If you are an Existing User, please enter your Username & Password below

Forgot Password?

Are you a New User? Click here to enrol

close

Click here to visit old website
Co-Sponsors
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 DISCHARGE ALL THE OBLIGATIONS, AS REQUIRED UNDER SEBI (INVESTMENT ADVISER) REGULATIONS, 2013 TOWARDS EXISTING CLIENTS IN RESPECT OF INVESTMENT ADVISORY SERVICES

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

(PAN:AJZPL7369K)  
Click here to view complete history of this specific entity/person STAR INDIA MARKET RESEARCH

PAN:AJZPL7369K
  		DID NOT RENDER ADVISORY SERVICES NOR REFUNDED MONEY VIOLATING REGULATION 15(1) OF SEBI (INVESTMENT ADVISORS) REGULATIONS, 2013

DID NOT SUBMIT CORRECT INFORMATION TO SEBI TO OBTAIN REGISTRATION AS INVESTMENT ADVISER VIOLATING REGULATION 13 OF SEBI (INVESTMENT ADVISORS) REGULATIONS, 2013   		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 13-NOV-2019 TILL FURTHER ORDERS

DIRECTED TO CEASE & DESIST FROM OFFERING NEW INVESTMENT ADVISORY SERVICES TO ITS EXISTING CLIENTS FOR WHICH FRESH PAYMENT IS REQUIRED TO BE MADE BY THE CLIENTS

DIRECTED TO DISCHARGE ALL THE OBLIGATIONS, AS REQUIRED UNDER SEBI (INVESTMENT ADVISER) REGULATIONS, 2013 TOWARDS EXISTING CLIENTS IN RESPECT OF INVESTMENT ADVISORY SERVICES

13-NOV-2019 		 
2
History of entity/person SHAILENDRA SEN

(PAN:BUXPS9559Q)  
Click here to view complete history of this specific entity/person CAPITAL HEED FINANCIAL RESEARCH

PAN:BUXPS9559Q
  		INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION   DIRECTED TO CEASE & DESIST FROM SOLICITING/ACQUIRING FRESH CLIENTS FOR INVESTMENT ADVISORY SERVICES, DIRECTLY OR INDIRECTLY

DIRECTED TO CEASE & DESIST FROM OFFERING NEW INVESTMENT ADVISORY SERVICES TO ITS EXISTING CLIENTS FOR WHICH FRESH PAYMENT IS REQUIRED TO BE MADE BY THE CLIENTS

DIRECTED TO DISCHARGE ALL THE OBLIGATIONS, AS REQUIRED UNDER SEBI (INVESTMENT ADVISER) REGULATIONS, 2013 TOWARDS EXISTING CLIENTS IN RESPECT OF INVESTMENT ADVISORY SERVICES

RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 01-JUN-2021 TO 31-MAY-2024

DIRECTED TO FURNISH REPORT TO SEBI DULY CERTIFIED BY CHARTERED ACCOUNTANT RESOLVED ALL COMPLAINTS

DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS

18-NOV-2019 		SEBI VIDE ITS ORDER DATED 01/06/2021 DIRECTED TO A) RESTRAIN FROM ACCESSING THE SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER, FOR THREE YEARS FROM DATE OF THIS ORDER 2) RESOLVED THE COMPLAINTS PENDING IN THE SCORES AND OTHERWISE, WITHIN 30 DAYS FROM DATE OF THIS ORDER 3) FURNISH REPORT TO SEBI DULY CERTIFIED BY CHARTERED ACCOUNTANT CERTIFYING ALL THE COMPLAINTS HAVE BEEN RESOLVED 4) DURING THE PERIOD OF RESTRAINT, EXISTING HOLDING OF SECURITIES INCLUDING UNITS OF MUTUAL FUNDS TO REMAIN FROZEN  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

This website is not comprehensive and is being updated on a regular basis. Users are requested to carefully look at the formats and the information about the coverage period that appears on search results pages.

DISCLAIMER BY NSE

NSE is the co-sponsor of this website and supportive of the initiative taken for protection of interest of investors by Praxis Consulting & Information Services Pvt.Ltd. (PRAXIS), the creator of this website. However, NSE bear no responsibility for the views/information that is available on this website and as responsibility of the contents of this website solely rests with PRAXIS. NSE shall not be responsible for, and expressly disclaims all liability for, damages of any kind arising out of use, reference to or reliance on any information available on this website. Investors/visitors of this website are also advised to read through the other general disclaimer(s) and terms and conditions available on this website before using the website.

Site designed and maintained by watchoutinvestors.com
© PRIME DATABASE GROUP 2004-2025
No part of this site may be reproduced without the explicit permission of the owners.

top