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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: WARNED & CAUTIONS TO EXERCISE DUE CARE & DILIGENCE, IN FUTURE CONDUCT AS RESEARCH ANALYST

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

(PAN:AROPR5161Q)  
Click here to view complete history of this specific entity/person KM FINANCIALS

PAN:AROPR5161Q
  		ACTED AS RESEARCH ANALYST WITHOUT SEBI REGISTRATION   DIRECTED TO REFUND MONEY TO THE INVESTORS

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

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

PROHIBITED FROM TAKING NEW CLIENTS AS RESEARCH ANALYST

WARNED & CAUTIONS TO EXERCISE DUE CARE & DILIGENCE, IN FUTURE CONDUCT AS RESEARCH ANALYST

22-APR-2022 		SAT: SAT VIDE ITS ORDER DATED 06/02/2023 ALLOWED THE APPEAL AND MATTER REMITTED TO WTM TO PASS FRESH ORDER

SEBI VIDE ITS ORDER DATED 26/04/2024 DIRECTED THAT THE DIRECTIONS ISSUED VIDE ORDER DATED 22/04/2022 WILL REMAIN IN FORCE TILL COMPLETION OF COMPLIANCE OF REFUND TO CLIENTS/INVESTORS  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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