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 : 27-AUG-2026

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

S.No.

PERSON

ENTITY

REGULATORY CHARGES

REGULATORY ACTION(S) / DATE OF ORDER

FURTHER DEVELOPMENTS

941

VIRESH GANGARAM JOSHI

(PAN:AAEPJ2694R)

(Along with : REKHA ARUN KURANI,

PRIJESH ARUNKUMAR KURANI)

INDULGED IN FRONT RUNNING TRADING ACTIVITIES VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF AXIS MUTUAL FUND

SAT: SAT VIDE ITS ORDER DATED 07/02/2024 CONDONED THE DELAY IN FILING OF APPEAL AND RESPONDENT TO FILE REPLY TWO WEEKS FROM DATE OF THIS ORDER

SAT: SAT VIDE ITS ORDER DATED 04/03/2024 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER

SAT: SAT VIDE ITS ORDER DATED 20/06/2025 CONDONED THE DELAY IN FILING OF APPEAL

SAT: SAT VIDE ITS ORDER DATED 03/09/2025 ALLOWED MISC.APPLICATION AND DIRECTED SEBI TO PROVIDE NECESSARY COPIES OF DOCUMENTS TO APPELLANT

SAT: SAT VIDE ITS ORDER DATED 18/09/2025 PARTLY ALLOWED THE APPEAL AND SET ASIDE COMMUNICATION DATED 23/10/2023. NO COSTS

SAT: SAT VIDE ITS ORDER DATED 27/03/2026 PARTLY ALLOWED THE APPEAL AND TIME EXTENDED FOR THREE MONTHS FROM DATE OF THIS ORDER TO PASS FINAL ORDER

SEBI VIDE ITS ORDER DATED 24/07/2026 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER, FOR SEVEN YEARS FROM DATE OF INTERIM ORDER I.E.28/02/2023 B) MONEY IMPOUNDED IN COMPLIANCE WITH DIRECTIONS OF INTERIM ORDER CUM SCN DATED 28/02/2023, WHICH HAS BEEN ALREADY PAID AND/OR REALIZED TO BE TREATED AS DISGORGEMENT AMOUNT AND SAME TO TRANSFERRED TO IPEF WITH SIMPLE INTEREST @12% P.A. FROM THE END OF INVESTIGATION PERIOD UNTIL DEPOSIT OF UNLAWFUL GAINS PURSUANT TO INTERIM ORDER CUM SCN AND AMOUNT TO BE REMITTED TO IPEF

942

VIVEK GAUR

(PAN:ABVPG5592K)

INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF RRP SEMICONDUCTOR LTD. (FORMERLY KNOWN AS G D TRADING & AGENCIES LTD.)

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-APR-2026 UNTIL FURTHER ORDER

DIRECTED TO FREEZE DEMAT ACCOUNT OF A SPECIFIED SCRIP

DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI

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

10-APR-2026

943

VIVEK MAHENDRAGIRI RAMDATI

(PAN:BQVPR8043L)

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VINAYAK TRADELINK

PAN:BQVPR8043L

ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION

SEBI VIDE ITS ORDER DATED 26/09/2022 DIRECTED TO A) REFUND THE MONEY RECEIVED FROM THE INVESTORS/CLIENTS, AS FEES OR CONSIDERATION OR IN ANY OTHER FORM, IN RESPECT OF UNREGISTERED INVESTMENT ADVISORY ACTIVITIES WITHIN THREE MONTHS FROM DATE OF THIS ORDER B) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING MODALITIES FOR REFUND INCLUDING DETAILS OF CONTACT PERSON NAMES, ADDRESSES AND CONTACT DETAILS WITHIN 15 DAYS OF COMING FORCE OF THIS ORDER C) REPAYMENTS TO CLIENTS/INVESTORS, SHALL BE EFFECTED ONLY THROUGH BANK DEMAND DRAFT OR PAY ORDER OR ELECTRONICS FUND TRANSFER D) PREVENTED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM EXCEPT FOR THE SOLE PURPOSE OF MAKING THE REFUNDS AS DIRECTED. FURTHER, DIRECTED BANK TO ALLOW DEBIT ONLY FOR THE PURPOSE OF MAKING REFUNDS TO THE CLIENTS/INVESTORS, WHO WERE AVAILING THE INVESTMENT ADVISORY SERVICES E) FILE REPORT OF SUCH COMPLETION WITH SEBI DULY CERTIFIED FROM INDEPENDENT CHARTERED ACCOUNTANT F) DEBARRED FROM ACCESSING SECURITIES MARKET DIRECTLY OR INDIRECTLY AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER FOR A PERIOD OF TEN YEARS FROM DATE OF COMPLETION OF REFUNDS TO CLIENTS/INVESTORS G) NOT TO UNDERTAKE, EITHER DIRECTLY OR INDIRECTLY, INVESTMENT ADVISORY SERVICES OR ANY ACTIVITY IN THE SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI

944

VIVEK TYAGI

(PAN:AJYPT1874C)

TRIFID RESEARCH

PAN:AAGFT6463L

SOLD HIGH-RISK PRODUCT/SERVICE TO CLIENT WITH MODERATE/LOW RISK APPETITE

SOLD ADVISORY SERVICES PRIOR TO COMMUNICATION OF RISK PROFILE

SOLD PRODUCTS TO CLIENTS WHICH WERE NOT SUITABLE TO RISK PROFILE OF THE CLIENTS

CHARGED SERVICE FEES DISPROPORTIONATE TO ANNUAL INCOME/PROPOSED INVESTMENT

LOCKED CLIENTS BY ADVANCE FEE FOR SALE OF PRODUCTS WITHOUT REFUND

SOLD ADVISORY SERVICES/PRODUCTS TO CLIENTS HAVING DIFFERENT NAMES BUT SAME FEATURE

RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 30-MAR-2021 TO 29-MAR-2026

CEASED & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS AN INVESTMENT ADVISOR, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 30-MAR-2021 TO 29-MAR-2026

CEASED TO SOLICIT OR UNDERTAKE INVESTMENT ADVISORY ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 30-MAR-2021 TO 29-MAR-2026

DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 30-MAR-2021 TO 29-MAR-2026

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 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 30-MAR-2021 TO 29-MAR-2026

DIRECTED TO IMMEDIATELY REMOVE ALL CONTENTS FROM ITS WEBSITE AND DISPLAY ONLY CONTENT IN ITS WEBSITE THAT SEBI HAS PASSED VIDE ITS ORDER

DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND CREDITS MADE IN DEMAT ACCOUNTS

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 RESOLVE ALL PENDING COMPLAINTS

DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS

30-MAR-2021

SEBI VIDE ITS ORDER DATED 29/12/2022 A) PROHIBITED FROM ACCESSING SECURITIES MARKET AND FURTHER RESTRAINED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES IN ANY MANNER WHATSOEVER, EITHER DIRECTLY OR ON BEHALF OF ANY CLIENTS THROUGH THEIR ACCOUNTS FOR FIVE YEARS FROM DATE OF THIS ORDER B) DIRECTED TO RESOLVE THE COMPLAINTS PENDING IN THE SCORES AND OTHERWISE, WITHIN 30 DAYS FROM DATE OF THIS ORDER B) DIRECTED TO RESOLVE THE COMPLAINTS PENDING IN THE SCORES AND OTHERWISE WITHIN 30 DAYS FROM DATE OF THIS ORDER C) DURING PERIOD OF RESTRAINT EXISTING HOLDING, INCLUDING UNITS OF MUTUAL FUNDS SHALL REMAIN FROZEN D) NOT TO DIVERT ANY FUNDS COLLECTED FROM INVESTORS, KEPT IN BANK ACCOUNT(S) AND/OR IN THEIR CUSTODY AND DIRECTED NOT TO ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE OR ANY INTEREST OR INVESTMENT OR CHARGE ON SUCH ASSETS HELD IN NAME OF TRIFID, INCLUDING MONEY LYING IN BANK ACCOUNTS, TO CONTINUE EXCEPT FOR MAKING REFUNDS TO CLIENTS WITH PRIOR PERMISSION OF SEBI FOR PURPOSE OF RESOLUTION OF PENDING COMPLAINTS

SAT: SAT VIDE ITS ORDER DATED 01/05/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND GRANTED APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER

SAT: SAT VIDE ITS ORDER DATED 07/07/2026 PARTLY ALLOWED THE APPEAL AND SET ASIDE THE DIRECTIONS UNDER PFUTP REGULATIONS. NO COST

945

YASH ANIL JAJOO

(PAN:BECPJ4821F)

ENGAGED INDIRECTLY IN INSIDER TRADING ACTIVITIES WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT. 1992 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ZEE ENTERTAINMENT ENTERPRISES LTD.

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-AUG-2021 UNTIL FURTHER ORDERS

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

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 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 BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI

DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 12-AUG-2021 UNTIL FURTHER ORDERS

DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND CREDITS MADE IN DEMAT ACCOUNTS

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

12-AUG-2021

SEBI VIDE ITS ORDER DATED 18/02/2022 A) LIFT THE RESTRICTIONS IMPOSED ON THE ENTITIES VIDE ITS INTERIM ORDER DATED 12/08/2021 B) FUNDS DEPOSITED BY THE ENTITIES IN INTEREST BEARING ESCROW ACCOUNT WILL REMAIN IN THE SAID ACCOUNT WITH LIEN IN FAVOUR OF SEBI UNTIL FURTHER ORDERS

SEBI VIDE ITS ORDER DATED 31/03/2023 REVOKED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 12/08/2021 READ WITH CONFIRMATORY ORDER DATED 27/09/2021 AND 18/02/2022

946

YASH CHAWLA

(PAN:AZDPC8667K)

KHELO MCX RESEARCH SERVICES

PAN:AZDPC8667K

ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION

SEBI VIDE ITS ORDER DATED 30/11/2021 DIRECTED TO A) REFUND THE MONEY RECEIVED FROM CLIENTS/INVESTORS/COMPLAINTS, AS FEES OR CONSIDERATION OR IN ANY OTHER FORM, IN RESPECT OF UNREGISTERED INVESTMENT ADVISORY ACTIVITIES WITHIN THREE MONTHS FROM DATE OF THIS ORDER B) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING MODALITIES FOR REFUND INCLUDING DETAILS OF CONTACT PERSON NAMES, ADDRESSES AND CONTACT DETAILS WITHIN 15 DAYS OF COMING FORCE OF THIS ORDER C) REPAYMENTS TO CLIENTS/INVESTORS TO BE EFFECTED ONLY IN CASH THROUGH BANK DEMAND DRAFT OR PAY ORDER OR ELECTRONICS FUND TRANSFER D) PREVENTED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM EXCEPT FOR THE SOLE PURPOSE OF MAKING THE REFUNDS AS DIRECTED E) RESOLVED ALL THE COMPLAINTS PENDING AND FILE REPORT OF SUCH RESOLUTION WITH SEBI WITHIN THIRTY DAYS FROM DATE OF THIS ORDER F) FILE REPORT OF SUCH COMPLETION WITH SEBI DULY CERTIFIED FROM INDEPENDENT CHARTERED ACCOUNTANTS G) DEBARRED FROM ACCESSING SECURITIES MARKET DIRECTLY OR INDIRECTLY AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER FOR SIX MONTHS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS H) RESTRAINED FROM ASSOCIATING WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC, OR ANY INTERMEDIARY REGISTERED WITH SEBI IN ANY CAPACITY FOR SIX MONTHS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS I) NOT TO UNDERTAKE, EITHER DIRECTLY OR INDIRECTLY, INVESTMENT ADVISORY SERVICES OR ANY OTHER ACTIVITY IN THE SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI J) NOT TO DIVERT ANY FUNDS COLLECTED FROM INVESTORS, KEPT IN BANK ACCOUNTS AND/OR IN THEIR CUSTODY, EXCEPT FOR THE PURPOSE OF REFUND K) NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, WHETHER MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OF CREATE ON ANY OF SUCH ASSETS HELD THEIR NAME, INCLUDING MONEY LYING IN BANK ACCOUNTS EXCEPT FOR PURPOSE OF REFUND

SEBI VIDE ITS NOTICE DATED 20/09/2023 DIRECTED TO PAY RS.1,54,56,940.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SEBI VIDE ITS ORDER DATED 11/12/2023 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS 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

SEBI VIDE ITS NOTICE DATED 19/12/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.1,87,24,049.45 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTG

947

YASH MANISH MEHTA

(PAN:CGGPM6543Q)

INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF DARJEELING ROPEWAY CO.LTD. (NOW KNOWN AS DARJEELING INDUSTRIES LTD.)

SEBI VIDE ITS ORDER DATED 30/06/2026 DIRECTED TO A) RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH THE SECURITIES MARKET IN ANY MANNER, FOR A PERIOD OF FOUR FROM DATE OF INTERIM ORDER B) DISGORGE UNLAWFUL GAINS OF RS.16,64,622.00 ALONGWITH SIMPLE INTEREST @12% P.A. FROM 21/10/2020 TILL DATE OF PAYMENT OF DISGORGED AND AMOUNT TO BE REMITTED TO INVESTOR PROTECTION AND EDUCATION FUND (IPEF) WITHIN FORTY FIVE DAYS FROM DATE OF RECEIPT OF THIS ORDER

948

YASHWANT RAMANBHAI JADAV

(PAN:AUWPJ9680K)

INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF EXCEL CASTRONICS LTD.

SAT: SAT VIDE ITS ORDER DATED 05/01/2022 CONDONED THE DELAY IN FILING OF APPEAL. RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANTS TO FILE REJOINDER WITHIN THREE WEEKS THEREAFTER

SAT: SAT VIDE ITS ORDER DATED 11/01/2022 CONDONED THE DELAY OF 14 DAYS IN FILING OF APPEAL AND DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER ON OR BEFORE THE NEXT DATE

SAT: SAT VIDE ITS ORDER DATED 25/02/2022 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER

SAT: SAT VIDE ITS ORDER DATED 07/04/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER

SEBI VIDE ITS NOTICE DATED 22/07/2022 DIRECTED TO PAY RS.5,49,329.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SEBI VIDE ITS NOTICE DATED 20/09/2022 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS 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

SAT: SAT VIDE ITS ORDER DATED 14/09/2022 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER

SAT: SAT VIDE ITS ORDER DATED 14/10/2022 DIRECTED TO FILE THE REJOINDER, IF ANY, ON OR BEFORE NEXT DATE

SAT: SAT VIDE ITS ORDER DATED 06/06/2023 REJECTED THE APPLICATION

SEBI VIDE ITS NOTICE DATED 22/03/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.6,51,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG

949

YAYAATI HASMUKHRAY NADA

(PAN:AGFPN4412J)

(Along with : HARDIK JITENDRABHAI PATEL,

SHAILESH SOMABHAI PATEL,

JALAJ AGRAWAL,

ARVIND SHUKLA)

INDULGED IN DEALING IN SECURITIES WHILE IN POSSESSION OF MATERIAL OR NON-PUBLIC INFORMATION OR COMMUNICATE SUCH MATERIAL OR NON-PUBLIC INFORMATION TO ANY OTHER PERSON VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT. 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(D) AND 4(2)(E) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF UNISON METALS LTD.

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JUL-2024 UNTIL FURTHER ORDERS

ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS

DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI

DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS

ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF COMPLYING WITH THIS ORDER

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 NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT

DIRECTED TO IMPOUND UNLAWFUL GAIN RS.4,77,780 ALONG WITH OTHER ENTITIES/PERSONS

DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI

31-JUL-2024

SAT: SAT VIDE ITS ORDER DATED 04/10/2024 GRANTED TEN DAYS TO FILE REPLY

SAT: SAT VIDE ITS ORDER DATED 17/10/2024 PERMITTED A) APPELLANTS TO SELL THE SHARES AND MAKE PAYMENTS AS CALLED UPON BY SEBI IN TABLE 25 (PARAGRAPH 60) OF IMPUGNED ORDER BY DEPOSITING AMOUNT IN AN INTEREST BEARING ESCROW ACCOUNT IN ANY NATIONALIZED BANK WITHIN LIEN MARK IN FAVOUR OF SEBI B) APPELLANTS SHALL BE FREE TO TRADE IN ANY SCRIP OTHER THAN UNISON METALS LTD. C) APPELLANT TO MAKE DEPOSIT IN OUTER LIMIT OF FOUR WEEKS D) SEBI TO DEFREEZE THE ACCOUNTS IMMEDIATELY E) APPELLANTS TO FILE REPLY TO THE SHOW CAUSE NOTICE WITHIN OUTER LIMIT OF FOUR WEEKS FROM DATE OF THIS ORDER. NO COSTS

950

YAYAATI HASMUKHRAY NADA

(PAN:AGFPN4412J)

(Along with : JASAVANTBHAI PATEL,

REETABEN ASHVINKUMAR SHUKLA,

SHAILESH SOMABHAI PATEL,

JALAJ AGRAWAL,

ARVIND SHUKLA)

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JUL-2024 UNTIL FURTHER ORDERS

ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS

DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI

DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS

ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF COMPLYING WITH THIS ORDER

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 NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT

DIRECTED TO IMPOUND UNLAWFUL GAIN RS.38,29,542 ALONG WITH OTHER ENTITIES/PERSONS

DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI

31-JUL-2024

951

YAYAATI HASMUKHRAY NADA

(PAN:AGFPN4412J)

(Along with : NAHUSH ASHVINBHAI SHUKLA,

REETABEN ASHVINKUMAR SHUKLA,

SHAILESH SOMABHAI PATEL,

JALAJ AGRAWAL,

ARVIND SHUKLA)

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JUL-2024 UNTIL FURTHER ORDERS

ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS

DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI

DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS

ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF COMPLYING WITH THIS ORDER

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 NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT

DIRECTED TO IMPOUND UNLAWFUL GAIN RS.20,88,798 ALONG WITH OTHER ENTITIES/PERSONS

DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI

31-JUL-2024

952

YAYAATI HASMUKHRAY NADA

(PAN:AGFPN4412J)

(Along with : JIGNESH PRAVINBHAI PETHANI,

SHAILESH SOMABHAI PATEL,

JALAJ AGRAWAL,

ARVIND SHUKLA)

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JUL-2024 UNTIL FURTHER ORDERS

ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS

DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI

DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS

ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF COMPLYING WITH THIS ORDER

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 NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT

DIRECTED TO IMPOUND UNLAWFUL GAIN RS.37,49,190 ALONG WITH OTHER ENTITIES/PERSONS

DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI

31-JUL-2024

953

YAYAATI HASMUKHRAY NADA

(PAN:AGFPN4412J)

(Along with : SHAILESH SOMABHAI PATEL,

JALAJ AGRAWAL,

ARVIND SHUKLA)

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JUL-2024 UNTIL FURTHER ORDERS

ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS

DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI

DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS

ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF COMPLYING WITH THIS ORDER

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 NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT

DIRECTED TO IMPOUND UNLAWFUL GAIN

DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI

31-JUL-2024

954

YAYAATI HASMUKHRAY NADA

(PAN:AGFPN4412J)

(Along with : NIRALI YAYAATI NADA,

JALAJ AGRAWAL,

ARVIND SHUKLA,

SHAILESH SOMABHAI PATEL)

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JUL-2024 UNTIL FURTHER ORDERS

ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS

DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI

DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS

ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF COMPLYING WITH THIS ORDER

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 NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT

DIRECTED TO IMPOUND UNLAWFUL GAIN RS.1,02,32,226 ALONG WITH OTHER ENTITIES/PERSONS

DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI

31-JUL-2024

955

YAYAATI HASMUKHRAY NADA

(PAN:AGFPN4412J)

(Along with : REETABEN ASHVINKUMAR SHUKLA,

SHAILESH SOMABHAI PATEL,

JALAJ AGRAWAL,

ARVIND SHUKLA)

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JUL-2024 UNTIL FURTHER ORDERS

ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS

DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI

DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS

ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF COMPLYING WITH THIS ORDER

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 NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT

DIRECTED TO IMPOUND UNLAWFUL GAIN RS.12,11,311 ALONG WITH OTHER ENTITIES/PERSONS

DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI

31-JUL-2024

956

YAYAATI HASMUKHRAY NADA

(PAN:AGFPN4412J)

(Along with : PRAJESH ASHVINBHAI SHUKLA,

REETABEN ASHVINKUMAR SHUKLA,

SHAILESH SOMABHAI PATEL,

JALAJ AGRAWAL,

ARVIND SHUKLA)

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JUL-2024 UNTIL FURTHER ORDERS

ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS

DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI

DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS

ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF COMPLYING WITH THIS ORDER

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 NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT

DIRECTED TO IMPOUND UNLAWFUL GAIN RS.18,73,075 ALONG WITH OTHER ENTITIES/PERSONS

DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI

31-JUL-2024

957

YOGENDRA GANGRADE

(PAN:AFYPY9410M)

PROWISE CAPITAL

PAN:AASFP2716Q

PROWISE CONSULTANCY

PAN:AFYPY9410M

ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION

SEBI VIDE ITS ORDER DATED 14/06/2021 DIRECTED TO A) REFUND THE MONEY RECEIVED FROM CLIENTS/INVESTORS/COMPLAINT AS FEES OR COMPENSATION OR IN ANY OTHER FORM IN RESPECT OF ITS UNREGISTERED INVESTMENT ADVISORY ACTIVITIES B) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING MODALITIES FOR REFUND C) REPAYMENTS TO THE CLIENTS/INVESTORS SHALL BE EFFECTED ONLY THROUGH BANK DEMAND DRAFT OR PAY ORDER OR ELECTRONIC FUND TRANSFER OR THROUGH ANY OTHER APPROPRIATE BANKING CHANNELS D) NOT TO SELL ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM EXCEPT FOR THE SOLE PURPOSE OF MAKING THE REFUNDS. FURTHER, THE BANKS ARE DIRECTED TO ALLOW DEBIT ONLY FOR THE PURPOSE OF MAKING REFUNDS TO THE CLIENTS/INVESTORS WHO WERE AVAILING THE INVESTMENT ADVISORY SERVICES E) FILE REPORT OF SUCH COMPLETION WITH SEBI DULY CERTIFIED FROM INDEPENDENT CHARTERED ACCOUNTANTS F) DEBARRED FROM ACCESSING THE SECURITIES MARKET DIRECTLY OR INDIRECTLY AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER, FOR A PERIOD OF TWO YEARS FROM THE DATE OF THIS ORDER OR TILL THE EXPIRY OF TWO YEARS FROM THE DATE OF COMPLETION OF REFUNDS TO INVESTORS G) RESTRAINED FROM ASSOCIATING WITH ANY COMPANY WHOSE SECURITIES ARE LISTED ON A RECOGNIZED STOCK EXCHANGE AND ANY COMPANY WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC, OR ANY INTERMEDIARY REGISTERED WITH SEBI IN ANY CAPACITY FOR A PERIOD OF TWO YEARS FROM THE DATE OF COMPLETION OF REFUNDS TO INVESTORS H) NOT TO UNDERTAKE, EITHER DURING OR AFTER THE EXPIRY OF THE PERIOD OF DEBARMENT/RESTRAINT, EITHER DIRECTLY OR INDIRECTLY, INVESTMENT ADVISORY SERVICES OR ANY ACTIVITY IN THE SECURITIES MARKET WITHOUT OBTAINING A CERTIFICATE OF REGISTRATION FROM SEBI AS REQUIRED UNDER THE SECURITIES LAW

SEBI VIDE ITS NOTICE DATED 30/11/2023 DIRECTED TO PAY RS.2,49,99,455.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SEBI VIDE ITS ORDER DATED 10/07/2024 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS 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

SEBI VIDE ITS NOTICE DATED 17/09/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.26,922,413.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTG

SEBI VIDE ITS NOTICE DATED 31/01/2025 ALLOWED THE APPEAL AND DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 10/07/2024

SEBI VIDE ITS ORDER DATED 19/08/2025 DIRECTED TO A) REFUND THE MONIES RECEIVED FROM CLIENTS/ INVESTORS, AS FEES OR CONSIDERATION IN RESPECT OF UNREGISTERED INVESTMENT ADVISORY ACTIVITIES THROUGH BANKING CHANNELS B) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING THE MODALITIES FOR REFUND INCLUDING DETAILS OF CONTACT PERSON NAMES, ADDRESSES AND CONTACT DETAILS WITHIN 30 DAYS OF COMING FORCE OF THIS ORDER C) FILE REPORT OF SUCH COMPLETION WITH SEBI DULY CERTIFIED FROM INDEPENDENT CHARTERED ACCOUNTANTS WITHIN 15 DAYS

958

YOGESH GARG

(PAN:AKSPG0248E)

INDULGED IN FRONT RUNNING TRADING ACTIVITIES VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF LIFE INSURANCE CORP.OF INDIA

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-APR-2023 UNTIL FURTHER ORDERS

CEASED AND DESIST FROM DIRECTLY OR INDIRECTLY, ENGAGED IN FRAUDULENT, MANIPULATIVE OR UNFAIR TRADE PRACTICE INCLUDING FRONT RUNNING ACTIVITIES FROM 27-APR-2023 UNTIL FURTHER ORDERS

DIRECTED TO DEPOSIT WRONGFUL GAINS IN ESCROW ACCOUNT

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 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 BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI

DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 27-APR-2023 UNTIL FURTHER ORDERS

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

27-APR-2023

SEBI VIDE ITS ORDER DATED 19/03/2024 DIRECTED TO DEPOSIT THE PROCEEDS IN ESCROW ACCOUNT IMMEDIATELY. DIRECTIONS AT PARAGRAPH 39.6 OF INTERIM ORDER DATED 27/04/2023 ISSUED TO THE BANKS AND DEPOSITORIES TO CONTINUE AGAINST THE NOTICEES TILL RECEIPT OF ANY OTHER COMMUNICATION FROM SEBI

959

ZAHIN ISMAIL JESSANI

(PAN:AGNPJ2499P)

STARK INVESTMENTS

PAN:AEJFS2830K

STARKBLUE VENTURES LLP

PAN:AERFS0106E

ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION

INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-JUL-2026 UNTIL FURTHER ORDERS

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

DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS

DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS

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 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 OF THEIR ASSETS/PROPERTIES/ SECURITIES

CEASED AND DESIST FROM OFFERING UNREGISTERED INVESTMENT ADVISORY/PORTFOLIO MANAGEMENT SERVICES/RESEARCH ANALYST SERVICES FROM 24-JUL-2026 UNTIL FURTHER ORDERS

24-JUL-2026

960

ZULFIQAR AHMED

(PAN:ABTPZ7804K)

MONEY STREETS ADVISORY SERVICES LLP

PAN:ABGFM6563R

ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION