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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 : 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.

COMPANIES: VIOLATED SEBI (CERTIFICATION OF ASSOCIATED PERSONS IN SECURITIES MARKETS) REGULATIONS, 2007

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person BULL RESEARCH INVESTMENT ADVISORS PVT.LTD.

(PAN:AAHCB1200H)  
Click here to view complete history of this specific entity/person ASHIF SHAIKH

DIN:07733482
PAN:BGDPS3081F
Click here to view complete history of this specific entity/person SANDEEP KUSHWAHA

PAN:DPBPK9313F
DIN:08176753
Click here to view complete history of this specific entity/person VINIT SATPUTE

DIN:07737200
PAN:EBMPS2703F
  		PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS

RECEIVED PAYMENT FROM FAMILY MEMBERS OF PRIMARY CLIENTS TO HIDE EXORBITANT FEES TAKEN FROM PRIMARY CLIENT

RAISED INVOICES IN THE NAME OF CLIENTS WHO DID NOT HAVE DEMAT/TRADING ACCOUNT

SOLD MULTIPLE PACKAGES TO CLIENTS WITH THREAT OF FORFEITURE AND CHARGED UNREASONABLE AND UNDISCLOSED FEE

RECEIVED PAYMENT BEFORE DOING KNOW YOUR CLIENTS (KYC) AND RISK PROFILING OF CLIENTS

CARRIED OUT IMPROPER RISK PROFILING OF CLIENTS

DID NOT MEET CAPITAL ADEQUACY NORMS AND TOOK REGISTRATION BY SUBMITTING FORGED CA CERTIFICATE TO SEBI

DID NOT FURNISH INFORMATION, RETURN ETC. TO SEBI

DID NOT HAVE VALID NCFM/NISM CERTIFICATE

DID NOT REDRESS INVESTOR COMPLAINTS   		IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS

29-MAY-2023 		SEBI VIDE ITS NOTICE DATED 07/08/2023 DIRECTED TO PAY RS.10,41,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE  
2
History of entity/person DMI CAPITAL PVT.LTD.

(CIN:U67120DL2013PTC252176
PAN:AAECD6486C)  
  ALLEGED FAILURE TO ENSURE TO OBTAIN NISM CERTIFICATION WITHIN ONE YEAR FROM THE DATE OF EMPLOYED OR ENGAGED   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)

31-JUL-2024 		 
3
History of entity/person EXPERT GLOBAL CONSULTANTS PVT.LTD.

(PAN:AABCF5715E)  
Click here to view complete history of this specific entity/person GAURAV JAIN

PAN:AEYPJ4410R
  		DID NOT EXERCISE PROPER DUE DILIGENCE IN OPEN OFFER OF DIGGI MULTITRADE LTD.

DID NOT SUBMIT PERIODIC REPORTS TO SEBI

DID NOT INTIMATE CHANGES IN DIRECTORS AND KEY MANAGERIAL PERSONNEL TO SEBI

DID NOT HAVE VALID NCFM/NISM CERTIFICATE

DID NOT ADOPT CODE OF CONDUCT, MAINTENANCE OF STRUCTURAL DIGITAL DATABASE (SDD) AND DESIGNATING ANY COMPLIANCE OFFICER TO MONITOR COMPLIANCES AS REQUIRED UNDER SEBI (PIT) REGULATIONS, 2015

MADE MISLEADING DISCLOSURES/STATEMENT ON WEBSITE

DID NOT DISPLAY INVESTOR CHARTER ON ITS WEBSITE   		IMPOSED PENALTY RS.7,00,000

17-DEC-2024 		 
4
History of entity/person INTENSIVE FISCAL SERVICES PVT.LTD.

(PAN:AAACI2540J)  
Click here to view complete history of this specific entity/person D.K.SURANA

PAN:AAPPS4537H
  		KEY MANAGEMENT PERSONNEL DID NOT OBTAIN SERIES III-A AND NISM IX CERTIFICATIONS   IMPOSED PENALTY RS.3,00,000 ALONG WITH OTHER ENTITIES/PERSONS

16-APR-2024 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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