| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
AMIT GANGRADE
(PAN:AVRPG8196P)
|
|
|
|
INVESTMENT RESEARCH ADVISOR
PAN:AVRPG8196P
|
|
DID NOT UNDERTAKE RISK PROFILING OF CLIENTS
DID NOT DISPLAY COMPLAINTS STATUS ON WEBSITE
DID NOT POSSESS NISM CERTIFICATE
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
CHARGED UNREASONABLE, ARBITRARILY AND INCONSISTENT FEE
DEFRAUDED CLIENTS IN COLLUSION WITH ANOTHER UNREGISTERED CONNECTED ENTITY
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES IN STIPULATED TIME
|
CANCELLED REGISTRATION AS INVESTMENT RESEARCH ADVISOR
19-MAY-2023
|
|
| 22 |
|
|
AMIT KUMAR DEWDA
(PAN:AZXPD5745P)
|
|
|
|
AVID RESEARCH INVESTMENT ADVISER
PAN:AZXPD5745P
|
|
DID NOT HAVE REQUISITE NISM CERTIFICATES AT ALL TIMES TO PROVIDE INVESTMENT ADVICE
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES
|
WARNED NOT TO PROVIDE INVESTMENT ADVISORY SERVICES UNLESS COMPLY WITH INVESTMENT ADVISORS REGULATIONS AND APPLICABLE SEBI CIRCULARS
30-AUG-2022
|
|
| 23 |
|
|
AMIT KUMAR DEWDA
(PAN:AZXPD5745P)
|
|
|
|
AVID RESEARCH INVESTMENT ADVISER
PAN:AZXPD5745P
|
|
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
24-MAR-2021
|
|
| 24 |
|
|
AMIT NAGINBHAI SHAH
|
|
|
|
INDO-AMERICAN CREDIT CORP.LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS REGARDING DELAY IN TRANSFER OF SHARES
FAILED TO PAY DIVIDENDS TO SHAREHOLDERS
|
LAUNCHED CRIMINAL PROSECUTION
20-NOV-1998
|
|
| 25 |
|
|
AMIT NAGINBHAI SHAH
|
|
|
|
INDO-AMERICAN OPTICS LTD.
CIN:U26109GJ1991PLC015349
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-OCT-2003 TO 09-OCT-2008
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-OCT-2003 TO 09-OCT-2008
10-OCT-2003
|
|
| 26 |
|
|
AMIT SONI
(PAN:BSHPS7756M)
|
|
|
|
MARKET CAPTAINS INVESTMENT ADVISOR
PAN:BSHPS7756M
|
|
DID NOT ADHERE TO SEBI DIRECTIONS WITH RESPECT TO INSPECTION OF BOOKS OF ACCOUNTS/RECORDS AND OTHER DOCUMENT PERTAINING TO REGISTRATION
DID NOT SUBMIT MATERIAL INFORMATION TO SEBI
NOT A FIT & PROPER PERSON TO ACT AS AN INVESTMENT ADVISOR
CHARGED ARBITRARY/DISPROPORTIONATE AMOUNT FOR SIMILAR SERVICE AND SIMILAR DURATION
DID NOT DISPLAY COMPLAINTS STATUS ON WEBSITE
PROVIDED INVESTMENT ADVICE ON FREE TRIALS TO CLIENTS
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES IN STIPULATED TIME
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO REDRESS INVESTOR GRIEVANCES
28-NOV-2022
|
|
| 27 |
|
|
AMIT SONI
(PAN:BSHPS7756M)
|
|
|
|
MARKET CAPTAINS INVESTMENT ADVISOR
PAN:BSHPS7756M
|
|
DID NOT ADHERE TO SEBI DIRECTIONS WITH RESPECT TO INSPECTION OF BOOKS OF ACCOUNTS/RECORDS AND OTHER DOCUMENT PERTAINING TO REGISTRATION
DID NOT SUBMIT MATERIAL INFORMATION TO SEBI
NOT A FIT & PROPER PERSON TO ACT AS AN INVESTMENT ADVISOR
CHARGED ARBITRARY/DISPROPORTIONATE AMOUNT FOR SIMILAR SERVICE AND SIMILAR DURATION
DID NOT DISPLAY COMPLAINTS STATUS ON WEBSITE
PROVIDED INVESTMENT ADVICE ON FREE TRIALS TO CLIENTS
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES IN STIPULATED TIME
|
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
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
DIRECTED TO DEPOSIT REMAINING BALANCE AMOUNT WITH SEBI TO BE KEPT IN ESCROW ACCOUNT
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-DEC-2022 TO 13-DEC-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-DEC-2022 TO 13-DEC-2023
IMPOSED PENALTY RS.8,00,000 ALONG WITH OTHER ENTITIES/PERSONS
14-DEC-2022
|
SEBI VIDE ITS NOTICE DATED 27/02/2024 DIRECTED TO PAY RS.9,43,46,707.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 28 |
|
|
AMITA SINHA
(PAN:AOIPS2038G)
(Along with : SANJEEV KUMAR SINHA,
VANDANA SINHA)
|
|
|
|
AADYA COMMODITIES PVT.LTD.
PAN:AAHCA2094C
|
|
|
AMRAPALI AADYA TRADING & INVESTMENT PVT.LTD.
PAN:AAECA3909P
|
|
DID NOT SUBMIT INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
MISUSED PLEDGING OF CLIENT’S SECURITIES
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
DID NOT REDRESS INVESTOR COMPLAINTS
FALSIFIED TRIAL BALANCE, BANK BOOKS AND CONCEALED THE INFORMATION RELATED TO PLEDGING OF SECURITIES, CASH WITHDRAWAL AND FUND MOVEMENT RELATED TO ENTITIES VIOLATING SECTIONS 12(A) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2) (P) OF SEBI (PFUTP) REGULATIONS, 2003
|
IMPOSED PENALTY RS.25,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-APR-2022
|
SAT: SAT VIDE ITS ORDER DATED 12/10/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 17/11/2022 ALLOWED THREE WEEKS TO FILE REPLY
|
| 29 |
|
|
AMRATLAL K.POKERNA
|
|
|
|
KESHARIA SPINNERS LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-NOV-2016 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-NOV-2016 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
01-NOV-2016
|
|
| 30 |
|
|
AMRIT LAL SURI
(PAN:ABIPS3117K)
|
|
|
|
CINEMA CAPITAL CONTRIBUTORY CO.PVT.LTD.
PAN:AAECC3609A
|
|
DID NOT WIND UP SCHEME AND DISTRIBUTE PROCEEDS ACCRUING TO INVESTORS EVEN AFTER THE EXPIRY OF TENURE
DID NOT DISCLOSE INVESTMENT OBJECTIVE AND DID NOT ADHERE TO INVESTMENT RECTRICTIONS
EXTENDED LOANS AND ADVANCES TO INVESTEE COMPANIES AND ITS DIRECTORS AT NO INTEREST COST
EXTENDED LOANS AND ADVANCE TO TRUSTEE AND STAFF AT NO INTEREST COST
CHARGED EXCESS FEE FROM INVESTORS
DID NOT FILE QUARTERLY REPORTS TO SEBI
DID NOT REDRESS INVESTOR COMPLAINTS
MISMANAGEMENT OF INVESTOR’S FUNDS
|
DIRECTED TO DISGORGE RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
30-APR-2025
|
SAT: SAT VIDE ITS ORDER DATED 09/06/2025 GRANTED THREE WEEKS TO FILE REPLY AND ONE WEEK TO FILE REJOINDER, IF ANY. STAYED DIRECTIONS AT PARAGRAPH 104.1 AND 104.6 SUBJECT TO DEPOSIT 50% PENALTY WITH RESPONDENT WITHIN THREE WEEKS FROM DATE OF THIS ORDER. SEBI CLARIFIED TO THE DEPOSITORIES THAT INDIVIDUAL ACCOUNTS OF NOTICEE NOS.5 AND 7 NEED NOT BE FROZEN
|
| 31 |
|
|
AMRIT LAL SURI
(PAN:ABIPS3117K)
(Along with : SHASHANKA ASHOKKUMAR GHOSH)
|
|
|
|
CINEMA CAPITAL CONTRIBUTORY CO.PVT.LTD.
PAN:AAECC3609A
|
|
DID NOT WIND UP SCHEME AND DISTRIBUTE PROCEEDS ACCRUING TO INVESTORS EVEN AFTER THE EXPIRY OF TENURE
DID NOT DISCLOSE INVESTMENT OBJECTIVE AND DID NOT ADHERE TO INVESTMENT RECTRICTIONS
EXTENDED LOANS AND ADVANCES TO INVESTEE COMPANIES AND ITS DIRECTORS AT NO INTEREST COST
EXTENDED LOANS AND ADVANCE TO TRUSTEE AND STAFF AT NO INTEREST COST
CHARGED EXCESS FEE FROM INVESTORS
DID NOT FILE QUARTERLY REPORTS TO SEBI
DID NOT REDRESS INVESTOR COMPLAINTS
MISMANAGEMENT OF INVESTOR’S FUNDS
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-APR-2025
|
SAT: SAT VIDE ITS ORDER DATED 09/06/2025 GRANTED THREE WEEKS TO FILE REPLY AND ONE WEEK TO FILE REJOINDER, IF ANY. STAYED DIRECTIONS AT PARAGRAPH 104.1 AND 104.6 SUBJECT TO DEPOSIT 50% PENALTY WITH RESPONDENT WITHIN THREE WEEKS FROM DATE OF THIS ORDER. SEBI CLARIFIED TO THE DEPOSITORIES THAT INDIVIDUAL ACCOUNTS OF NOTICEE NOS.5 AND 7 NEED NOT BE FROZEN
|
| 32 |
|
|
AMRIT LAL SURI
(PAN:ABIPS3117K)
|
|
|
|
CINEMA CAPITAL CONTRIBUTORY CO.PVT.LTD.
PAN:AAECC3609A
|
|
DID NOT WIND UP SCHEME AND DISTRIBUTE PROCEEDS ACCRUING TO INVESTORS EVEN AFTER THE EXPIRY OF TENURE
DID NOT DISCLOSE INVESTMENT OBJECTIVE AND DID NOT ADHERE TO INVESTMENT RECTRICTIONS
EXTENDED LOANS AND ADVANCES TO INVESTEE COMPANIES AND ITS DIRECTORS AT NO INTEREST COST
EXTENDED LOANS AND ADVANCE TO TRUSTEE AND STAFF AT NO INTEREST COST
CHARGED EXCESS FEE FROM INVESTORS
DID NOT FILE QUARTERLY REPORTS TO SEBI
DID NOT REDRESS INVESTOR COMPLAINTS
MISMANAGEMENT OF INVESTOR’S FUNDS
|
RESTRAINED FROM ASSOCIATING DIRECTLY OR INDIRECTLY, WITH ANY REGISTERED INTERMEDIARIES INCLUDING SEBI REGISTERED FUNDS SUCH AS MUTUAL FUNDS, ALTERNATIVE INVESTMENT FUNDS, PORTFOLIO MANAGEMENT SERVICES ETC. WHICH DEAL WITH INVESTOR’S MONEY IN ANY MANNER FROM 30-APR-2025 TO 29-APR-2028
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-APR-2025
|
SAT: SAT VIDE ITS ORDER DATED 09/06/2025 GRANTED THREE WEEKS TO FILE REPLY AND ONE WEEK TO FILE REJOINDER, IF ANY. STAYED DIRECTIONS AT PARAGRAPH 104.1 AND 104.6 SUBJECT TO DEPOSIT 50% PENALTY WITH RESPONDENT WITHIN THREE WEEKS FROM DATE OF THIS ORDER. SEBI CLARIFIED TO THE DEPOSITORIES THAT INDIVIDUAL ACCOUNTS OF NOTICEE NOS.5 AND 7 NEED NOT BE FROZEN
|
| 33 |
|
|
AMRITLAL DANMAL JAIN
|
|
|
|
SHREE POMANI METALS & ALLOYS LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-JUL-2015 TILL RESOLVES ALL PENDING INVESTOR GRIEVANCES
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-JUL-2015 TILL RESOLVES ALL PENDING INVESTOR GRIEVANCES
17-JUL-2015
|
|
| 34 |
|
|
ANIL HARISH
(PAN:AAAPH8876M)
|
|
|
DID NOT WIND UP SCHEMES AND DID NOT RETURN MONIES TO INVESTORS EVEN AFTER EXPIRY OF TENURE AS PER PRIVATE PLACEMENT MEMORANDUM
INVESTED CORPUS OF SCHEME IV IN ASSOCIATE COMPANIES
DID NOT REPORT ON QUARTERLY BASIS AS PRESCRIBED ON VENTURE CAPITAL ACTIVITY ON SEBI PORTAL WITHIN SEVEN DAYS FROM THE END OF CALENDAR QUARTER FOR QUARTERS ENDING
DID NOT PROVIDE INFORMATION TO SEBI
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT COMMUNICATE NAMES, DESIGNATION AND ADDRESSES (INCLUDING EMAIL ADDRESSES) OF ‘PRINCIPAL OFFICER’ AND ‘DESIGNATED DIRECTOR’, INCLUDING ANY CHANGES THEREIN TO THE OFFICE OF THE DIRECTOR-FIU
DID NOT CAPTURE KYC DETAILS OF CERTAIN CLIENTS IN ACCOUNT OPENING FORM AS SPECIFIED, VERIFIED/DOWNLOADED AND MAINTAINED CLIENTS DETAILS FROM THE SYSTEM OF KRA AND DID NOT OBTAIN REGISTRATION WITH KRA
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-DEC-2023 TO 28-JUN-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-DEC-2023 TO 28-JUN-2024
29-DEC-2023
|
SAT: SAT VIDE ITS ORDER DATED 19/03/2024 DIRECTED RESPONDENT TO FILE REPLY INCLUDING ON STAY APPLICATION WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 25/04/2024 STAYED EFFECT AND OPERATION OF IMPUGNED ORDER
|
| 35 |
|
|
ANIL HARISH
(PAN:AAAPH8876M)
|
|
|
|
UNITECH ADVISORS (INDIA) PVT.LTD.
PAN:AACCC5880D
|
|
DID NOT WIND UP SCHEMES AND DID NOT RETURN MONIES TO INVESTORS EVEN AFTER EXPIRY OF TENURE AS PER PRIVATE PLACEMENT MEMORANDUM
INVESTED CORPUS OF SCHEME IV IN ASSOCIATE COMPANIES
DID NOT REPORT ON QUARTERLY BASIS AS PRESCRIBED ON VENTURE CAPITAL ACTIVITY ON SEBI PORTAL WITHIN SEVEN DAYS FROM THE END OF CALENDAR QUARTER FOR QUARTERS ENDING
DID NOT PROVIDE INFORMATION TO SEBI
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT COMMUNICATE NAMES, DESIGNATION AND ADDRESSES (INCLUDING EMAIL ADDRESSES) OF ‘PRINCIPAL OFFICER’ AND ‘DESIGNATED DIRECTOR’, INCLUDING ANY CHANGES THEREIN TO THE OFFICE OF THE DIRECTOR-FIU
DID NOT CAPTURE KYC DETAILS OF CERTAIN CLIENTS IN ACCOUNT OPENING FORM AS SPECIFIED, VERIFIED/DOWNLOADED AND MAINTAINED CLIENTS DETAILS FROM THE SYSTEM OF KRA AND DID NOT OBTAIN REGISTRATION WITH KRA
|
DIRECTED NOT TO TAKE NEW ASSIGNMENTS AS TRUSTEE OF ALTERNATIVE INVESTMENT FUND OF ANY CATEGORY
RESTRAINED FROM ASSOCIATING DIRECTLY OR INDIRECTLY, WITH ANY REGISTERED INTERMEDIARIES INCLUDING SEBI REGISTERED FUNDS SUCH AS MUTUAL FUNDS, ALTERNATIVE INVESTMENT FUNDS, PORTFOLIO MANAGEMENT SERVICES ETC. WHICH DEAL WITH INVESTOR’S MONEY IN ANY MANNER FROM 29-DEC-2023 TO 28-DEC-2024
29-DEC-2023
|
SAT: SAT VIDE ITS ORDER DATED 19/03/2024 DIRECTED RESPONDENT TO FILE REPLY INCLUDING ON STAY APPLICATION WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 25/04/2024 STAYED EFFECT AND OPERATION OF IMPUGNED ORDER
|
| 36 |
|
|
ANIL KHANNA
|
|
|
|
VATSA CORP.LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS REGARDING DELAY IN TRANSFER OF SHARES
FAILED TO PAY DIVIDENDS TO SHAREHOLDERS
|
LAUNCHED CRIMINAL PROSECUTION
19-JUN-1998
|
|
| 37 |
|
|
ANIL KHANNA
|
|
|
|
VATSA CORP.LTD.
|
|
ALLEGED FAILURE IN REDRESSAL OF INVESTOR GRIEVANCE
ALLEGED FAILURE IN FURNISHING OF ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES
|
SHOW CAUSE NOTICE ISSUED
06-NOV-2009
|
|
| 38 |
|
|
ANIL SHERI
|
|
|
|
SHREE POMANI METALS & ALLOYS LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-JUL-2015 TILL RESOLVES ALL PENDING INVESTOR GRIEVANCES
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-JUL-2015 TILL RESOLVES ALL PENDING INVESTOR GRIEVANCES
17-JUL-2015
|
|
| 39 |
|
|
ANITA KAKKAR
(PAN:AYUPK6803D)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF HIMALYA INTERNATIONAL LTD.
|
IMPOSED PENALTY RS.4,00,000 ALONG WITH OTHER ENTITIES/PERSONS
05-JUL-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 40 |
|
|
ANITA MANN
(PAN:AGPPM5665E)
|
|
|
|
CPR CAPITAL SERVICES LTD.
PAN:AAACC3235A
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
TRANSFERRED CLIENTS SECURITIES TO ITS RELATED ENTITIES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-SEP-2018 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-SEP-2018 TILL FURTHER ORDERS
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 25-SEP-2018 TILL 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 TO UTILIZE ASSETS OF THE ENTITIES ONLY FOR THE PURPOSE OF PAYMENT OF MONEY AND/OR DELIVERY OF SECURITIES, AS THE CASE MAY BE, TO CLIENTS/INVESTORS UNDER THE SUPERVISION OF CONCERNED STOCK EXCHANGE(S)
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
25-SEP-2018
|
SEBI VIDE ITS ORDER DATED 25/10/2019 REVOKED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 25/09/2018
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 2 of 27
|
