| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ANAND SIDDH
|
|
|
|
TRADE INDIA RESEARCH
PAN:BEHPG5479R
|
|
CHARGED UNREASONABLE, ARBITRARILY AND INCONSISTENT FEE
DID NOT TAKE CONSENT OF CLIENTS ON RISK PROFILES
USED FAKE NAMES IN DEALING WITH CLIENTS
PROVIDED INVESTMENT ADVICE WITHOUT CONSENT OF THE CLIENTS
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
SOLD NON EXISTED PRODUCTS/SERVICES
CREATED FAKE PORTFOLIO OF CLIENTS AND SHOWED PROFIT IN SUCH PORTFOLIO
|
DIRECTED TO CEASE & DESIST FROM UNDERTAKING FRAUDULENT ACTIVITIES, DIRECTLY OR INDIRECTLY, AND TO CONDUCT THEMSELVES IN STRICT COMPLIANCE WITH NORMS UNDER IA REGULATIONS
13-DEC-2019
|
SEBI VIDE ITS ORDER DATED 27/07/2021 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 13/12/2019
|
| 2 |
|
|
ANURAG RAJAWAT
|
|
|
|
TRADE INDIA RESEARCH
PAN:BEHPG5479R
|
|
CHARGED UNREASONABLE, ARBITRARILY AND INCONSISTENT FEE
DID NOT TAKE CONSENT OF CLIENTS ON RISK PROFILES
USED FAKE NAMES IN DEALING WITH CLIENTS
PROVIDED INVESTMENT ADVICE WITHOUT CONSENT OF THE CLIENTS
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
SOLD NON EXISTED PRODUCTS/SERVICES
CREATED FAKE PORTFOLIO OF CLIENTS AND SHOWED PROFIT IN SUCH PORTFOLIO
|
DIRECTED TO CEASE & DESIST FROM UNDERTAKING FRAUDULENT ACTIVITIES, DIRECTLY OR INDIRECTLY, AND TO CONDUCT THEMSELVES IN STRICT COMPLIANCE WITH NORMS UNDER IA REGULATIONS
13-DEC-2019
|
SEBI VIDE ITS ORDER DATED 27/07/2021 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 13/12/2019
|
| 3 |
|
|
MANGAL KUMAR RATHORE
|
|
|
|
TRADE INDIA RESEARCH
PAN:BEHPG5479R
|
|
CHARGED UNREASONABLE, ARBITRARILY AND INCONSISTENT FEE
DID NOT TAKE CONSENT OF CLIENTS ON RISK PROFILES
USED FAKE NAMES IN DEALING WITH CLIENTS
PROVIDED INVESTMENT ADVICE WITHOUT CONSENT OF THE CLIENTS
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
SOLD NON EXISTED PRODUCTS/SERVICES
CREATED FAKE PORTFOLIO OF CLIENTS AND SHOWED PROFIT IN SUCH PORTFOLIO
|
DIRECTED TO CEASE & DESIST FROM UNDERTAKING FRAUDULENT ACTIVITIES, DIRECTLY OR INDIRECTLY, AND TO CONDUCT THEMSELVES IN STRICT COMPLIANCE WITH NORMS UNDER IA REGULATIONS
13-DEC-2019
|
SEBI VIDE ITS ORDER DATED 27/07/2021 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 13/12/2019
|
| 4 |
|
|
SONAM JARIYA
|
|
|
|
TRADE INDIA RESEARCH
PAN:BEHPG5479R
|
|
CHARGED UNREASONABLE, ARBITRARILY AND INCONSISTENT FEE
DID NOT TAKE CONSENT OF CLIENTS ON RISK PROFILES
USED FAKE NAMES IN DEALING WITH CLIENTS
PROVIDED INVESTMENT ADVICE WITHOUT CONSENT OF THE CLIENTS
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
SOLD NON EXISTED PRODUCTS/SERVICES
CREATED FAKE PORTFOLIO OF CLIENTS AND SHOWED PROFIT IN SUCH PORTFOLIO
|
DIRECTED TO CEASE & DESIST FROM UNDERTAKING FRAUDULENT ACTIVITIES, DIRECTLY OR INDIRECTLY, AND TO CONDUCT THEMSELVES IN STRICT COMPLIANCE WITH NORMS UNDER IA REGULATIONS
13-DEC-2019
|
SEBI VIDE ITS ORDER DATED 27/07/2021 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 13/12/2019
|
| 5 |
|
|
VAISHALI RAGHUWANSHI
|
|
|
|
TRADE INDIA RESEARCH
PAN:BEHPG5479R
|
|
CHARGED UNREASONABLE, ARBITRARILY AND INCONSISTENT FEE
DID NOT TAKE CONSENT OF CLIENTS ON RISK PROFILES
USED FAKE NAMES IN DEALING WITH CLIENTS
PROVIDED INVESTMENT ADVICE WITHOUT CONSENT OF THE CLIENTS
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
SOLD NON EXISTED PRODUCTS/SERVICES
CREATED FAKE PORTFOLIO OF CLIENTS AND SHOWED PROFIT IN SUCH PORTFOLIO
|
DIRECTED TO CEASE & DESIST FROM UNDERTAKING FRAUDULENT ACTIVITIES, DIRECTLY OR INDIRECTLY, AND TO CONDUCT THEMSELVES IN STRICT COMPLIANCE WITH NORMS UNDER IA REGULATIONS
13-DEC-2019
|
SEBI VIDE ITS ORDER DATED 27/07/2021 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 13/12/2019
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
