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 : 03-JUL-2025

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

PERSONS: DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES

S.No.

PERSON

ENTITY

REGULATORY CHARGES

REGULATORY ACTION(S) / DATE OF ORDER

FURTHER DEVELOPMENTS

ABHILASHA AGARWAL

(PAN:AAEPA7336D)

INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF ECO FRIENDLY FOOD PROCESSING PARK LTD., ESTEEM BIO ORGANIC FOOD PROCESSING LTD., CHANNEL NINE ENTERTAINMENT LTD. AND HPC BIOSCIENCES LTD.

MISUSED STOCK EXCHANGE SYSTEM TO GENERATE FICTITIOUS LONG-TERM CAPITAL GAINS (LTCG) TO CONVERT UNACCOUNTED INCOME INTO ACCOUNTED ONE WITH NO PAYMENT OF TAXES AS LTCG IS TAX EXEMPT IN THE MATTER OF ECO FRIENDLY FOOD PROCESSING PARK LTD., ESTEEM BIO ORGANIC FOOD PROCESSING LTD., CHANNEL NINE ENTERTAINMENT LTD. AND HPC BIOSCIENCES LTD.

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-JUN-2015 TILL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-JUN-2015 TILL FURTHER ORDERS

29-JUN-2015

SEBI VIDE ITS ORDER DATED 25/08/2016 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 29/06/2015 READ WITH CORRIGENDUM ORDER DATED 04/01/2016 EXCEPT THAT NOTICEES CAN: A) ENTER INTO DELIVERY BASED TRANSACTIONS IN CASH SEGMENT IN SECURITIES COVERED IN NSE NIFTY 500 INDEX SCRIPS AND / OR S&P BSE 500 SCRIPS B) SUBSCRIBE TO UNITS OF MUTUAL FUNDS INCLUDING THROUGH SIP AND REDEEM THE UNITS OF MUTUAL FUNDS SO SUBSCRIBED C) DEAL IN DEBT/GOVERNMENT SECURITIES D) INVEST IN ETF E) AVAIL THE BENEFITS OF CORPORATE ACTIONS LIKE RIGHTS ISSUE, BONUS ISSUE, STOCK SPLIT, DIVIDEND, ETC. F) TENDER THE SHARES LYING IN THEIR DEMAT ACCOUNT IN ANY OPEN OFFER/DELISTING OFFER UNDER THE RELEVANT REGULATIONS OF SEBI. SEBI ALLOWED THEM FURTHER RELAXATIONS/RELIEFS A) THEY ARE PERMITTED TO SELL THE SECURITIES LYING IN THEIR DEMAT ACCOUNTS AS ON THE DATE OF THE INTERIM ORDER, OTHER THAN THE SHARES OF THE COMPANIES WHICH ARE SUSPENDED FROM TRADING BY THE CONCERNED STOCK EXCHANGE AND THE SHARES OF THE FOUR SCRIPS IN THE SME SEGMENT COVERED UNDER THIS ORDER, IN ORDERLY MANNER UNDER THE SUPERVISION OF THE STOCK EXCHANGES SO AS NOT TO DISTURB THE MARKET EQUILIBRIUM AND DEPOSIT THE SALE PROCEEDS IN INTEREST BEARING ESCROW ACCOUNT WITH A NATIONALIZED BANK B) THEY MAY DEAL WITH OR UTILIZE THE SALE PROCEEDS LYING IN THE ESCROW ACCOUNT UNDER THE SUPERVISION OF THE CONCERNED STOCK EXCHANGE

SEBI VIDE ITS ORDER DATED 25/08/2016 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 29/06/2015 READ WITH CORRIGENDUM ORDER DATED 04/01/2016 EXCEPT THAT NOTICEES CAN: A) ENTER INTO DELIVERY BASED TRANSACTIONS IN CASH SEGMENT IN SECURITIES COVERED IN NSE NIFTY 500 INDEX SCRIPS AND / OR S&P BSE 500 SCRIPS B) SUBSCRIBE TO UNITS OF MUTUAL FUNDS INCLUDING THROUGH SIP AND REDEEM THE UNITS OF MUTUAL FUNDS SO SUBSCRIBED C) DEAL IN DEBT/GOVERNMENT SECURITIES D) INVEST IN ETF E) AVAIL THE BENEFITS OF CORPORATE ACTIONS LIKE RIGHTS ISSUE, BONUS ISSUE, STOCK SPLIT, DIVIDEND, ETC. F) TENDER THE SHARES LYING IN THEIR DEMAT ACCOUNT IN ANY OPEN OFFER/DELISTING OFFER UNDER THE RELEVANT REGULATIONS OF SEBI. SEBI ALLOWED THEM FURTHER RELAXATIONS/RELIEFS A) THEY ARE PERMITTED TO SELL THE SECURITIES LYING IN THEIR DEMAT ACCOUNTS AS ON THE DATE OF THE INTERIM ORDER, OTHER THAN THE SHARES OF THE COMPANIES WHICH ARE SUSPENDED FROM TRADING BY THE CONCERNED STOCK EXCHANGE AND THE SHARES OF THE FOUR SCRIPS IN THE SME SEGMENT COVERED UNDER THIS ORDER, IN ORDERLY MANNER UNDER THE SUPERVISION OF THE STOCK EXCHANGES SO AS NOT TO DISTURB THE MARKET EQUILIBRIUM AND DEPOSIT THE SALE PROCEEDS IN INTEREST BEARING ESCROW ACCOUNT WITH A NATIONALIZED BANK B) THEY MAY DEAL WITH OR UTILIZE THE SALE PROCEEDS LYING IN THE ESCROW ACCOUNT UNDER THE SUPERVISION OF THE CONCERNED STOCK EXCHANGE

ABHILASHA VERMA

(PAN:AMHPV0559J
DIN:06797311)

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CAPITALAIM FINANCIAL ADVISORY PVT.LTD.

PAN:AAFCC0828E

SOLD ADVISORY SERVICES PRIOR TO COMMUNICATION OF RISK PROFILE

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

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

CHARGED SERVICE FEES DISPROPORTIONATE TO ANNUAL INCOME/PROPOSED INVESTMENT

SOLD ADVISORY SERVICES/PACKAGES TO SAME CLIENTS ON MULTIPLE OCCASION AT DIFFERENT ARBITRARY PRICE FOR FUTURE/OVERLAPPING PERIOD WHILE EXISTING SUBSCRIPTION WAS ACTIVE

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-FEB-2021

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-FEB-2021

08-FEB-2021

SEBI VIDE ITS ORDER DATED 09/01/2023 DISPOSED OF PROCEEDINGS INITIATED WITHOUT ANY FURTHER DIRECTIONS

SAT: SAT VIDE ITS ORDER DATED 04/05/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE. DIRECTED RESPONDENT TO DEFREEZE BANK AND DEMAT ACCOUNTS FORTHWITH

ABHINANDAN KUMAR SINGH

(DIN:01916461
PAN:BEMPS1317D)

SUNPLANT FORGINGS LTD.

CIN:U28991WB2004PLC099218
PAN:AABCN9633N

ENGAGED IN FUND MOBILISING ACTIVITY FROM PUBLIC THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT VIOLATING SECTIONS 56, 60 READ WITH 2(36), 73 READ WITH SECTION 465 OF THE COMPANIES ACT, 2013

PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 29-APR-2015 TO 28-APR-2019

DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY

DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 29-APR-2015 TO 28-APR-2019

DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 29-APR-2015 TO 28-APR-2019

DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER

DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-APR-2015 TO 28-APR-2019

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-APR-2015 TO 28-APR-2019

RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 29-APR-2015 TO 28-APR-2019

16-JUL-2014

SEBI VIDE ITS ORDER DATED 29/04/2015 DIRECTED TO A) JOINTLY AND SEVERALLY, FORTHWITH REFUND THE MONEY COLLECTED THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS), WITH INTEREST OF 15% P.A. COMPOUNDED AT HALF YEARLY INTERVALS B) REPAY TO INVESTORS SHALL BE EFFECTED ONLY IN CASH THROUGH BANK DEMAND DRAFT OR PAY ORDER C) PERMITTED TO SELL ASSETS OF THE COMPANY ONLY FOR SOLE PURPOSE OF MAKING REFUND AND DEPOSIT PROCEEDS IN ESCROW ACCOUNT OPENED WITH A NATIONALISED BANK D) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING THE MODALITIES FOR REFUND E) PROVIDE FULL INVENTORY OF ALL ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECRUTIES, IF HELD IN PHYSICAL FORM F) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN WHATSOEVER MANNER AND FURTHER RESTRAINED FROM ASSOCIATING THEMSELVES WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC, OR INTERMEDIARY REGISTERED WITH SEBI, FROM DATE OF THIS ORDER TILL EXPIRY OF 4 YEARS

SEBI VIDE ITS NOTICE DATED 04/12/2015 DIRECTED ALL THE BANKS 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

ABHINANDAN RANKA

(PAN:ATXPR8358Q)

JOSH TRADING PVT.LTD.

PAN:AACCJ4233H

VIRAJ MERCANTILE PVT.LTD.

PAN:AADCV3852H

INDULGED IN FRONT RUNNING OF ORDERS/TRADES IN MATTER OF STERLING GROUP OF COMPANIES

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

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-DEC-2020 TO 17-DEC-2025

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-DEC-2020 TO 17-DEC-2025

31-JUL-2015

SEBI VIDE ITS ORDER DATED 18/12/2020 DIRECTED A) NOT TO ACCESS SECURITIES MARKET OR BUY, SELL OR OTHERWISE DEAL IN SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY FOR FIVE YEARS FROM THE DATE OF THIS ORDER B) NOT TO LIQUIDATED EXISTING HOLDING OF SECURITIES INCLUDING UNITS OF MUTUAL FUNDS

SAT: SAT VIDE ITS ORDER DATED 05/07/2021 CONDONED THE DELAY OF 510 DAYS IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER

ABHINASH KUMAR JHA

ACTIVE DEBENTURE TRUST

ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION

PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE

PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 04-JAN-2018 TO 03-JAN-2022

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 04-JAN-2018 TO 03-JAN-2022

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-JAN-2018 TO 03-JAN-2022

25-JUN-2015

SEBI VIDE ITS ORDER DATED 04/01/2018 RESTRAINED FROM ACCESSING SECURITIES MARKET AND ARE FURTHER RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF FOUR YEARS FROM DATE OF THIS ORDER

ABHISHEK AGARWAL

(PAN:AFTPA0939C)

INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KAILASH AUTO FINANCE LTD.

MISUSED STOCK EXCHANGE SYSTEM TO GENERATE FICTITIOUS LONG-TERM CAPITAL GAINS (LTCG) TO CONVERT UNACCOUNTED INCOME INTO ACCOUNTED ONE WITH NO PAYMENT OF TAXES AS LTCG IS TAX EXEMPT IN MATTER OF KAILASH AUTO FINANCE LTD.

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-MAR-2016 TILL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-MAR-2016 TILL FURTHER ORDERS

29-MAR-2016

SEBI VIDE ITS ORDER DATED 27/10/2016 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 29/03/2016 EXCEPT THAT NOTICEES CAN: A) ENTER INTO DELIVERY BASED TRANSACTIONS IN CASH SEGMENT IN SECURITIES COVERED IN NSE NIFTY 500 INDEX SCRIPS AND / OR S&P BSE 500 SCRIPS B) SUBSCRIBE TO UNITS OF MUTUAL FUNDS INCLUDING THROUGH SIP AND REDEEM THE UNITS OF MUTUAL FUNDS SO SUBSCRIBED C) DEAL IN DEBT/GOVERNMENT SECURITIES D) INVEST IN ETF E) AVAIL THE BENEFITS OF CORPORATE ACTIONS LIKE RIGHTS ISSUE, BONUS ISSUE, STOCK SPLIT, DIVIDEND, ETC. F) TENDER THE SHARES LYING IN THEIR DEMAT ACCOUNT IN ANY OPEN OFFER/DELISTING OFFER UNDER THE RELEVANT REGULATIONS OF SEBI. SEBI ALLOWED THEM FURTHER RELAXATIONS/RELIEFS A) THEY ARE PERMITTED TO SELL THE SECURITIES LYING IN THEIR DEMAT ACCOUNTS AS ON THE DATE OF THE INTERIM ORDER, OTHER THAN THE SHARES OF THE COMPANIES WHICH ARE SUSPENDED FROM TRADING BY THE CONCERNED STOCK EXCHANGE, IN ORDERLY MANNER UNDER THE SUPERVISION OF THE STOCK EXCHANGES SO AS NOT TO DISTURB THE MARKET EQUILIBRIUM AND DEPOSIT THE SALE PROCEEDS IN INTEREST BEARING ESCROW ACCOUNT WITH A NATIONALIZED BANK B) THEY MAY DEAL WITH OR UTILIZE THE SALE PROCEEDS LYING IN THE ESCROW ACCOUNT UNDER THE SUPERVISION OF THE CONCERNED STOCK EXCHANGE

SEBI VIDE ITS ORDER DATED 21/09/2017 REVOKED ITS DIRECTIONS ISSUED VIDE ITS CONFIRMATORY ORDERS DATED 15/06/2016, 30/09/2016, 21/10/2016, 27/10/2016 AND 13/07/2017

ABHISHEK AGARWAL

(PAN:AIDPA1545K)

AIDED AND ABETTED SCHEME AND ARTIFICE UTILIZED BY NEFM GROUP FOR TRADING IN MENTHA OIL CONTRACTS THROUGH A NUMBER OF ENTITIES WHO TRADED IN MENTHA OIL FUTURES AS CLIENT OF RCS VIOLATING REGULATION 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2019 TILL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-FEB-2019 TILL FURTHER ORDERS

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

28-FEB-2019

SAT: SAT VIDE ITS ORDER DATED 12/03/2019 ALLOWED THE APPEAL.NO COST

SEBI VIDE ITS ORDER DATED 06/12/2019 REVOKED ITS DIRECTIONS ISSUED VIDE ITS EX-PARTE INTERIM ORDER DATED 28/02/2019

ABHISHEK BHUTRA

(PAN:AIYPB8751D)

INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SURABHI CHEMICALS & INVESTMENTS LTD. (NOW KNOWN AS SUPERSPACE INFRASTRUCTURE LTD.)

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-JAN-2021 TO 26-JUL-2021

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-JAN-2021 TO 26-JUL-2021

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

27-JAN-2021

SAT: SAT VIDE ITS ORDER DATED 09/04/2021 RESPONDENT GRANTED ONE WEEK TIME TO FILE AFFIDAVIT IN REPLY AND APPELLANT TO FILE REJOINDER A WEEK THEREAFTER

SAT: SAT VIDE ITS ORDER DATED 14/06/2021 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 27/01/2021

ABHISHEK BILLORE

(PAN:BNGPB1731B)

MONEY RISE RESEARCH

PAN:ARPPT7709K

MRISE INFO

PAN:BNGPB1731B

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

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 10-MAR-2023 TO 09-SEP-2023

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-MAR-2023 TO 09-SEP-2023

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

10-MAR-2023

SEBI VIDE ITS NOTICE DATED 21/10/2024 DIRECTED TO PAY RS.3,40,72,348.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SEBI VIDE ITS ORDER DATED 11/11/2024 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

ABHISHEK DHIRENDRA SINGH

(PAN:BGZPS2752R)

MANPASAND BEVERAGES LTD.

CIN:L15549GJ2010PLC063283
PAN:AAHCM1210E

MISREPRESENTED/MISSTATED/MANIPULATED FINANCIALS STATEMENTS AND MISUSED OF BOOKS OF ACCOUNTS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATION 3(B) TO 3(D), 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF MANPASAND BEVERAGES LTD.

MISREPRESENTED/MISSTATED/MANIPULATED FINANCIALS STATEMENTS AND MISUSED OF BOOKS OF ACCOUNTS VIOLATING REGULATION 4(1)(C) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF MANPASAND BEVERAGES LTD.

ISSUED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF MANPASAND BEVERAGES LTD.

MISREPRESENTED/MISSTATED/MANIPULATED FINANCIALS STATEMENTS AND MISUSED OF BOOKS VIOLATING REGULATION 33 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF MANPASAND BEVERAGES LTD.

MISREPRESENTED/MISSTATED/MANIPULATED FINANCIALS STATEMENTS AND MISUSED OF BOOKS OF ACCOUNTS VIOLATING REGULATION 4(2)(F)(I)(2), 4(2)(F)(II)(2), 4(2)(F)(II)(7) AND 4(2)(F)(III)(7) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF MANPASAND BEVERAGES LTD.

DID NOT FURNISH INFORMATION AND DID NOT COOPERATE WITH FORENSIC AUDITOR IN MATTER OF MANPASAND BEVERAGES LTD.

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-APR-2024 TO 29-APR-2027

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-APR-2024 TO 29-APR-2027

IMPOSED PENALTY RS.17,00,000

30-APR-2024

SAT: SAT VIDE ITS ORDER DATED 21/05/2024 STAYED INTERIM DIRECTION AT PARAGRAPH NO.69(B) OF IMPUGNED ORDER SUBJECT TO APPELLANTS BEING PERMITTED TO KEY MANAGEMENT PERSONNEL (KMP). PARAGRAPH NOS.69(D) OF IMPUGNED ORDER REMAIN STAYED SUBJECT TO DEPOSIT 50% OF PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER

ABHISHEK GUPTA

(PAN:ASRPG5473A)

SEBI VIDE ITS ORDER DATED 14/06/2016 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 29/06/2015

SEBI VIDE ITS ORDER DATED 06/09/2017 REVOKED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 29/06/2015 READ WITH CORRIGENDUM ORDER DATED 04/01/2016

ABHISHEK GUPTA

(PAN:BKEPG0910Q)

MAX INDIA RESEARCH

PAN:BKEPG0910Q

ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION

DIRECTED TO REFUND MONEY RECEIVED FROM CLIENTS/INVESTORS/COMPLAINANT AS FEES OR CONSIDERATION OR IN ANY OTHER FORM IN RESPECT OF UNREGISTERED INVESTMENT ADVISORY ACTIVITIES

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

DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS AND CREDITS FROM ACCOUNT WITHOUT PERMISSION OF SEBI FROM 11-JUN-2021 TO 10-JUN-2023

DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 11-JUN-2021 TO 10-JUN-2023

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

DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-JUN-2021 TO 10-JUN-2023

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-JUN-2021 TO 10-JUN-2023

RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 11-JUN-2021 TO 10-JUN-2023

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

11-JUN-2021

SEBI VIDE ITS NOTICE DATED 31/01/2024 DIRECTED TO PAY RS.7,71,443.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SEBI VIDE ITS ORDER DATED 05/08/2024 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

ABHISHEK JAIN

(PAN:ADDPJ5506C)

ABHISHEK KHARE

INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PRIYANS SAREE INDUSTRIES LTD.

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-OCT-2008 TO 13-APR-2009

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-OCT-2008 TO 13-APR-2009

14-OCT-2008

ABHISHEK KHARE

ACTED IN CONCERT WITH BROKERS AND CLIENTS TO CREATE ARTIFICIAL MARKET/PRICE RISE THROUGH CROSS DEALS BY MATCHING ORDER QUANTITY, PRICE AND TIMINGS OF BUY AND SELL TRANSACTIONS IN SCRIP OF KWALITY DAIRY (INDIA) LTD.

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-JAN-2006 TO 12-JUL-2006

13-JAN-2006

ABHISHEK KUMAR BALAR

(PAN:AATPB8811B)

INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH PREFERENTIAL ALLOTMENT OF EQUITY SHARES AT PREMIUM, ANNOUNCEMENT OF STOCK SPILT IN SCRIP OF RADFORD GLOBAL LTD.

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-DEC-2014 TILL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-DEC-2014 TILL FURTHER ORDERS

19-DEC-2014

SEBI VIDE ITS ORDER DATED 26/08/2016 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 19/12/2014 EXCEPT THAT NOTICEES CAN: A) ENTER INTO DELIVERY BASED TRANSACTIONS IN CASH SEGMENT IN SECURITIES COVERED IN NSE NIFTY 500 INDEX SCRIPS AND / OR S&P BSE 500 SCRIPS B) SUBSCRIBE TO UNITS OF MUTUAL FUNDS INCLUDING THROUGH SIP AND REDEEM THE UNITS OF MUTUAL FUNDS SO SUBSCRIBED C) DEAL IN DEBT/GOVERNMENT SECURITIES D) INVEST IN ETF E) AVAIL THE BENEFITS OF CORPORATE ACTIONS LIKE RIGHTS ISSUE, BONUS ISSUE, STOCK SPLIT, DIVIDEND, ETC. F) TENDER THE SHARES LYING IN THEIR DEMAT ACCOUNT IN ANY OPEN OFFER/DELISTING OFFER UNDER THE RELEVANT REGULATIONS OF SEBI. SEBI ALLOWED THEM FURTHER RELAXATIONS/RELIEFS A) THEY ARE PERMITTED TO SELL THE SECURITIES LYING IN THEIR DEMAT ACCOUNTS AS ON THE DATE OF THE INTERIM ORDER, OTHER THAN THE SHARES OF THE COMPANIES WHICH ARE SUSPENDED FROM TRADING BY THE CONCERNED STOCK EXCHANGE, IN ORDERLY MANNER UNDER THE SUPERVISION OF THE STOCK EXCHANGES SO AS NOT TO DISTURB THE MARKET EQUILIBRIUM AND DEPOSIT THE SALE PROCEEDS IN INTEREST BEARING ESCROW ACCOUNT WITH A NATIONALIZED BANK B) THEY MAY DEAL WITH OR UTILIZE THE SALE PROCEEDS LYING IN THE ESCROW ACCOUNT UNDER THE SUPERVISION OF THE CONCERNED STOCK EXCHANGE

SEBI VIDE ITS ORDER DATED 20/09/2017 REVOKED ITS DIRECTIONS ISSUED VIDE ITS CONFIRMATORY ORDERS DATED 12/10/2015, 18/03/2016 AND 26/08/2016

ABHISHEK LOHARUKA

PRISM INFRACON LTD.

PAN:AAFCP1275L

ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION

PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE

PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 18-FEB-2016 TO 17-FEB-2020

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-FEB-2016 TO 17-FEB-2020

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-FEB-2016 TO 17-FEB-2020

24-NOV-2014

SEBI VIDE ITS ORDER DATED 18/02/2016 RESTRAINED FROM ACTING AS AN INTERMEDIARY, ACCESSING SECURITIES MARKET AND FURTHER RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF 4 YEARS

SAT: SAT VIDE ITS ORDER DATED 11/10/2017 DIRECTED APPELLANT TO FURNISH THE LIST OF ITS ASSETS (AS STIPULATED IN THE IMPUGNED ORDER) TO SEBI WITHIN A PERIOD OF FOUR WEEKS FROM THE DATE OF THIS ORDER. FURTHER DIRECTED NOT TO DISPOSE OFF ANY OF ITS ASSETS WITHOUT PRIOR APPROVAL OF SEBI TILL THE ENTIRE AMOUNT UNDER THE IMPUGNED ORDER REFUNDED TO THE INVESTORS. NO COSTS

ABHISHEK MISHRA

(PAN:APHPM6773J)

SAT: SAT VIDE ITS ORDER DATED 30/04/2019 QUASHED THE IMPUGNED ORDER SO FAR IT RELATED TO THE APPLELLANT

SEBI VIDE ITS ORDER DATED 06/12/2019 REVOKED ITS DIRECTIONS ISSUED VIDE ITS EX-PARTE INTERIM ORDER DATED 28/02/2019

ABHISHEK PATEL

(PAN:BJZPP1953J)

PINNACLE MARKET INVESTMENT ADVISORY PVT.LTD.

PAN:AAICP3799C

DELAY IN FURNISHING DETAILS OF APPOINTMENT OF NEW DIRECTOR

MISREPRESENTED RISK PROFILE OF CLIENTS

DID NOT FAIR AND TRANSPARENT IN DEALING WITH CLIENTS REGARDING FEE CHARGED

PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS

DID NOT ADHERE TO SEBI DIRECTIONS WITH RESPECT TO INSPECTION OF BOOKS OF ACCOUNTS/RECORDS AND OTHER DOCUMENT PERTAINING TO REGISTRATION

EXECUTED UNAUTHORISED TRANSACTIONS IN CLIENTS� ACCOUNTS

DID NOT REDRESS INVESTOR COMPLAINTS

DIRECTED TO RESOLVE ALL PENDING COMPLAINTS

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

PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 25-JAN-2023 TO 24-JAN-2026

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-JAN-2023 TO 24-JAN-2026

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-JAN-2023 TO 24-JAN-2026

IMPOSED PENALTY RS.1,00,000

25-JAN-2023

SAT: SAT VIDE ITS ORDER DATED 12/04/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED THREE WEEKS THEREAFTER

SAT: SAT VIDE ITS ORDER DATED 13/06/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER

100

ABHISHEK RAJESH MEHTA

(PAN:AGCPM6239M)

DEALT IN SECURITIES WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 12A(D) & (E) AND 3(I) & 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ACCLAIM INDUSTRIES LTD.

DIRECTED TO DISGORGE RS.34,74,722

DIRECTED TO DISGORGE UNLAWFUL GAINS ALONGWITH INTEREST @12% FOR ONE YEAR WITHIN 45 DAYS FROM DATE OF ORDER

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

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-DEC-2018 TO 27-DEC-2025

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2018 TO 27-DEC-2025

RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 28-DEC-2018 TO 27-DEC-2025

DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI

DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS/PROPERTIES/ SECURITIES

28-DEC-2018

SEBI VIDE ITS NOTICE DATED 28/06/2022 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

SEBI VIDE ITS ORDER DATED 19/12/2022 DIRECTED ALL THE BANKS TO REMIT RS.78,19,125.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.ABHISHEK MEHTA TO SEBI BY WAY OF EFT/NEFT/RTGS

The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.