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.

COMPANIES: ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

S.No.

ENTITY

PERSONS

REGULATORY CHARGES

REGULATORY ACTION(S) / DATE OF ORDER

FURTHER DEVELOPMENTS

ALFA FINSEC

(PAN:BDGPS0774K)

Click here to view complete history of this specific entity/person

SUNIL SINGH

PAN:BDGPS0774K

ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION

ISSUED FICTITIOUS CONTRACT NOTES

FALSIFIED/FABRICATED DOCUMENT TO GIVE IMPRESSION OF AUTHENTICITY ABOUT ITS TRANSACTIONS

DELAY IN TRANSFER OF SHARES TO TRANSFEREES SUBSEQUENT TO RECEIPT OF PAYMENT FROM TRANSFEREES VIOLATING SECTION 2(I)(A) OF SCRA, 1956 AND SECTIONS 13, 16 AND 18 OF SCRA, 1956 READ WITH SEBI NOTIFICATION G.S.R 219(E) DATED 02/03/2000 AND SEBI NOTIFICATION NO.LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013 IN MATTER OF DELTA LEASING AND FINANCE LTD.

DID NOT FURNISH REQUIRED INFORMATION IN RESPONSE TO SUMMONS ISSUED BY INVESTIGATION AUTHORITY IN MATTER OF DELTA LEASING AND FINANCE LTD.

STATED FALSE REASONS IN DELIVERY INSTRUCTION SLIP (DIS) FOR TRANSACTIONS AS LOAN OF SHARES, RETURN OF LOAN, BAD DELIVERY, RECTIFICATION OF BAD DELIVERY AND GIFT VIOLATING REGULATION 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DELTA LEASING AND FINANCE LTD.

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JAN-2023 TO 30-APR-2023

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JAN-2023 TO 30-APR-2023

IMPOSED PENALTY RS.8,00,000 ALONG WITH OTHER ENTITIES/PERSONS

31-JAN-2023

SEBI VIDE ITS NOTICE DATED 11/06/2026 DIRECTED TO PAY RS.11,37,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SEBI VIDE ITS ORDER DATED 16/07/2026 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS, MUTUAL FUNDS FOLIOS AND/OR POST OFFICE ACCOUNT 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 18/08/2026 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.11,53,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTG

BALAJI ENTERPRISES

(PAN:AEKPK6751Q)

SANTOSH KUMAR

PAN:AEKPK6751Q

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JAN-2023 TO 30-APR-2023

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JAN-2023 TO 30-APR-2023

IMPOSED PENALTY RS.10,50,000 ALONG WITH OTHER ENTITIES/PERSONS

31-JAN-2023

CONSENT FINANCIAL SERVICES PVT.LTD.

ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-OCT-2010 TO 24-APR-2011

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-OCT-2010 TO 24-APR-2011

25-OCT-2010

M�BELLE INTERNATIONAL PVT.LTD.

ANUPAMA S.MOTWANI

GOPU PARIMAL BELANI

RITA K.MOTWANI

SURESH HEMWANI

SUSHIL M.THAKKAR

VIOLATED SECTION 24 (1) OF SEBI ACT, 1992

ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

PROSECUTION LAUNCHED

31-MAR-2010

MANYOG INVESTMENTS PVT.LTD.

MANISH N.SHAH

YOGESH RUPAREL

AIDED AND ABETTED D.K.DALAL AND PROMOTERS OF NATURAL EXPO INDUSTRIES LTD. IN PRICE MANIPULATION IN SCRIP OF NATURAL EXPO INDUSTRIES LTD.

ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-SEP-2003 TO 04-SEP-2008

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-SEP-2003 TO 04-SEP-2008

05-SEP-2003

REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000, LEGAL EXPENSES RS.60,000 VIDE CONSENT ORDER)

24-APR-2008

SAT: IMPUGNED ORDER SET ASIDE AND INSTRUCTED SEBI TO ISSUE FRESH NOTICE AFTER INITIATING PROCEEDINGS

RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES IN ANY MANNER AND IN ANY CAPACITY FOR A PERIOD OF ONE YEAR (25/07/2007 TO 24/07/2008) IN THE MATTER OF M/S NATURAL EXPO AGRO INDUSTRIES LTD.

SAT: APPEAL STAND DISPOSED OFF, AS APPELLANT AGREED TO PAY RS.5,60,000 AS PER CONSENT ORDER

MAX PORTFOLIOS

SANJEEV KAPOOR

SOLICITED INVESTMENTS FROM PUBLIC IN THE FORM OF LOANS, ASSURING HIGH MONTHLY INTEREST

CLAIMED TO HAVE ITS OWN NSE TERMINAL

DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER

HAD NO LEGAL ACCESS TO A TRADING TERMINAL OF ANY EXCHANGE

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-JAN-2004 TILL FURTHER ORDER

RESTRAINED FROM ACCEPTING LOANS/DEPOSITS FROM PUBLIC FOR SECURITIES MARKET FROM 02-JAN-2004 TILL FURTHER ORDER

02-JAN-2004

MORAL CAPITAL SERVICES LTD.

(PAN:AAFCM3135Q
CIN:U67110UP2007PLC034163)

AJAY KUMAR SHARMA

PAN:ANQPS0753F
DIN:02356951

ARUN KUMAR

PAN:AGZPK5596J
DIN:02000610

GYANESHWAR SHARMA

PAN:BQHPS9902F
DIN:01881854

ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION

ACTED AS DEPOSITORY PARTICIPANTS WITHOUT SEBI REGISTRATION

WARNED AND ADVISED TO REFRAIN FROM REPRESENTING AS SUB-BROKER OR PORTFOLIO MANAGER OR DEPOSITORY PARTICIPANT IN ANY MANNER WHATSOEVER AND NOT HOLD VALID CERTIFICATES OF REGISTRATION

31-OCT-2017

NATRAJ CAPITAL & CREDIT PVT.LTD.

(PAN:AAACN2928D)