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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: RESTRAINED FROM ACCEPTING LOANS/DEPOSITS FROM PUBLIC FOR SECURITIES MARKET

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person DELTA ALLIANCE FINANCIAL SERVICES  
Click here to view complete history of this specific entity/person RAJEEV KAPOOR
  		INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION

LURED LARGE NUMBER OF UNSUSPECTING INVESTORS OF EASTERN REGION BY ASSURING THEM HIGH RETURNS   		RESTRAINED FROM ACCEPTING LOANS/DEPOSITS FROM PUBLIC FOR SECURITIES MARKET FROM 02-JAN-2004

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

DEBARRED FROM ACTING AS UN-REGISTERED PORTFOLIO MANAGER FROM 02-JAN-2004

DEBARRED FROM PUBLISHING ADVERTISEMENTS LURING INVESTORS TO INVEST IN SECURITIES MARKET FROM 02-JAN-2004

02-JAN-2004 		FILED CRIMINAL COMPLAINT ON 11/07/2008 AND PUBLIC CAUTIONED AND ADVISED NOT TO DEAL WITH RAJEEV KAPOOR  
2
History of entity/person DELTA ALLIANCE INVESTMENTS  
Click here to view complete history of this specific entity/person SANTA CHAKARABORTY
  		INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION

LURED LARGE NUMBER OF UNSUSPECTING INVESTORS OF EASTERN REGION BY ASSURING THEM HIGH RETURNS   		RESTRAINED FROM ACCEPTING LOANS/DEPOSITS FROM PUBLIC FOR SECURITIES MARKET FROM 16-AUG-2004 TILL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-AUG-2004 TILL FURTHER ORDERS

DEBARRED FROM ACTING AS UN-REGISTERED PORTFOLIO MANAGER FROM 16-AUG-2004 TILL FURTHER ORDERS

DEBARRED FROM PUBLISHING ADVERTISEMENTS LURING INVESTORS TO INVEST IN SECURITIES MARKET FROM 16-AUG-2004 TILL FURTHER ORDERS

16-AUG-2004 		FILED CRIMINAL COMPLAINT ON 11/07/2008 AND PUBLIC CAUTIONED AND ADVISED NOT TO DEAL WITH RAJEEV KAPOOR  
3
History of entity/person MAX PORTFOLIOS  
Click here to view complete history of this specific entity/person 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 		 
4
History of entity/person SNIGDHA EQUITY ADVISORY

(PAN:CEPPP8065P)  
Click here to view complete history of this specific entity/person SIDDHARTH PANDEY

PAN:CEPPP8065P
  		ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION

PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS   		DIRECTED TO REFUND MONEY RECEIVED FROM CLIENTS/INVESTORS/COMPLAINANT AS FEES OR CONSIDERATION OR IN ANY OTHER FORM IN RESPECT OF UNREGISTERED INVESTMENT ADVISORY ACTIVITIES

DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY

DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER

RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM

ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS

DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT

DIRECTED TO DEPOSIT REMAINING BALANCE AMOUNT WITH SEBI TO BE KEPT IN ESCROW ACCOUNT

CEASED AND DESIST FROM CARRYING OUT INVESTMENT ADVISORY SERVICES EITHER IN HIS NAME AND/OR IN NAME OF SNIGDHA EQUITY ADVISORY

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 21-AUG-2024 TO 20-AUG-2025

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-AUG-2024 TO 20-AUG-2025

DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY INVESTMENT ADVISORY SERVICES AND/OR RESEARCH ANALYST ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI

IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS

21-AUG-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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