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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.

DEPOSITORY PARTICIPANTS: ACTED AS PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person ANUGRAH STOCK & BROKING PVT.LTD.

(PAN:AAACW2920N)

(Depository Participants : CDSL,Member : NSE/BSE/MSEI)  
Click here to view complete history of this specific entity/person PARESH MULJI KARIYA

PAN:AAEPK0469M
Click here to view complete history of this specific entity/person SADHANA PARESH KARIYA

PAN:AJHPK6018N
  		MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS

DID NOT MAINTAIN BOOKS OF ACCOUNT AND OTHER DOCUMENTS

INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION

PROMISED ASSURED RETURNS TO CLIENTS

DEFAULTED IN MAINTENANCE OF CLIENT LEDGER

INDULGED IN MANIPULATIVE, FRAUDULENT OR DECEPTIVE SCHEMES WHILE DEALING IN SECURITIES MARKET   		DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2023 TO 27-FEB-2030

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-FEB-2023 TO 27-FEB-2030

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

IMPOSED PENALTY RS.4,00,00,000

28-FEB-2023 		SAT: SAT VIDE ITS ORDER DATED 24/10/2024 GRANTED APPELLANTS FOUR WEEKS TO FILE REJOINDER  
2
History of entity/person ANUGRAH STOCK & BROKING PVT.LTD.

(PAN:AAACW2920N)

(Depository Participants : CDSL,Member : NSE/BSE/MSEI)  
Click here to view complete history of this specific entity/person PARESH MULJI KARIYA

PAN:AAEPK0469M
Click here to view complete history of this specific entity/person SADHANA PARESH KARIYA

PAN:AJHPK6018N
  		INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION

OFFERED DERIVATIVES ADVISORY SERVICES

MISSTATEMENT ABOUT DEBTORS AND CREDITORS

SHORTFALL OF CLIENTS FUNDS AND SECURITIES

PAYMENTS MADE TO CLIENTS HAVING RUNNING DEBIT BALANCE

DISCREPANCIES IN MAINTENANCE OF CLIENT RECORDS   		DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR TO CREATE OR INVOKE OR RELEASE ANY INTEREST OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF NSE AND BSE

PROHIBITED FROM ANY UNREGISTERED PORTFOLIO MANAGEMENT SERVICES

DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS (INCLUDING ASSETS UNDER POSSESSION OF RECEIVER APPOINTED BY HON'BLE HIGH COURT OF BOMBAY) 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 DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS

DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY

13-NOV-2020 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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