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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.

PERSONS: DIRECTED TO REMOVE ALL REFERENCE MADE THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) REGARDING HOLDING ITSELF AS PORTFOLIO MANAGER AND EXPECTED RETURNS FROM SERVICES/PRODUCTS OFFERED

S.No. PERSON ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person PRAMOD JAIN

(PAN:AOAPJ9120L)  
Click here to view complete history of this specific entity/person 3M TEAM RESEARCH PVT.LTD.

PAN:AAACZ5112B
  		INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION   CEASED & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS AN INVESTMENT ADVISOR, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 04-AUG-2022 TO 03-AUG-2023

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 04-AUG-2022 TO 03-AUG-2023

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-AUG-2022 TO 03-AUG-2023

DIRECTED TO REMOVE ALL REFERENCE MADE THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) REGARDING HOLDING ITSELF AS PORTFOLIO MANAGER AND EXPECTED RETURNS FROM SERVICES/PRODUCTS OFFERED

DIRECTED TO REFUND MONEY TO THE INVESTORS

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

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

IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS

26-NOV-2019 		SEBI VIDE ITS ORDER DATED 07/12/2020 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS EX-PARTE AD INTERIM ORDER DATED 26/11/2019

SAT: SAT VIDE ITS ORDER DATED 18/03/2021 CONDONED THE DELAY IN FILING OF APPEAL AND DIRECTED TO RESPONDENT TO FILE REPLY WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER  
2
History of entity/person RAKESH SETHI

(PAN:ATIPS2321R)  
Click here to view complete history of this specific entity/person 3M TEAM RESEARCH PVT.LTD.

PAN:AAACZ5112B
  		INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION   CEASED & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS AN INVESTMENT ADVISOR, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 04-AUG-2022 TO 03-AUG-2023

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 04-AUG-2022 TO 03-AUG-2023

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-AUG-2022 TO 03-AUG-2023

DIRECTED TO REMOVE ALL REFERENCE MADE THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) REGARDING HOLDING ITSELF AS PORTFOLIO MANAGER AND EXPECTED RETURNS FROM SERVICES/PRODUCTS OFFERED

DIRECTED TO REFUND MONEY TO THE INVESTORS

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

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

IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS

26-NOV-2019 		SEBI VIDE ITS ORDER DATED 07/12/2020 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS EX-PARTE AD INTERIM ORDER DATED 26/11/2019

SAT: SAT VIDE ITS ORDER DATED 18/03/2021 CONDONED THE DELAY IN FILING OF APPEAL AND DIRECTED TO RESPONDENT TO FILE REPLY WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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