| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
GLOBAL MCX MANAGEMENT SERVICE
(Along with : FULLON CORP.,
LALSHAH MCX ALGO MANAGEMENT CO.,
ATLAS CORP.,
EAGLE BROKING)
|
|
|
|
FIROZ RAFIQ KHANDA
PAN:AFMPK5766J
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-JUN-2018 TO 19-JUN-2021
05-JUN-2014
D TO DISGORGE RS.2,21,86,250 ALONG WITH OTHER ENTITIES/PERSONS
12-MAY-2016~
|
SEBI VIDE ITS ORDER DATED 15/09/2014 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 05/06/2014
SEBI VIDE ITS ORDER DATED 12/05/2016 DIRECTED TO 1. IMPOUND UNLAWFUL GAINS OF RS.5,04,01,896 (GAIN OF RS.3,83,80,477 + INTEREST OF RS.1,20,21,419), JOINTLY AND SEVERALLY FROM ALL THE DEFAULTERS 2. BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS, AND ENSURE THAT ALL DIRECTIONS ARE STRICTLY ENFORCED. HOWEVER, CREDITS, IF ANY INTO THE ACCOUNTS MAY BE ALLOWED 3. NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME AMOUNTS ARE CREDITED TO AN ESCROW ACCOUNT CREATED SPECIFICALLY FOR PURPOSE IN A NATIONALIZED BANK AND TO CREATE AN ESCROW ACCOUNT IN FAVOUR OF SEBI AND MONIES KEPT THEREIN SHALL NOT BE RELEASED WITHOUT PERMISSION OF SEBI 4. PROVIDE FULL INVENTORY OF ALL THEIR ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, IF HELD IN PHYSICAL FORM
|
| 22 |
|
|
GSB SECURITIES PVT.LTD.
(PAN:AAACG9905H)
|
|
|
ALLEGED INDULGENCE IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.28,00,000 VIDE CONSENT ORDER)
31-OCT-2012
|
|
| 23 |
|
|
INDIAN TRADING CO.
(Along with : FULLON CORP.,
OPTION & M.C.X KING,
A TO Z SOLUTION,
LALSHAH MCX ALGO MANAGEMENT CO.,
GLOBAL MCX MANAGEMENT SERVICE,
ATLAS CORP.)
|
|
|
|
MANSOOR RAFIQ KHANDA
PAN:ALMPK3448B
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-JUN-2018 TO 19-JUN-2021
05-JUN-2014
D TO DISGORGE RS.2,82,15,646 ALONG WITH OTHER ENTITIES/PERSONS
12-MAY-2016~
|
SEBI VIDE ITS ORDER DATED 15/09/2014 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 05/06/2014
SEBI VIDE ITS ORDER DATED 12/05/2016 DIRECTED TO 1. IMPOUND UNLAWFUL GAINS OF RS.5,04,01,896 (GAIN OF RS.3,83,80,477 + INTEREST OF RS.1,20,21,419), JOINTLY AND SEVERALLY FROM ALL THE DEFAULTERS 2. BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS, AND ENSURE THAT ALL DIRECTIONS ARE STRICTLY ENFORCED. HOWEVER, CREDITS, IF ANY INTO THE ACCOUNTS MAY BE ALLOWED 3. NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME AMOUNTS ARE CREDITED TO AN ESCROW ACCOUNT CREATED SPECIFICALLY FOR PURPOSE IN A NATIONALIZED BANK AND TO CREATE AN ESCROW ACCOUNT IN FAVOUR OF SEBI AND MONIES KEPT THEREIN SHALL NOT BE RELEASED WITHOUT PERMISSION OF SEBI 4. PROVIDE FULL INVENTORY OF ALL THEIR ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, IF HELD IN PHYSICAL FORM
|
| 24 |
|
|
JHP SECURITIES PVT.LTD.
(PAN:AAACJ2847H)
|
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
IMPOSED PENALTY RS.3,00,000
23-OCT-2017
|
SAT: APPEAL DISMISSED. NO COSTS
|
| 25 |
|
|
JOGLEKAR INVESTMENTS PVT.LTD.
(CIN:U65993PN1997PTC106626)
|
|
|
|
MADHAV PRASAD JOGLEKAR
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-OCT-2007 TILL COMPLETION OF INQUIRY
17-OCT-2007
|
WITHDRAWN INTERIM ORDER DATED 17/10/2007
|
| 26 |
|
|
KE CONSULTING GROUP
(PAN:ACTPT8377N)
|
|
|
|
MANISH HARISH THAKKAR
PAN:ACTPT8377N
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-FEB-2018 TO 01-FEB-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-FEB-2018 TO 01-FEB-2025
DIRECTED TO WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITES ETC.
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC OR OFFER ANY PORTFOLIO MANAGEMENT SERVICES FROM 02-FEB-2018 TO 01-FEB-2025
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
RESTRAINED FROM ASSOCIATING WITH ANY INTERMEDIARY REGISTERED WITH SEBI IN ANY OFFICIAL CAPACITY
28-FEB-2012
|
SAT: APPEAL DISPOSED OFF WITHOUT ANY DIRECTION. NO ORDER AS TO COSTS
SEBI VIDE ITS ORDER DATED 02/02/2018 DIRECTED NOT TO 1) ACCESS SECURITIES MARKET OR BUY,SELL OR OTHERWISE DEAL IN SECURITIES MARKET EITHER DIRECTLY OR INDIRECTLY FOR A PERIOD OF SEVEN YEARS 2) ASSOCIATE HIMSELF WITH ANY LISTED COMPANY OR COMPANY INTENDING TO RAISE MONEY FROM PUBLIC, OR ANY REGISTERED INTERMEDIARY, IN THE CAPACITY OF A DIRECTOR, KEY MANAGEMENT PERSONNEL OR PARTNER FOR A PERIOD OF SEVEN YEARS 3) MOBILIZE FUNDS FROM PUBLIC OR OFFER ANY PORTFOLIO MANAGEMENT SERVICES FOR A PERIOD OF SEVEN YEARS FROM THE DATE OF THIS ORDER
|
| 27 |
|
|
LALSHAH MCX ALGO MANAGEMENT CO.
(Along with : FULLON CORP.,
INDIAN TRADING CO.,
OPTION & M.C.X KING,
A TO Z SOLUTION,
GLOBAL MCX MANAGEMENT SERVICE,
ATLAS CORP.)
|
|
|
|
MANSOOR RAFIQ KHANDA
PAN:ALMPK3448B
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-JUN-2018 TO 19-JUN-2021
05-JUN-2014
D TO DISGORGE RS.2,82,15,646 ALONG WITH OTHER ENTITIES/PERSONS
12-MAY-2016~
|
SEBI VIDE ITS ORDER DATED 15/09/2014 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 05/06/2014
SEBI VIDE ITS ORDER DATED 12/05/2016 DIRECTED TO 1. IMPOUND UNLAWFUL GAINS OF RS.5,04,01,896 (GAIN OF RS.3,83,80,477 + INTEREST OF RS.1,20,21,419), JOINTLY AND SEVERALLY FROM ALL THE DEFAULTERS 2. BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS, AND ENSURE THAT ALL DIRECTIONS ARE STRICTLY ENFORCED. HOWEVER, CREDITS, IF ANY INTO THE ACCOUNTS MAY BE ALLOWED 3. NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME AMOUNTS ARE CREDITED TO AN ESCROW ACCOUNT CREATED SPECIFICALLY FOR PURPOSE IN A NATIONALIZED BANK AND TO CREATE AN ESCROW ACCOUNT IN FAVOUR OF SEBI AND MONIES KEPT THEREIN SHALL NOT BE RELEASED WITHOUT PERMISSION OF SEBI 4. PROVIDE FULL INVENTORY OF ALL THEIR ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, IF HELD IN PHYSICAL FORM
|
| 28 |
|
|
LALSHAH MCX ALGO MANAGEMENT CO.
(Along with : FULLON CORP.,
ATLAS CORP.,
GLOBAL MCX MANAGEMENT SERVICE,
EAGLE BROKING)
|
|
|
|
MANSOOR RAFIQ KHANDA
PAN:ALMPK3448B
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-JUN-2018 TO 19-JUN-2021
05-JUN-2014
D TO DISGORGE RS.2,21,86,250 ALONG WITH OTHER ENTITIES/PERSONS
12-MAY-2016~
|
SEBI VIDE ITS ORDER DATED 15/09/2014 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 05/06/2014
SEBI VIDE ITS ORDER DATED 12/05/2016 DIRECTED TO 1. IMPOUND UNLAWFUL GAINS OF RS.5,04,01,896 (GAIN OF RS.3,83,80,477 + INTEREST OF RS.1,20,21,419), JOINTLY AND SEVERALLY FROM ALL THE DEFAULTERS 2. BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS, AND ENSURE THAT ALL DIRECTIONS ARE STRICTLY ENFORCED. HOWEVER, CREDITS, IF ANY INTO THE ACCOUNTS MAY BE ALLOWED 3. NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME AMOUNTS ARE CREDITED TO AN ESCROW ACCOUNT CREATED SPECIFICALLY FOR PURPOSE IN A NATIONALIZED BANK AND TO CREATE AN ESCROW ACCOUNT IN FAVOUR OF SEBI AND MONIES KEPT THEREIN SHALL NOT BE RELEASED WITHOUT PERMISSION OF SEBI 4. PROVIDE FULL INVENTORY OF ALL THEIR ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, IF HELD IN PHYSICAL FORM
|
| 29 |
|
|
LALSHAH MCX ALGO MANAGEMENT CO.
(Along with : FULLON CORP.,
INDIAN TRADING CO.,
OPTION & M.C.X KING,
A TO Z SOLUTION,
GLOBAL MCX MANAGEMENT SERVICE,
ATLAS CORP.)
|
|
|
|
FIROZ RAFIQ KHANDA
PAN:AFMPK5766J
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-JUN-2018 TO 19-JUN-2021
05-JUN-2014
D TO DISGORGE RS.2,82,15,646 ALONG WITH OTHER ENTITIES/PERSONS
12-MAY-2016~
|
SEBI VIDE ITS ORDER DATED 15/09/2014 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 05/06/2014
SEBI VIDE ITS ORDER DATED 12/05/2016 DIRECTED TO 1. IMPOUND UNLAWFUL GAINS OF RS.5,04,01,896 (GAIN OF RS.3,83,80,477 + INTEREST OF RS.1,20,21,419), JOINTLY AND SEVERALLY FROM ALL THE DEFAULTERS 2. BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS, AND ENSURE THAT ALL DIRECTIONS ARE STRICTLY ENFORCED. HOWEVER, CREDITS, IF ANY INTO THE ACCOUNTS MAY BE ALLOWED 3. NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME AMOUNTS ARE CREDITED TO AN ESCROW ACCOUNT CREATED SPECIFICALLY FOR PURPOSE IN A NATIONALIZED BANK AND TO CREATE AN ESCROW ACCOUNT IN FAVOUR OF SEBI AND MONIES KEPT THEREIN SHALL NOT BE RELEASED WITHOUT PERMISSION OF SEBI 4. PROVIDE FULL INVENTORY OF ALL THEIR ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, IF HELD IN PHYSICAL FORM
|
| 30 |
|
|
LALSHAH MCX ALGO MANAGEMENT CO.
(Along with : FULLON CORP.,
ATLAS CORP.,
GLOBAL MCX MANAGEMENT SERVICE,
EAGLE BROKING)
|
|
|
|
FIROZ RAFIQ KHANDA
PAN:AFMPK5766J
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-JUN-2018 TO 19-JUN-2021
05-JUN-2014
D TO DISGORGE RS.2,21,86,250 ALONG WITH OTHER ENTITIES/PERSONS
12-MAY-2016~
|
SEBI VIDE ITS ORDER DATED 15/09/2014 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 05/06/2014
SEBI VIDE ITS ORDER DATED 12/05/2016 DIRECTED TO 1. IMPOUND UNLAWFUL GAINS OF RS.5,04,01,896 (GAIN OF RS.3,83,80,477 + INTEREST OF RS.1,20,21,419), JOINTLY AND SEVERALLY FROM ALL THE DEFAULTERS 2. BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS, AND ENSURE THAT ALL DIRECTIONS ARE STRICTLY ENFORCED. HOWEVER, CREDITS, IF ANY INTO THE ACCOUNTS MAY BE ALLOWED 3. NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME AMOUNTS ARE CREDITED TO AN ESCROW ACCOUNT CREATED SPECIFICALLY FOR PURPOSE IN A NATIONALIZED BANK AND TO CREATE AN ESCROW ACCOUNT IN FAVOUR OF SEBI AND MONIES KEPT THEREIN SHALL NOT BE RELEASED WITHOUT PERMISSION OF SEBI 4. PROVIDE FULL INVENTORY OF ALL THEIR ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, IF HELD IN PHYSICAL FORM
|
| 31 |
|
|
LAXMI TRADERS
|
|
|
|
VALI MAMAD HABIB GHANIWALA
PAN:BGHPG6861M
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-AUG-2013 TO 19-AUG-2018
DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET
20-AUG-2013
|
SEBI VIDE ITS ORDER DATED 30/12/2013 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 20/08/2013
SEBI VIDE ITS ORDER DATED 11/09/2014 RESTRAINED THE NOTICEES FROM BUYING, SELLING OR DEALING IN THE SECUTITIES MARKET, EITHER DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER FOR A PERIOD OF 5 YEARS
|
| 32 |
|
|
LEE CAPITAL SERVICES PVT.LTD.
(CIN:U67120KL2005PTC018039
PAN:AABCL1849A)
|
|
|
|
KUNJIRAMAN PILLAI
DIN:03219507
PAN:ANCPP3867H
|
|
|
SANTHOSH KUMAR K.L.
PAN:AMOPK1159Q
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
DIRECTED TO WIND UP ALL THE PORTFOLIO MANAGEMENT SCHEMES
DIRECTED TO REFUND ALL THE MONIES TO INVESTORS ALONG WITH INCOME, PROFITS OR RETURNS PROMISED UNDER THE SCHEMES
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAR-2016 TO 30-MAR-2026
DEBARRED FROM ACTING AS UN-REGISTERED PORTFOLIO MANAGER FROM 31-MAR-2016 TO 30-MAR-2026
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
19-DEC-2013
|
SEBI VIDE ITS ORDER DATED 31/03/2016 DIRECTED LEE CAPITAL SERVICES PVT.LTD. TO 1) REFUND THE MONIES COLLECTED FROM ITS CLIENTS AND OTHER INVESTORS THROUGH VARIOUS SCHEMES ALONG WITH INCOME, PROFITS OR RETURNS PROMISED TO THEM UNDER SUCH SCHEMES OR INTEREST AT @ 10% P.A., WHICHEVER IS HIGHER, FROM DATE OF INVESTMENT TILL DATE OF REFUND WITHIN A PERIOD OF SIXTY (60) DAYS 2) SUBMIT A REPAYMENT REPORT TO SEBI AS CERTIFIED BY TWO INDEPENDENT CHARTERED ACCOUNTS WHO ARE IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION 3) NOT TO SELL ASSETS EXCEPT ON A SPECIFIC REQUEST MADE IN WRITING TO SEBI 4) PROVIDE FULL INVENTORY OF ALL ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, OR HELD IN PHYSICAL FORM 5) NOT TO DIRECTLY OR INDIRECTLY, ACCESS SECURITIES MARKET AND ARE FURTHER RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN WHATSOEVER MANNER, FROM DATE OF THIS ORDER, TILL EXPIRY OF TEN (10) YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS
SEBI VIDE ITS NOTICE DATED 01/02/2018 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
|
| 33 |
|
|
MATRIX WEB
|
|
|
|
HULLATI KRISHNA B.
|
|
|
KRISHNA HULLATI
|
|
|
KRISHNARAJ
|
|
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
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DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-SEP-2004 TILL FURTHER ORDER
RESTRAINED FROM ACCEPTING LOANS/DEPOSITS FROM PUBLIC FOR SECURITIES MARKET FROM 10-SEP-2004 TILL FURTHER ORDER
10-SEP-2004
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| 34 |
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MMF SOLUTIONS
(PAN:BBDPP5436J)
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PRIYANSH PATODI
PAN:BBDPP5436J
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INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
ACTED AS RESEARCH ANALYST WITHOUT SEBI REGISTRATION
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER
DIRECTED TO CEASE & DESIST FROM ACTING AS AN INVESTMENT ADVISOR AND/OR RESEARCH ANALYST AND CEASE TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER UNREGISTERED ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 15-FEB-2018 TO 14-FEB-2022
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO THOSE SCHEMES / ACTIVITIES (INVESTMENT ADVISER AND ALTERNATIVE INVESTMENT FUND, AND/OR RESEARCH ANALYST) OR ANY UNREGISTERED ACTIVITIES FROM 15-FEB-2018 TO 14-FEB-2022
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM ITS EXISTING CLIENTS / INVESTORS
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM INVESTORS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-FEB-2018 TO 14-FEB-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-FEB-2018 TO 14-FEB-2022
05-JAN-2016
|
SEBI VIDE ITS ORDER DATED 15/02/2018 1) DIRECTED TO REFUND RS.64,26,952 AND ANY OTHER AMOUNT RECEIVED FROM THE CLIENTS IN RESPECT OF UNREGISTERED INVESTMENT ADVISORY SERVICES, UNREGISTERED RESEARCH ANALYST SERVICES AND UNREGISTERD PORTFOLIO MANAGEMENT SERVICES AND SUBMIT A CERTIFICATE FROM A PEER REVIEWED CHARTERED ACCOUNTANT WHO IS IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION, WITHIN A PERIOD OF THREE MONTHS 2) REPAYMENTS TO THE CLIENTS SHALL BE EFFECTED ONLY THROUGH BANK DEMAND DRAFT OR PAY ORDER 3) NOT TO DIVERT ANY FUNDS RAISED FROM INVESTORS, KEPT IN BANK ACCOUNTS AND/OR IN THEIR CUSTODY, EXCEPT FOR THE PURPOSE OF REFUNDS TO THE CLIENTS 4) PREVENTED FROM SELLING THEIR ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES/ HELD BY THEM IN DEMAT AND PHYSICAL FORM EXCEPT FOR THE SOLE PURPOSE OF MAKING THE REFUNDS AS DIRECTED AND DEPOSIT THE PROCEEDS IN AN ESCROW ACCOUNT OPENED WITH A NATIONALISED BANK 5) NOT TO DIRECTLY OR INDIRECTLY, ACCESS SECURITIES MARKET AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN WHATSOEVER MANNER FOR A PERIOD OF FOUR YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS 6) NOT TO UNDERTAKE, EITHER DIRECTLY OR INDIRECTLY, UNREGISTERED INVESTMENT ADVISORY ACTIVITIES, UNREGISTERED RESEARCH ANALYST SERVICES AND UNREGISTERD PORTFOLIO MANAGER SERVICES OR ANY ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING A CERTIFICATE OF REGISTRATION FROM SEBI AFTER THE EXPIRY OF PERIOD OF DEBARMENT
SAT: SAT VIDE ITS ORDER DATED 24/04/2018 PERMITTED APPELLANT TO MAKE A REPRESENTATION TO SEBI WITHIN THREE WEEKS FROM THE DATE OF THIS ORDER SETTING OUT IN DETAIL AMOUNT ALREADY PAID TO THE CLIENTS AND MODE AND MANNER IN WHICH APPELLANT WOULD REFUND THE BALANCE AMOUNT. NO COSTS
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| 35 |
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OM SRI SAI INVESTMENTS
(PAN:AADFO8242K)
|
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INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM ANY UNREGISTERED PORTFOLIO MANAGEMENT SERVICES
13-NOV-2020
|
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| 36 |
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OPTION & M.C.X KING
(Along with : FULLON CORP.,
INDIAN TRADING CO.,
A TO Z SOLUTION,
LALSHAH MCX ALGO MANAGEMENT CO.,
GLOBAL MCX MANAGEMENT SERVICE,
ATLAS CORP.)
|
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MANSOOR RAFIQ KHANDA
PAN:ALMPK3448B
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-JUN-2018 TO 19-JUN-2021
DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-JUN-2018 TO 19-JUN-2021
05-JUN-2014
D TO DISGORGE RS.2,82,15,646 ALONG WITH OTHER ENTITIES/PERSONS
12-MAY-2016~
|
SEBI VIDE ITS ORDER DATED 15/09/2014 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 05/06/2014
SEBI VIDE ITS ORDER DATED 12/05/2016 DIRECTED TO 1. IMPOUND UNLAWFUL GAINS OF RS.5,04,01,896 (GAIN OF RS.3,83,80,477 + INTEREST OF RS.1,20,21,419), JOINTLY AND SEVERALLY FROM ALL THE DEFAULTERS 2. BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS, AND ENSURE THAT ALL DIRECTIONS ARE STRICTLY ENFORCED. HOWEVER, CREDITS, IF ANY INTO THE ACCOUNTS MAY BE ALLOWED 3. NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME AMOUNTS ARE CREDITED TO AN ESCROW ACCOUNT CREATED SPECIFICALLY FOR PURPOSE IN A NATIONALIZED BANK AND TO CREATE AN ESCROW ACCOUNT IN FAVOUR OF SEBI AND MONIES KEPT THEREIN SHALL NOT BE RELEASED WITHOUT PERMISSION OF SEBI 4. PROVIDE FULL INVENTORY OF ALL THEIR ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, IF HELD IN PHYSICAL FORM
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| 37 |
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OXUS INVESTMENTS PVT.LTD.
|
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER AFTER EXPIRY OF SEBI REGISTRATION
|
IMPOSED PENALTY RS.10,00,000
20-DEC-2017
|
SAT: SAT VIDE ITS ORDER DATED 15/10/2018 ALLOWED APPEAL AND MISC. APPLICATION TO BE WITHDRAWN. NO COSTS
|
| 38 |
|
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P.SRINIVASA THANGA DURAI
(PAN:ACLFS5789F)
|
|
|
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P.SOUNDRAVALLI
PAN:FLJPS3301B
|
|
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P.SRINIVASA THANGA DURAI
PAN:BBDPS1849E
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM INVESTORS
DIRECTED TO REFUND ALL THE MONIES TO INVESTORS ALONG WITH INCOME, PROFITS OR RETURNS PROMISED UNDER THE SCHEMES
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 09-JAN-2018 TO 08-JAN-2022
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-JAN-2018 TO 08-JAN-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-JAN-2018 TO 08-JAN-2022
18-JUL-2016
|
SEBI VIDE ITS ORDER DATED 09/01/2018 1) DIRECTED TO REFUND THE MONEY RECEIVED FROM THE CLIENTS IN RESPECT OF UNREGISTERED PORTFOLIO MANAGEMENT SERVICES ACTIVITIES, ALONGWITH THE PROMISED RETURNS AND SUBMIT A CERTIFIED FROM A PEER REVIEWED CHARTERED ACCOUNTANT WHO IS IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION, WITHIN A PERIOD OF THREE MONTHS 2) REPAYMENTS TO THE CLIENTS SHALL BE EFFECTED ONLY THROUGH BANK DEMAND DRAFT OR PAY ORDER 3) NOT TO DIVERT ANY FUNDS RAISED FROM INVESTORS, KEPT IN BANK ACCOUNTS AND/OR IN THEIR CUSTODY, EXCEPT FOR THE PURPOSE OF REFUNDS TO THE CLIENTS 4) DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS & PROPERTIES AND DETAILS OF ALL BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF MUTUAL FUNDS/SHARES/SECURITIES, IF HELD IN PHYSICAL AND DEMAT FORM 5) PREVENTED FROM SELLING THEIR PERSONAL AND/OR PARTNERSHIP FIRM’S ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES/ HELD BY THEM IN DEMAT AND PHYSICAL FORM EXCEPT FOR THE SOLE PURPOSE OF MAKING THE REFUNDS AS DIRECTED AND DEPOSIT THE PROCEEDS IN AN ESCROW ACCOUNT OPENED WITH A NATIONALISED BANK 6) NOT TO DIRECTLY OR INDIRECTLY, ACCESS SECURITIES MARKET AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN WHATSOEVER MANNER FOR A PERIOD OF FOUR YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS 7) NOT TO UNDERTAKE, EITHER DIRECTLY OR INDIRECTLY, PORTFOLIO MANAGEMENT SERVICES OR ANY ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING A CERTIFICATE OF REGISTRATION FROM SEBI AFTER THE EXPIRY OF PERIOD OF DEBARMENT
SEBI VIDE ITS NOTICE DATED 30/08/2019 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
|
| 39 |
|
|
PRATHMESH SECURITIES PVT.LTD.
|
|
|
|
MADHAV PRASAD JOGLEKAR
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
DIRECTED NOT TO UNDERTAKE ANY PROPRIETARY TRADES IN SECURITIES
17-OCT-2007
|
WITHDRAWN INTERIM ORDER DATED 17/10/2007
|
| 40 |
|
|
RIGHT TRADE
|
|
|
|
IMTIYAZ HANIF KHANDA
PAN:AVQPK5639L
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-AUG-2013 TO 19-AUG-2018
DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET
20-AUG-2013
|
SEBI VIDE ITS ORDER DATED 30/12/2013 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 20/08/2013
SEBI VIDE ITS ORDER DATED 11/09/2014 RESTRAINED THE NOTICEES FROM BUYING, SELLING OR DEALING IN THE SECUTITIES MARKET, EITHER DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER FOR A PERIOD OF 5 YEARS
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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| Page 2 of 3
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