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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: RESTRAINED FROM ASSOCIATING WITH LISTED ENTITY, A MATERIAL SUBSIDIARY OF LISTED ENTITY OR SEBI REGISTERED INTERMEDIARY IN ANY MANNER WHATSOEVER

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

(PAN:AGOPM7538H)  
Click here to view complete history of this specific entity/person ALLIED FINANCIAL SERVICES PVT.LTD.

PAN:AAACA2020K

(Depository Participants : NSDL)
  		INDULGED IN FACILITATION ON PART OF AFSPL INCLUDING FRAUDULENT TRANSFER OF MF UNITS VIOLATING REGULATIONS 3(A), 4(1) AND 4(2)(P) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ALLIED FINANCIAL SERVICES PVT.LTD.   DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-JUL-2021 TO 01-JUL-2028

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-JUL-2021 TO 01-JUL-2028

RESTRAINED FROM ASSOCIATING WITH LISTED ENTITY, A MATERIAL SUBSIDIARY OF LISTED ENTITY OR SEBI REGISTERED INTERMEDIARY IN ANY MANNER WHATSOEVER FROM 02-JUL-2021 TO 01-JUL-2028

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

02-JUL-2021 		SAT: SAT VIDE ITS ORDER DATED 16/02/2022 CONDONED THE DELAY IN FILING OF APPEAL.ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER

SAT: SAT VIDE ITS ORDER DATED 08/04/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER

SAT: SAT VIDE ITS ORDER DATED 06/05/2022 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER

SEBI VIDE ITS ORDER DATED 08/08/2022 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNTS OF MR.AWANISH KUMAR MISHRA TO SEBI BY WAY OF EFT/NEFT/RTGS

SAT: SAT VIDE ITS ORDER DATED 18/06/2025 DISMISSED MISC.APPLICATION NO.419 OF 2025  
2
History of entity/person AWANISH KUMAR MISHRA

(PAN:AGOPM7538H)  
  INDULGED IN UNAUTHORIZED TRANSFER OF MUTUAL FUND UNITS OF RS.344.07 CRORE BY ALLIED FINANCIAL SERVICES PVT.LTD. VIOLATING REGULATIONS 3(A) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003   DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-FEB-2022 TO 17-FEB-2024

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-FEB-2022 TO 17-FEB-2024

RESTRAINED FROM ASSOCIATING WITH LISTED ENTITY, A MATERIAL SUBSIDIARY OF LISTED ENTITY OR SEBI REGISTERED INTERMEDIARY IN ANY MANNER WHATSOEVER FROM 18-FEB-2022 TO 17-FEB-2024

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

IMPOSED PENALTY

18-FEB-2022 		SEBI VIDE ITS NOTICE DATED 04/02/2025 DIRECTED TO PAY RS.68,51,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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