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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: PROHIBITED FROM TAKING NEW CLIENTS AS RESEARCH ANALYST

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

(PAN:AQHPK8566C)  
Click here to view complete history of this specific entity/person SHRIMONEY

PAN:AQHPK8566C
  		MISLED CLIENTS BY MAKING ASSURED PROFIT COMMITMENT

DID NOT MAINTAIN RATIONALES OF ALL THE RECOMMENDATIONS   		PROHIBITED FROM TAKING NEW CLIENTS AS RESEARCH ANALYST FROM 06-OCT-2025 TO 05-NOV-2025

06-OCT-2025 		 
2
History of entity/person RAJESH RANJAN

(PAN:AROPR5161Q)  
Click here to view complete history of this specific entity/person KM FINANCIALS

PAN:AROPR5161Q
  		ACTED AS RESEARCH ANALYST WITHOUT SEBI REGISTRATION   DIRECTED TO REFUND MONEY TO THE INVESTORS

DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER

DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT

PROHIBITED FROM TAKING NEW CLIENTS AS RESEARCH ANALYST FROM 22-APR-2022 TILL THE COMPLETION OF REFUNDS TO COMPLAINANTS/CLIENTS

WARNED & CAUTIONS TO EXERCISE DUE CARE & DILIGENCE, IN FUTURE CONDUCT AS RESEARCH ANALYST

22-APR-2022 		SAT: SAT VIDE ITS ORDER DATED 06/02/2023 ALLOWED THE APPEAL AND MATTER REMITTED TO WTM TO PASS FRESH ORDER

SEBI VIDE ITS ORDER DATED 26/04/2024 DIRECTED THAT THE DIRECTIONS ISSUED VIDE ORDER DATED 22/04/2022 WILL REMAIN IN FORCE TILL COMPLETION OF COMPLIANCE OF REFUND TO CLIENTS/INVESTORS

SAT: SAT VIDE ITS ORDER DATED 03/07/2025 CONDONED THE DELAY OF 318 DAYS IN FILING OF APPEAL. ACCEPTED APPELLANT SUBMISSION AND PERMITTED APPELLANT TO CARRY ON HIS PROFESSION AS RESEARCH ANALYST BY ENROLLING NEW CLIENTS. NO COSTS  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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