| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 201 |
|
TRIUMPH SECURITIES LTD.
|
|
|
|
AMIT K.PAREKH
|
|
|
DHIREN K.BHATIA
|
|
|
KARTIK KIRTIKUMAR PAREKH
|
|
|
KETAN VINAYCHANDRA PAREKH
|
|
VIOLATED SECTION 49 OF COMPANIES ACT, 1956
|
CONVICTED BY SFIO
08-NOV-2023
|
|
| 202 |
|
|
TRIUMPH SECURITIES LTD.
|
|
|
|
AMIT K.PAREKH
|
|
|
DHIREN K.BHATIA
|
|
|
KARTIK KIRTIKUMAR PAREKH
|
|
|
KETAN VINAYCHANDRA PAREKH
|
|
VIOLATED SECTION 372A OF COMPANIES ACT, 1956
|
CONVICTED BY SFIO
08-NOV-2023
|
|
| 203 |
|
|
TRIUMPH SECURITIES LTD.
|
|
|
|
AMIT K.PAREKH
|
|
|
DHIREN K.BHATIA
|
|
|
KARTIK KIRTIKUMAR PAREKH
|
|
|
KETAN VINAYCHANDRA PAREKH
|
|
VIOLATED SECTION 383A OF COMPANIES ACT, 1956
|
CONVICTED BY SFIO
08-NOV-2023
|
|
| 204 |
|
|
TRIUMPH SECURITIES LTD.
|
|
|
|
AMIT K.PAREKH
|
|
|
DHIREN K.BHATIA
|
|
|
KARTIK KIRTIKUMAR PAREKH
|
|
|
KETAN VINAYCHANDRA PAREKH
|
|
VIOLATED SECTIONS 621 READ WITH 217(3) OF COMPANIES ACT, 1956
|
CONVICTED BY SFIO
08-NOV-2023
|
|
| 205 |
|
|
TRIUMPH SECURITIES LTD.
|
|
|
|
AMIT K.PAREKH
|
|
|
DHARMESH HASMUKH DOSHI
|
|
|
DHIREN K.BHATIA
|
|
|
JATIN RAJNIKANT SARVAIYA
|
|
|
KARTIK KIRTIKUMAR PAREKH
|
|
|
KETAN VINAYCHANDRA PAREKH
|
|
VIOLATED SECTIONS 415, 420 READ WITH 34 OF IPC, 1860
|
CONVICTED BY SFIO
08-NOV-2023
|
|
| 206 |
|
|
TRIUMPH SECURITIES LTD.
|
|
|
|
DHIREN K.BHATIA
|
|
|
KARTIK KIRTIKUMAR PAREKH
|
|
|
KETAN VINAYCHANDRA PAREKH
|
|
VIOLATED SECTION 49 OF COMPANIES ACT, 1956
|
CONVICTED BY SFIO
08-NOV-2023
|
|
| 207 |
|
|
TRIUMPH SECURITIES LTD.
|
|
|
|
DHIREN K.BHATIA
|
|
|
KARTIK KIRTIKUMAR PAREKH
|
|
|
KETAN VINAYCHANDRA PAREKH
|
|
VIOLATED SECTION 220 OF COMPANIES ACT, 1956
|
CONVICTED BY SFIO
08-NOV-2023
|
|
| 208 |
|
|
TRIUMPH SECURITIES LTD.
|
|
|
|
DHIREN K.BHATIA
|
|
|
KARTIK KIRTIKUMAR PAREKH
|
|
|
KETAN VINAYCHANDRA PAREKH
|
|
VIOLATED SECTIONS 220 READ WITH 162 OF COMPANIES ACT, 1956
|
CONVICTED BY SFIO
08-NOV-2023
|
|
| 209 |
|
|
TRIUMPH SECURITIES LTD.
|
|
|
|
AMIT K.PAREKH
|
|
|
DHIREN K.BHATIA
|
|
|
KARTIK KIRTIKUMAR PAREKH
|
|
|
KETAN VINAYCHANDRA PAREKH
|
|
VIOLATED SECTIONS 297 READ WITH 629A OF COMPANIES ACT, 1956
|
CONVICTED BY SFIO
08-NOV-2023
|
|
| 210 |
|
|
TRIUMPH SECURITIES LTD.
|
|
|
|
DHIREN K.BHATIA
|
|
|
KARTIK KIRTIKUMAR PAREKH
|
|
|
KETAN VINAYCHANDRA PAREKH
|
|
VIOLATED SECTIONS 621 READ WITH 217(3) OF COMPANIES ACT, 1956
|
CONVICTED BY SFIO
08-NOV-2023
|
|
| 211 |
|
|
TRIUMPH SECURITIES LTD.
|
|
|
|
DHIREN K.BHATIA
|
|
|
KARTIK KIRTIKUMAR PAREKH
|
|
|
KETAN VINAYCHANDRA PAREKH
|
|
VIOLATED SECTIONS 621 READ WITH 217(3) OF COMPANIES ACT, 1956
|
CONVICTED BY SFIO
08-NOV-2023
|
|
| 212 |
|
|
TRIUMPH SECURITIES LTD.
|
|
|
|
AMIT K.PAREKH
|
|
|
DHARMESH HASMUKH DOSHI
|
|
|
DHIREN K.BHATIA
|
|
|
JATIN RAJNIKANT SARVAIYA
|
|
|
KARTIK KIRTIKUMAR PAREKH
|
|
|
KETAN VINAYCHANDRA PAREKH
|
|
VIOLATED SECTIONS 621 READ WITH 217(3) OF COMPANIES ACT, 1956
|
CONVICTED BY SFIO
08-NOV-2023
|
|
| 213 |
|
|
TRIUMPH SECURITIES LTD.
|
|
|
|
AMIT K.PAREKH
|
|
NOT AVAILABLE
|
CONVICTED BY SFIO
08-NOV-2023
|
|
| 214 |
|
|
TRIUMPH SECURITIES LTD.
|
|
|
|
AMIT K.PAREKH
|
|
|
DHARMESH HASMUKH DOSHI
|
|
|
DHIREN K.BHATIA
|
|
|
KARTIK KIRTIKUMAR PAREKH
|
|
|
KETAN VINAYCHANDRA PAREKH
|
|
VIOLATED SECTION 295 OF COMPANIES ACT, 1956
|
CONVICTED BY SFIO
08-NOV-2023
|
|
| 215 |
|
|
TRIUMPH SECURITIES LTD.
|
|
|
|
DHIREN K.BHATIA
|
|
|
KARTIK KIRTIKUMAR PAREKH
|
|
|
KETAN VINAYCHANDRA PAREKH
|
|
VIOLATED SECTION 159 READ WITH 162 OF COMPANIES ACT, 1956
|
CONVICTED BY SFIO
08-NOV-2023
|
|
| 216 |
|
|
TRIUMPH SECURITIES LTD.
|
|
|
|
DHIREN K.BHATIA
|
|
|
KARTIK KIRTIKUMAR PAREKH
|
|
|
KETAN VINAYCHANDRA PAREKH
|
|
VIOLATED SECTION 159 READ WITH 162 OF COMPANIES ACT, 1956
|
CONVICTED BY SFIO
08-NOV-2023
|
|
| 217 |
|
|
TRIUMPH SECURITIES LTD.
|
|
|
|
AMIT K.PAREKH
|
|
|
DHARMESH HASMUKH DOSHI
|
|
|
DHIREN K.BHATIA
|
|
|
JATIN RAJNIKANT SARVAIYA
|
|
|
KARTIK KIRTIKUMAR PAREKH
|
|
|
KETAN VINAYCHANDRA PAREKH
|
|
VIOLATED SECTIONS 198, 309, 269 READ WITH 629A OF COMPANIES ACT, 1956
|
CONVICTED BY SFIO
08-NOV-2023
|
|
| 218 |
|
|
TRIUMPH SECURITIES LTD.
|
|
|
|
DHIREN K.BHATIA
|
|
|
KARTIK KIRTIKUMAR PAREKH
|
|
|
KETAN VINAYCHANDRA PAREKH
|
|
VIOLATED SECTIONS 621 READ WITH 217(3) OF COMPANIES ACT, 1956
|
CONVICTED BY SFIO
08-NOV-2023
|
|
| 219 |
|
|
TRIUMPH SECURITIES LTD.
|
|
|
|
AMIT K.PAREKH
|
|
|
DHARMESH HASMUKH DOSHI
|
|
|
DHIREN K.BHATIA
|
|
|
JATIN RAJNIKANT SARVAIYA
|
|
|
KARTIK KIRTIKUMAR PAREKH
|
|
|
KETAN VINAYCHANDRA PAREKH
|
|
VIOLATED SECTIONS 621 READ WITH 217(3) OF COMPANIES ACT, 1956
|
CONVICTED BY SFIO
08-NOV-2023
|
|
| 220 |
|
|
VAISHNAVI ADVISORY SERVICES PVT.LTD.
|
|
|
|
KARUNA MENON
|
|
VIOLATED SECTION 211 OF COMPANIES ACT, 1956
VIOLATED SECTION 215 OF COMPANIES ACT, 1956
VIOLATED SECTION 217 OF COMPANIES ACT, 1956
VIOLATED SECTION 227 OF COMPANIES ACT, 1956
VIOLATED SECTION 233 OF COMPANIES ACT, 1956
VIOLATED SECTION 142 OF COMPANIES ACT, 1956
VIOLATED SECTION 297 OF COMPANIES ACT, 1956
VIOLATED SECTION 629A OF COMPANIES ACT, 1956
|
CONVICTED BY SFIO
08-NOV-2023
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 11 of 13
|
