MUTUAL FUNDS FOLIOS AND/OR POST OFFICE ACCOUNT 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  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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