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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: PROHIBITED FROM ACCEPTING FRESH/NEW CLIENTS

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

(PAN:AESPV8788G)  
Click here to view complete history of this specific entity/person MONETARY SOLUTIONS

PAN:AESPV8788G
  		REPRESENTATIVES/EMPLOYEES DID NOT HAVE REQUISITE QUALIFICATION AND CERTIFICATION

RECEIVED FEES WITHOUT EXECUTING ANY AGREEMENT WITH CLIENTS

DID NOT MAINTAIN BASIC DETAILS, RECORDS AND DISCREPANCIES I.E.COPY OF AGREEMENT, KYC DOCUMENTS, INVOICES, RISK PROFILING, EMAIL COMMUNICATION AND CALL RECORDING ETC.

SOLD ADVISORY SERVICES/PACKAGES TO SAME CLIENTS ON MULTIPLE OCCASION AT DIFFERENT ARBITRARY PRICE FOR FUTURE/OVERLAPPING PERIOD WHILE EXISTING SUBSCRIPTION WAS ACTIVE

SOLD ADVISORY SERVICES/PRODUCTS TO CLIENTS HAVING DIFFERENT NAMES BUT SAME FEATURE

RECEIVED FEES FROM CLIENTS TO PERSONAL ACCOUNT OF COMPLIANCE OFFICER

PROVIDED INVESTMENT ADVICE ON FREE TRIALS TO CLIENTS

QUESTIONS IN RISK PROFILING QUESTIONNAIRES WERE MISLEADING AND OPEN ENDED

CONDUCTED OPERATIONS FROM UNREGISTERED OFFICE/BRANCH OFFICE

DID NOT MAKE DISCLOSURE INVESTOR CHARTER ON WEBSITE AND NEITHER PROVIDED LINK TO LODGE COMPLAINTS ON SCORES

SHOWED FAKE TESTIMONIALS AND PAST PERFORMANCE ON WEBSITE TO MISLEAD CLIENTS   		PROHIBITED FROM ACCEPTING FRESH/NEW CLIENTS FROM 27-MAY-2025 TO 26-NOV-2025

27-MAY-2025 		 
2
History of entity/person ASHISH JAIN

(PAN:ANIPJ1043K)  
Click here to view complete history of this specific entity/person MI RESEARCH

PAN:ANIPJ1043K
  		ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION   PROHIBITED FROM ACCEPTING FRESH/NEW CLIENTS FROM 30-AUG-2019 UNTIL FURTHER ORDERS

30-AUG-2019 		SEBI VIDE ITS ORDER DATED 30/01/2020 CONFIRMED DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 30/08/2019  
3
History of entity/person CHETAN KALUBHAI DHOKIYA

(PAN:BKPPD6469L)  
  DID NOT INFORM SEBI REGARDING USAGE OF DIFFERENT WEBSITES AND PROPRIETARY NAME FOR PROVIDING INVESTMENT ADVISORY SERVICES TO CLIENTS

DID NOT MAKE DISCLOSURE OF MATERIAL INFORMATION TO CLIENTS

PROVIDED INVESTMENT ADVICE ON FREE TRIALS TO CLIENTS

DID NOT DISPLAY COMPLAINTS STATUS ON WEBSITE

NOT A FIT & PROPER PERSON TO ACT AS AN INVESTMENT ADVISOR   		PROHIBITED FROM ACCEPTING FRESH/NEW CLIENTS FROM 12-DEC-2022 TO 11-JUN-2023

WARNED NOT TO PROVIDE INVESTMENT ADVISORY SERVICES UNLESS COMPLY WITH INVESTMENT ADVISORS REGULATIONS AND APPLICABLE SEBI CIRCULARS

12-DEC-2022 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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