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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.

MERCHANT BANKERS: VIOLATED SEBI (PORTFOLIO MANAGERS) REGULATIONS, 1993

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person HOFFLAND FINANCE LTD.

(Member : BGSE/JSE)  
Click here to view complete history of this specific entity/person A.SUBBA RAO
Click here to view complete history of this specific entity/person BRIJ BHUSHAN SHARMA
Click here to view complete history of this specific entity/person BRIJ KISHORE KAPUR
Click here to view complete history of this specific entity/person JAGDISH NARAYAN
Click here to view complete history of this specific entity/person M.N.PADAM
Click here to view complete history of this specific entity/person NAVEEN CHANDRA PANDEY
Click here to view complete history of this specific entity/person NAVIN PANDEY
Click here to view complete history of this specific entity/person PRAMODH KAPUR
Click here to view complete history of this specific entity/person SURAJ PAL SHARMA
  		VIOLATED SECTION 26 OF SEBI ACT, 1992

VIOLATED SEBI ACT, 1992

VIOLATED SEBI (PORTFOLIO MANAGERS) REGULATIONS, 1993

ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SEBI (PFUTP) REGULATIONS, 1995

VIOLATED SEBI (MERCHANT BANKER) REGULATIONS, 1992   		PROSECUTION LAUNCHED

15-MAY-2006 		A1 AND A2 CONVICTED. A3 ACQUITTED. A4 EXPIRED, THUS, PROCEEDINGS ABATED. PROCEEDINGS AGAINST A5 QUASHED. A6 DECLARED PO. A7 COMPOUNDED (VIDE ORDER DT.21.02.2008). FILE BE CONSIGNED TO RECORD ROOM

A1 AND A2 CONVICTED. A3 ACQUITTED. A4 EXPIRED, THUS, PROCEEDINGS ABATED. PROCEEDINGS AGAINST A5 QUASHED. A6 DECLARED PO. A7 COMPOUNDED (VIDE ORDER DT.21.02.2008). FILE BE CONSIGNED TO RECORD ROOM.  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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