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SOURCE OF INFORMATION

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: CANCELLED REGISTRATION AS INVESTMENT ADVISOR

S.No. PERSON ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
161
History of entity/person RAJAT JAIN

(PAN:AEHPJ3826N)  
  DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER   CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 21-JUL-2026

21-JUL-2026 		 
162
History of entity/person RAJAT SINH  
Click here to view complete history of this specific entity/person PACE RESEARCH
  		DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER   CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 21-AUG-2026

21-AUG-2026 		 
163
History of entity/person RAJESH DEVRAJ MEHRA

(PAN:AAKPM5998D)  
  DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER   CANCELLED REGISTRATION AS INVESTMENT ADVISOR

27-NOV-2025 		 
164
History of entity/person RAJESH R.KALLIDUMBIL

(PAN:AKQPK9641M)  
  DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER   CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 21-JUL-2026

21-JUL-2026 		 
165
History of entity/person RAJIV KUMAR SINGH

(PAN:BZZPS6587H)  
Click here to view complete history of this specific entity/person ELITE INVESTMENT ADVISORY SERVICES

PAN:BZZPS6587H
  		DID NOT HAVE REQUISITE NISM CERTIFICATES AT ALL TIMES TO PROVIDE INVESTMENT ADVICE

DID NOT INTIMATE SEBI ABOUT MATERIAL CHANGE IN INFORMATION

DID NOT FULFIL GENERAL RESPONSIBILITIES OF INVESTMENT ADVISER AND DID NOT MAINTAIN CLIENT LEVEL SEGREGATION OF ADVISORY AND DISTRIBUTION SERVICES

DID NOT UNDERTAKE RISK PROFILING OF CLIENTS

DID NOT PROVIDE DOCUMENTED PROCESS FLOW AND DETAIL QUESTIONNAIRE FOR RISK PROFILING CLIENT

CHARGED EXTRA MONEY FROM CLIENTS/INVESTORS

DID NOT MAKE DISCLOSURE OF MATERIAL INFORMATION TO CLIENTS

DID NOT MAINTAIN RECORDS AS PER KNOW YOUR CLIENTS (KYC) PROCEDURES

PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS

DID NOT CO-OPERATE WITH SEBI IN INSPECTION

ATTEMPTED DELIBERATELY TO PREVENT AND HINDER THE INSPECTION   		CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 25-MAR-2026

25-MAR-2026 		 
166
History of entity/person RAKESH RAJKUMAR MANDGE

(PAN:APXPM1153J)  
  DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER   CANCELLED REGISTRATION AS INVESTMENT ADVISOR

27-NOV-2025 		 
167
History of entity/person RAKESH RATHOD

(PAN:AABPR6945G)  
  DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER   CANCELLED REGISTRATION AS INVESTMENT ADVISOR

27-NOV-2025 		 
168
History of entity/person RAKHI SHAH

(PAN:AGRPT6342H)  
  DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER   CANCELLED REGISTRATION AS INVESTMENT ADVISOR

27-NOV-2025 		 
169
History of entity/person RAVI MITTAL

(PAN:AISPM9365J)  
  DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER   CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 25-JUL-2025

25-JUL-2025 		 
170
History of entity/person RAVI PRAKASH MOHTA

(PAN:AKBPM7004R)  
Click here to view complete history of this specific entity/person DOLLAR ADVISORY & FINANCIAL SERVICES

PAN:AKBPM7004R
  		DID NOT SUBMIT INFORMATION SOUGHT BY SEBI

DID NOT MAKE DISCLOSURE OF CHANGE OF REGISTERED OFFICE ADDRESS TO SEBI

DID NOT MAINTAIN RECORDS PERTAINING TO RISK PROFILING AND RISK ASSESSMENT OF CLIENTS

OFFERED MULTIPLE PACKAGES TO EARN HUGE AMOUNT OF SERVICE FEES FROM CLIENTS

SOLD ADVISORY SERVICES PRIOR TO COMMUNICATION OF RISK PROFILE

SOLD ADVISORY SERVICES/PRODUCTS TO CLIENTS WITHOUT ENSURING SUITABILITY OF ADVICE ACCORDING TO THEIR RISK PROFILE

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

CHARGED ADVISORY FEES BEFORE EXPIRY OF TENURE OF EXISTING SERVICE/COLLETING MULTIPLE PAYMENTS IN SHORT PERIOD

DID NOT ADHERE TO SEBI CIRCULARS IN RELATION TO COMPLIANCE WITH PROVISIONS OF PREVENTION OF MONEY LAUNDERING ACT AND ANTI MONEY LAUNDERING GUIDELINES

TRADED ON BEHALF OF CLIENTS

DID NOT REDRESS INVESTOR COMPLAINTS

DID NOT ADHERE TO VARIOUS SEBI CIRCULARS   		CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 24-NOV-2022

DIRECTED TO REFUND MONEY TO THE INVESTORS

DIRECTED TO REDRESS INVESTOR GRIEVANCES

24-NOV-2022 		 
171
History of entity/person RAVI SHARMA

(PAN:CHOPS7851N)  
Click here to view complete history of this specific entity/person FUND BAZAAR INDIA

PAN:CHOPS7851N
  		DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER   CANCELLED REGISTRATION AS INVESTMENT ADVISOR

27-NOV-2025 		 
172
History of entity/person RAVIKUMAR CHERUBALA PATHAYAPPURA

(PAN:ADFPR4667N)  
  DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER   CANCELLED REGISTRATION AS INVESTMENT ADVISOR

27-NOV-2025 		 
173
History of entity/person RAVISHANKAR K.IYER

(PAN:AASPI5097D)  
  DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER   CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 25-JUL-2025

25-JUL-2025 		 
174
History of entity/person RIDDHI SHAH

(PAN:AMJPS6412M)  
  DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER   CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 25-APR-2025

25-APR-2025 		 
175
History of entity/person RISHABH SHARMA

(PAN:BBAPS9060E)  
  DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER   CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 25-APR-2025

25-APR-2025 		 
176
History of entity/person RISHI SAKHUJA

(PAN:BJKPS2126R)  
  DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER   CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 21-JUL-2026

21-JUL-2026 		 
177
History of entity/person RISHI VIG

(PAN:ACQPV9545D)  
  DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER   CANCELLED REGISTRATION AS INVESTMENT ADVISOR

27-NOV-2025 		 
178
History of entity/person ROHAN SHAH

(PAN:AULPS1944G)  
  DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER   CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 25-APR-2025

25-APR-2025 		 
179
History of entity/person ROHAN SHARMA

(PAN:BCJPS7305G)  
  DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER   CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 21-JUL-2026

21-JUL-2026 		 
180
History of entity/person RUPEASSH AGRAWAAL

(PAN:AJFPA3175L)  
  DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER   CANCELLED REGISTRATION AS INVESTMENT ADVISOR

27-NOV-2025 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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