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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: DEBARRED FROM UNDERTAKING FRESH BUSINESS AS MERCHANT BANKER

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person CRB CAPITAL MARKETS LTD.  
  IRREGULARITIES IN OPERATION OF CRB CAPITAL MARKETS LTD.   DEBARRED FROM UNDERTAKING FRESH BUSINESS AS MERCHANT BANKER FROM 21-MAY-1997

21-MAY-1997 		 
2
History of entity/person FIRST GLOBAL FINANCE PVT.LTD.  
Click here to view complete history of this specific entity/person DEVINA MEHRA
Click here to view complete history of this specific entity/person SHANKAR SHARMA
  		VIOLATED SEBI ACT, RULES & REGULATIONS   DEBARRED FROM UNDERTAKING FRESH BUSINESS AS MERCHANT BANKER FROM 25-MAY-2001 TILL ENQUIRY

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-MAY-2001 TILL ENQUIRY

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-MAY-2001 TILL ENQUIRY

25-MAY-2001 		SAT: APPEAL DISMISSED  
3
History of entity/person HOFFLAND FINANCE LTD.  
  NOT AVAILABLE   DEBARRED FROM UNDERTAKING FRESH BUSINESS AS PORTFOLIO MANAGER FROM 29-JAN-1998

DEBARRED FROM UNDERTAKING FRESH BUSINESS AS MERCHANT BANKER FROM 29-JAN-1998

DIRECTED NOT TO LAUNCH ANY NEW SCHEMES FROM 29-JAN-1998

29-JAN-1998 		 
4
History of entity/person POPULAR SHARE & STOCK BROKERS PVT.LTD.  
  INCREASE IN THE NUMBER OF UNRESOLVED COMPLAINTS BY PORTFOLIO MANAGEMENT CLIENTS   DEBARRED FROM UNDERTAKING FRESH BUSINESS AS MERCHANT BANKER FROM 25-JAN-1999

25-JAN-1999 		 
5
History of entity/person TRIUMPH INTERNATIONAL FINANCE INDIA LTD.

(PAN:AAACE0308A)  
  VIOLATED SEBI ACT, RULES & REGULATIONS   DEBARRED FROM UNDERTAKING FRESH BUSINESS AS MERCHANT BANKER FROM 21-JUN-2001 TILL FURTHER ORDER

21-JUN-2001 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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