| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 161 |
|
DPA CAPITAL PVT.LTD.
(Member : DSE)
|
|
|
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT ENTER INTO AGREEMENT WITH CLIENTS
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
05-DEC-2001
|
|
| 162 |
|
|
DRB SECURITIES PVT.LTD.
(Member : UPSE)
|
|
|
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
INDULGED IN OFF-THE-FLOOR TRANSACTIONS
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
INDULGED IN BUSINESS OTHER THAN THAT OF SECURITIES
DID NOT COLLECT MARGINS FROM CLIENTS
DID NOT RECTIFY BAD DELIVERIES IN TIME
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-JUL-2004 TO 11-NOV-2004
21-JUN-2004
|
|
| 163 |
|
|
DREAMS BROKING PVT.LTD.
(Member : BSE/NSE/MSEI)
|
|
|
USED SECURITIES FROM CLIENTS TO MEET OBLIGATION OF ANOTHER CLIENT
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 31-JAN-2023
31-JAN-2023
|
|
| 164 |
|
|
DYNAMIC EQUITIES PVT.LTD.
(PAN:AABCD0928N)
(Member : BSE/NSE)
|
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
IMPOSED PENALTY RS.1,00,000
14-MAY-2021
|
SAT: SAT VIDE ITS ORDER DATED 03/11/2022 CONDONED THE DELAY IN FILING OF APPEAL AND DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 09/01/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 10/02/2023 DIRECTED TO FILE REJOINDER AFFIDAVIT IN REGISTRY WITHIN TWO WEEKS FROM DATE OF THIS ORDER
|
| 165 |
|
|
DYNAMIC STOCK BROKING (INDIA) PVT.LTD.
(PAN:AABCD2889E)
(Member : BSE)
|
|
|
TRANSFERRED SECURITIES BELONGING TO CLIENTS TO BROKERS OWN ACCOUNT
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
DID NOT MAINTAIN CLIENT AGREEMENTS
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
|
IMPOSED PENALTY RS.50,000
01-DEC-2004
|
SAT: SAT VIDE ITS ORDER DATED 29/10/2012 DIRECTED SEBI TO PASS A FINAL ORDER WITHIN FOUR WEEKS FROM THE DATE OF THIS ORDER I.E.29/10/2012
|
| 166 |
|
|
DYNAMIC STOCK BROKING (INDIA) PVT.LTD.
(PAN:AABCD2889E)
(Member : BSE)
|
|
|
ALLOWED TERMINAL TO UNAUTHORISED USERS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DEFICIENCIES IN CLIENT DATABASE
INDULGED IN UNAUTHORISED FUND-BASED ACTIVITIES
DID NOT ADHERE TO "KNOW YOUR CLIENT" DIRECTIVES/INSTRUCTIONS/GUIDELINES
DID NOT ISSUE CONTRACT NOTES
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-JAN-2013 TO 28-APR-2013
08-JAN-2013
|
|
| 167 |
|
|
EASTERN FINANCIERS LTD.
(PAN:AAACE7613A)
(Member : NSE/BSE/MCX)
|
|
|
DISCREPANCY IN DATA PERTAINING TO BANK BALANCE, FREE COLLATERAL DEPOSITED WITH CLEARING CORPORATION (CC) AND OWN SECURITIES DEPOSITED AS COLLATERAL WITH CLEARING CORPORATION (CC)
DISCREPANCIES IN STOCK RECONCILIATION
DID NOT REPORT BANK ACCOUNT/DEMAT ACCOUNT
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES
MAPPED UNIQUE MOBILE NUMBER TO MORE THAN ONE UNIQUE CLIENT CODE (UCC) WITHOUT OBTAINING FAMILY DECLARATION
ALLOWED TERMINAL TO UNAUTHORISED USERS
|
IMPOSED PENALTY RS.3,50,000
26-FEB-2024
|
|
| 168 |
|
|
EDASSERY STOCK & INVESTMENT LTD.
(Member : COCSE)
|
|
|
DID NOT OBTAIN WRITTEN CONSENT FROM CLIENTS FOR PRINCIPAL TO PRINCIPAL TRANSACTIONS
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 09-AUG-1999 TO 08-OCT-1999
06-AUG-1999
|
|
| 169 |
|
|
EDELWEISS SECURITIES LTD.
(PAN:AAACK3792N)
(Member : BSE/NSE/OTC)
|
|
|
ALLEGED FAILURE IN SEGREGATING CLIENTS FUNDS AND SECURITIES
ALLEGED MAPPING OF OWN BANK ACCOUNT INSTEAD OF CLIENT’S BANK ACCOUNT IN DEMAT ACCOUNT WHEREIN CLIENT SECURITIES WERE KEPT
ALLEGED FAILURE IN USING WORD CLIENT IN NAME OF CLIENT’S BANK ACCOUNT
ALLEGED LAPSES IN INTERNAL CONTROL MEASURES FOR ACCESS TO INSTITUTIONAL TRADING DESK DEALING ROOM OPERATION
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.35,31,537 VIDE CONSENT ORDER)
13-MAR-2019
|
|
| 170 |
|
|
EMKAY GLOBAL FINANCIAL SERVICES LTD.
(Member : BSE/NSE)
|
|
|
DELAY IN SETTLING OF CLIENT’S FUNDS AND/OR SECURITIES
UTILIZED OVERDRAFT FACILITY ON CLIENT BANK ACCOUNT AND CHARGED INTEREST TO CLIENT BANK ACCOUNT
|
IMPOSED PENALTY RS.3,00,000
25-OCT-2019
|
|
| 171 |
|
|
ENRICH FINANCE & SECURITIES LTD.
(PAN:AAACE2292F)
(Member : NSE)
|
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT PAY FEES TO SEBI
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT COLLECT MARGINS FROM CLIENTS
INDULGED IN OFF-MARKET TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 09-JUN-2003 TO 08-DEC-2003
19-MAY-2003
|
|
| 172 |
|
|
ESHA SECURITIES LTD.
(CIN:U99999DL1994PLC059396
PAN:AAACE2862P)
(Member : DSE)
|
|
|
DEFICIENCIES IN CLIENT DATABASE
DID NOT MAINTAIN CLIENT AGREEMENTS
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
ALLEGED NON-COMPLIANCE OF REQUIREMENTS OF UNIQUE CLIENT CODE
DID NOT COLLECT MARGINS FROM CLIENTS
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT HAVE PRE-PRINTED SERIAL NUMBERS ON CONTRACT NOTES
DID NOT AFFIX STAMPS ON CONTRACT NOTES
DID NOT ISSUANCE OF CONTRACT NOTES IN TIME
DID NOT SUBMIT COPIES OF CONTRACT NOTES FOR INSPECTION
DID NOT MAINTAIN DESPATCH RECORDS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DEALT WITH UN-REGISTERED SUB-BROKERS
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
DID NOT APPOINT COMPLIANCE OFFICER
DELAYED SUBMISSION OF BROKER'S DATABASE TO INSPECTING AUTHORITY
EXECUTED TRADES IN FICTITIOUS NAMES
DID NOT OBTAIN PRIOR PERMISSION FROM SEBI PERTAINING TO CHANGE IN THE CONSTITUTION OF BOARD OF DIRECTORS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
EXCEEDED PERMISSIBLE TURNOVER LIMITS AT STOCK EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-JUN-2006 TO 19-DEC-2006
30-MAY-2006
|
|
| 173 |
|
|
EUREKA STOCK & SHARE BROKING SERVICES LTD.
(PAN:AAACE5410B)
(Member : BSE/NSE)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
|
IMPOSED PENALTY RS.1,00,000
28-MAR-2024
|
SEBI VIDE ITS ORDER DATED 31/07/2024 DISPOSED OF ENQUIRY PROCEEDINGS WITHOUT ANY ADVERSE ACTION UNDER REGULATION 26(1) OF SEBI (INTERMEDIARIES) REGULATIONS, 2008
SAT: SAT VIDE ITS ORDER DATED 13/08/2024 GRANTED RESPONDENT TWO WEEKS TO FILE REPLY
SAT: SAT VIDE ITS ORDER DATED 30/01/2025 GRANTED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 30/07/2025 GRANTED THREE WEEKS TO FILE REJOINDER
|
| 174 |
|
|
EURO ASIAN SECURITIES LTD.
(Member : BSE/PSE)
|
|
|
DID NOT ISSUE CONTRACT NOTES
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
13-OCT-1999
|
|
| 175 |
|
|
EVERMORE SHARE BROKING PVT.LTD.
(PAN:AAACE0199D)
(Member : BSE/NSE)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES
DISCREPANCIES IN STOCK RECONCILIATION
PROVIDED EXPOSURE TO CLIENTS HAVING DEBIT BALANCE
MADE INCORRECT AND/OR DID NOT REPORT ENHANCED SUPERVISION OF DATA TO STOCK EXCHANGES
DID NOT PROVIDE CORRECT DATA TO STOCK EXCHANGE UNDER RISK-BASED SUPERVISION
MADE INCORRECT REPORTING OF CLIENTS LEDGER BALANCE
DID NOT PROVIDE RECENT TESTING CERTIFICATES OF IN-HOUSE PRODUCTS
UNDATED INCIDENT MANAGEMENT PROCEDURE DOCUMENT, REMOTE ACCESS CONTROLS POLICY AND PROCEDURES DOCUMENT
|
IMPOSED PENALTY RS.20,00,000
15-FEB-2024
|
SEBI VIDE ITS NOTICE DATED 14/06/2024 DIRECTED TO PAY RS.21,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 05/07/2024 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
|
| 176 |
|
|
EVERMORE SHARE BROKING PVT.LTD.
(PAN:AAACE0199D)
(Member : NSE)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES
FUNDED CLIENTS HAVING DEBIT BALANCES BY PROVIDING FURTHER EXPOSURE
MADE INCORRECT AND/OR DID NOT REPORT ENHANCED SUPERVISION OF DATA TO STOCK EXCHANGES
MADE INCORRECT REPORTING OF CLIENTS LEDGER BALANCE
DID NOT HAVE CYBER SECURITY AND CYBER RESILIENCE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
RESTRAINED FROM TAKING UP/ONBOARDING ANY NEW CLIENTS FROM 23-OCT-2024 TO 22-APR-2025
23-OCT-2024
|
SAT: SAT VIDE ITS ORDER DATED 08/08/2024 CONDONED THE DELAY OF 27 DAYS IN FILING OF APPEAL. GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 10/10/2024 GRANTED APPELLANT TWO WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 20/12/2024 STAYED IMPUGNED ORDER. ALLOWED RESPONDENT FOUR WEEKS TO FILE REPLY AND REJOINDER TO BE FILED WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 06/03/2025 GRANTED THREE WEEKS TO FILE REJOINDER
|
| 177 |
|
|
EXCLUSIVE SECURITIES LTD.
(PAN:AAACE4332L)
(Member : NSE/BSE/MSEI)
|
|
|
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
|
IMPOSED PENALTY RS.5,00,000
02-JUN-2021
|
|
| 178 |
|
|
F6 COMMODITIES PVT.LTD.
(PAN:AACCF1155G)
(Member : MCX/NMCE/NCDEX)
|
|
|
|
MEENU GOEL
PAN:AFSPG7531F
|
|
|
PANKAJ GOEL
PAN:ACTPG7828D
|
|
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-JUN-2022 TO 08-JUN-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-JUN-2022 TO 08-JUN-2027
CEASED AND DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 09-JUN-2022 TO 08-JUN-2027
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO UTILIZE ASSETS OF THE ENTITIES ONLY FOR THE PURPOSE OF PAYMENT OF MONEY AND/OR DELIVERY OF SECURITIES, AS THE CASE MAY BE, TO CLIENTS/INVESTORS UNDER THE SUPERVISION OF CONCERNED STOCK EXCHANGE(S)
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY EXCEPT FOR THE PURPOSE OF PAYMENT OF MONEY TO CLIENTS/INVESTORS UNDER WRITTEN CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED TO REFUND MONEY TO THE INVESTORS
29-MAY-2018
|
SEBI VIDE ITS ORDER DATED 14/12/2018 A) CONFIRMED THE DIRECTIONS ISSUED VIDE AD INTERIM EX-PARTE ORDER DATED 29/05/2018 B) DIRECTED DEPOSITORIES, REGISTRAR AND TRANSFER AGENTS AND BANKS THAT NO DEBITS/TRANSFER MADE FROM THE ACCOUNTS OF THE NOTICEES
SEBI VIDE ITS ORDER DATED 09/06/2022 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET IN ANY MANNER AND ARE ALSO PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER MANNER FOR FIVE YEARS B) NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS, WHETHER MOVABLE OR IMMOVABLE (INCLUDING FUNDS IN THEIR BANK ACCOUNTS) OR CREATE ANY INTEREST OR CHARGE IN ANY SUCH ASSETS, TILL SUCH TIME THE REFUNDS/REPAYMENTS C) BANKS TO ENSURE THAT NO DEBITS ARE MADE IN THE BANK ACCOUNTS HELD JOINTLY OR SEVERALLY BY NOTICES EXCEPT FOR THE PURPOSE OF PAYMENT OF MONEY TO THE CLIENTS/INVESTORS UNDER WRITTEN CONFIRMATION OF THE CONCERNED STOCK EXCHANGE D) JOINTLY AND SEVERALLY, LIABLE TO REPAY/REFUND THE INVESTORS/CLIENTS’ MONEY WITH INTEREST OF 15% P.A. FROM THE DATE WHEN THE REPAYMENT BECAME DUE TILL DATE OF ACTUAL REPAYMENT UNDER SUPERVISION OF NSE E) JOINTLY AND SEVERALLY, LIABLE TO RETURN THE SECURITIES DUE TO THE CLIENTS/INVESTORS OF F6 FINSERVE OR THEIR MONETARY VALUE AS ON THE DATE OF ACTUAL PAYMENT OF MONEY IN LIEU OF SHARES, UNDER THE SUPERVISION OF NSE F) JOINTLY AND SEVERALLY, LIABLE TO REPAY/REFUND THE INVESTORS/CLIENTS’ MONEY WITH INTEREST OF 15% P.A. FROM THE DATE WHEN THE REPAYMENT BECAME DUE TILL THE DATE OF ACTUAL REPAYMENT UNDER THE SUPERVISION OF MCX AND B) JOINTLY AND SEVERALLY, LIABLE TO RETURN THE SECURITIES DUE TO THE CLIENTS/INVESTORS OF F6 COMMODITIES OR THEIR MONETARY VALUE AS ON DATE OF ACTUAL PAYMENT OF MONEY IN LIEU OF SECURITIES, UNDER SUPERVISION OF MCX
|
| 179 |
|
|
F6 FINSERVE PVT.LTD.
(PAN:AABCF0080D)
(Member : BSE/NSE)
|
|
|
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
MISUSED PLEDGING OF CLIENT’S SECURITIES
INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT FURNISH REQUISITE INFORMATION TO SEBI
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 21-JUN-2023
21-JUN-2023
|
|
| 180 |
|
|
F6 FINSERVE PVT.LTD.
(PAN:AABCF0080D)
(Depository Participants : CDSL,Member : BSE/NSE)
|
|
|
|
MEENU GOEL
PAN:AFSPG7531F
|
|
|
PANKAJ GOEL
PAN:ACTPG7828D
|
|
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-JUN-2022 TO 08-JUN-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-JUN-2022 TO 08-JUN-2027
CEASED AND DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 09-JUN-2022 TO 08-JUN-2027
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO UTILIZE ASSETS OF THE ENTITIES ONLY FOR THE PURPOSE OF PAYMENT OF MONEY AND/OR DELIVERY OF SECURITIES, AS THE CASE MAY BE, TO CLIENTS/INVESTORS UNDER THE SUPERVISION OF CONCERNED STOCK EXCHANGE(S)
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY EXCEPT FOR THE PURPOSE OF PAYMENT OF MONEY TO CLIENTS/INVESTORS UNDER WRITTEN CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED TO REFUND MONEY TO THE INVESTORS
29-MAY-2018
|
SEBI VIDE ITS ORDER DATED 14/12/2018 A) CONFIRMED THE DIRECTIONS ISSUED VIDE AD INTERIM EX-PARTE ORDER DATED 29/05/2018 B) DIRECTED DEPOSITORIES, REGISTRAR AND TRANSFER AGENTS AND BANKS THAT NO DEBITS/TRANSFER MADE FROM THE ACCOUNTS OF THE NOTICEES
SEBI VIDE ITS ORDER DATED 09/06/2022 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET IN ANY MANNER AND ARE ALSO PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER MANNER FOR FIVE YEARS B) NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS, WHETHER MOVABLE OR IMMOVABLE (INCLUDING FUNDS IN THEIR BANK ACCOUNTS) OR CREATE ANY INTEREST OR CHARGE IN ANY SUCH ASSETS, TILL SUCH TIME THE REFUNDS/REPAYMENTS C) BANKS TO ENSURE THAT NO DEBITS ARE MADE IN THE BANK ACCOUNTS HELD JOINTLY OR SEVERALLY BY NOTICES EXCEPT FOR THE PURPOSE OF PAYMENT OF MONEY TO THE CLIENTS/INVESTORS UNDER WRITTEN CONFIRMATION OF THE CONCERNED STOCK EXCHANGE D) JOINTLY AND SEVERALLY, LIABLE TO REPAY/REFUND THE INVESTORS/CLIENTS’ MONEY WITH INTEREST OF 15% P.A. FROM THE DATE WHEN THE REPAYMENT BECAME DUE TILL DATE OF ACTUAL REPAYMENT UNDER SUPERVISION OF NSE E) JOINTLY AND SEVERALLY, LIABLE TO RETURN THE SECURITIES DUE TO THE CLIENTS/INVESTORS OF F6 FINSERVE OR THEIR MONETARY VALUE AS ON THE DATE OF ACTUAL PAYMENT OF MONEY IN LIEU OF SHARES, UNDER THE SUPERVISION OF NSE
|
| 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 9 of 30
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