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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 : 29-APR-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 CEASE & DESIST FROM UNDERTAKING DIRECTLY OR INDIRECTLY ANY ACTIVITY RELATED TO GIVING INVESTMENT ADVICE SELL OR BUY RECOMMENDATIONS, PUBLISHING OR RESEARCH REPORTS ETC. RELATED TO SECURITIES MARKET THROUGH ANY MEDIA (PHYSICAL OR DIGITAL)

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

(PAN:AAAPF0855A)  
  INDULGED IN DEALING IN SECURITIES WHILE IN POSSESSION OF MATERIAL NON-PUBLIC INFORMATION VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT. 1992 AND REGULATIONS 3(A) TO 3(D) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CNBC AWAAZ  DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-OCT-2021 UNTIL FURTHER ORDERS

DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT

DIRECTED TO FREEZE BANK ACCOUNTS

DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY

DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 04-OCT-2021 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 DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS

DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES

DIRECTED TO CEASE & DESIST FROM UNDERTAKING DIRECTLY OR INDIRECTLY ANY ACTIVITY RELATED TO GIVING INVESTMENT ADVICE SELL OR BUY RECOMMENDATIONS, PUBLISHING OR RESEARCH REPORTS ETC. RELATED TO SECURITIES MARKET THROUGH ANY MEDIA (PHYSICAL OR DIGITAL)

DIRECTED TO PRESERVE RECORDS OF VARIOUS SOCIAL MEDIA ACCOUNTS MAINTAIN BY THEM DIRECTLY OR INDIRECTLY

04-OCT-2021 		SAT: SAT VIDE ITS ORDER DATED 17/11/2022 DIRECTED TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER WITHIN THREE WEEKS THEREAFTER

SAT: SAT VIDE ITS ORDER DATED 05/01/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER

SAT: SAT VIDE ITS ORDER DATED 15/05/2023 CONDONED THE DELAY IN FILING OF APPEAL

SAT: SAT VIDE ITS ORDER DATED 21/11/2023 DISPOSED OF THE MATTER AND DIRECTED WTM TO DECIDE THE MATTER AFTER GIVING OPPORTUNITY OF HEARING TO THE APPELLANT ON OR BEFORE 31/03/2024

SAT: SAT VIDE ITS ORDER DATED 18/02/2025 DIRECTED THAT TILL FURTHER HEARING, SEBI NOT TO PRECIPITATE THE MATTER AND IF, ACCOUNTS WERE FROZEN THEY TO BE DEFROZEN FORTHWITH
2 
History of entity/person PRADEEP BAIJNATH PANDYA

(PAN:AIIPP0780C)  
  COMMUNICATED WHILE IN POSSESSION OF MATERIAL AND NON-PUBLIC INFORMATION VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(E) AND 4(2)(O) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CNBC AWAAZ  DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-OCT-2021 UNTIL FURTHER ORDERS

DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT

DIRECTED TO FREEZE BANK ACCOUNTS

DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY

DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 04-OCT-2021 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 DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS

DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES

DIRECTED TO CEASE & DESIST FROM UNDERTAKING DIRECTLY OR INDIRECTLY ANY ACTIVITY RELATED TO GIVING INVESTMENT ADVICE SELL OR BUY RECOMMENDATIONS, PUBLISHING OR RESEARCH REPORTS ETC. RELATED TO SECURITIES MARKET THROUGH ANY MEDIA (PHYSICAL OR DIGITAL)

DIRECTED TO PRESERVE RECORDS OF VARIOUS SOCIAL MEDIA ACCOUNTS MAINTAIN BY THEM DIRECTLY OR INDIRECTLY

04-OCT-2021 		SEBI VIDE ITS ORDER DATED 26/08/2022 CONFIRMED EX-PARTE AD-INTERIM ORDER DATED 04/10/2021 AND ALLOWED MR.PRADEEP BAIJNATH PANDYA TO LIQUIDATE HIS MUTUAL FUND HOLDINGS UPTO INR 1,00,000 PER MONTH TO MEET HIS DAY TO DAY EXPENSES

SAT: SAT VIDE ITS ORDER DATED 17/11/2022 DIRECTED TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER WITHIN THREE WEEKS THEREAFTER

SAT: SAT VIDE ITS ORDER DATED 05/01/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER

SAT: SAT VIDE ITS ORDER DATED 15/05/2023 CONDONED THE DELAY IN FILING OF APPEAL

SAT: SAT VIDE ITS ORDER DATED 18/02/2025 DIRECTED THAT TILL FURTHER HEARING, SEBI NOT TO PRECIPITATE THE MATTER AND IF, ACCOUNTS WERE FROZEN THEY TO BE DEFROZEN FORTHWITH
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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