| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 461 |
|
ZENITH RESEARCH SERVICES
(PAN:AABFZ3937C)
|
|
|
|
PREETAM SINGH RAJPUT
PAN:AQKPR3991H
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
DIRECTED TO REFUND MONEY TO THE INVESTORS
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
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
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
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 16-OCT-2023 TO 15-OCT-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-OCT-2023 TO 15-OCT-2024
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY INVESTMENT ADVISORY SERVICES AND/OR RESEARCH ANALYST ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
IMPOSED PENALTY RS.11,00,000
16-OCT-2023
|
|
| 462 |
|
|
ZENITH RESEARCH SERVICES
(PAN:AABFZ3937C)
|
|
|
|
ANURAG SHRIVASTAV
PAN:BWTPS4387N
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
DIRECTED TO REFUND MONEY TO THE INVESTORS
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
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
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
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 16-OCT-2023 TO 15-APR-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-OCT-2023 TO 15-APR-2024
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY INVESTMENT ADVISORY SERVICES AND/OR RESEARCH ANALYST ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
16-OCT-2023
|
|
| 463 |
|
|
ZENITHVIA RESEARCH SERVICES
|
|
|
|
ANURAG SHRIVASTAV
PAN:BWTPS4387N
|
|
|
LOKENDRA JAIN
PAN:AJDPJ2709F
|
|
|
SANDEEP SHRIWAS
PAN:FFDPS9776G
|
|
|
VIJAY SINGH TOMAR
PAN:AMJPT3407D
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
DIRECTED TO REFUND MONEY TO THE INVESTORS
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
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
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
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-SEP-2023 TO 26-MAR-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-SEP-2023 TO 26-MAR-2024
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY INVESTMENT ADVISORY SERVICES AND/OR RESEARCH ANALYST ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
IMPOSED PENALTY RS.11,00,000
27-SEP-2023
|
|
| 464 |
|
|
ZOID RESEARCH
(PAN:BBQPK0436A)
|
|
|
|
TABREZ KHAN
PAN:BBQPK0436A
|
|
INDULGED IN CARRYING OUT ACTIVITIES AS AN INVESTMENT ADVISER VIOLATING CLAUSES 1 TO 6 AND 8 OF CODE OF CONDUCT FOR INVESTMENT ADVISERS READ WITH REGULATION 15(9) OF (INVESTMENT ADVISORS) REGULATIONS, 2013
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-FEB-2019 TILL FURTHER ORDERS
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 08-FEB-2019 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 DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT NOT TRANSFERRED SECURITIES HELD JOINTLY OR SEVERALLY
08-FEB-2019
|
SAT: SAT VIDE ITS ORDER DATED 20/02/2019 DISPOSED OFF APPEAL AND MISC. APPLICATION AND DIRECTED APPELLANT TO FILE THE OBJECTIONS, IF ANY, BEFORE WTM OF SEBI WITHIN 48 HOURS
SEBI VIDE ITS ORDER DATED 01/03/2019 DISPOSED OFF APPLICATION FOR STAY DATED 22/02/2019 AS THERE WAS NO ADQUATE GROUNDS TO STAY OPERATION OF INTERIM ORDER DATED 08/02/2019
|
| 465 |
|
|
ZOID RESEARCH
(PAN:BBQPK0436A)
|
|
|
|
TABREZ KHAN
PAN:BBQPK0436A
|
|
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
USED FAKE NAMES IN DEALING WITH CLIENTS
CHARGED EXTRA MONEY FROM CLIENTS/INVESTORS
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
|
IMPOSED PENALTY RS.8,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-NOV-2020
|
|
| 466 |
|
|
ZOID RESEARCH
(PAN:BBQPK0436A)
|
|
|
|
TABREZ KHAN
PAN:BBQPK0436A
|
|
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
EXTRACTED MONEY FROM CLIENTS AND/OR INVESTORS
DID NOT POSSESS NISM CERTIFICATE
USED FAKE NAMES/IDENTITY TO SOLICIT PAYMENTS FROM CLIENTS AND/OR INVESTORS
|
SUSPENDED REGISTRATION AS INVESTMENT ADVISER FROM 11-MAY-2022 TO 10-MAY-2025
11-MAY-2022
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 24 of 24
|
