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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.

PORTFOLIO MANAGERS: DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person FIRST GLOBAL STOCKBROKING PVT.LTD.

(PAN:AAACF0661K)

(Member : NSE)  
Click here to view complete history of this specific entity/person DEVINA MEHRA
Click here to view complete history of this specific entity/person SHANKAR SHARMA
  		VIOLATED SEBI ACT, RULES & REGULATIONS

ARTIFICIALLY DEPRESSED PRICES OF SPECIFIED SCRIPS

VIOLATED SEBI CODE OF CONDUCT   		DEBARRED FROM UNDERTAKING FRESH BUSINESS AS PORTFOLIO MANAGER FROM 25-MAY-2001 TILL PENDING ENQUIRY

DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 25-MAY-2001 TILL PENDING ENQUIRY

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-MAY-2001 TILL PENDING ENQUIRY

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-MAY-2001 TILL PENDING ENQUIRY

25-MAY-2001 		SAT: APPEAL DISMISSED  
2
History of entity/person GILTEDGE PORTFOLIO MANAGEMENT SERVICES LTD.  
  IRREGULARITIES IN TRANSACTIONS IN GOVERNMENT SECURITIES   DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-MAY-2002 TO 30-MAY-2002

16-MAY-2002 		 
3
History of entity/person ONELIFE CAPITAL ADVISORS LTD.

(PAN:AAACO9540L)

(Member : BSE)  
Click here to view complete history of this specific entity/person A.P.SHUKLA

PAN:AECPS3296Q
Click here to view complete history of this specific entity/person DHANANJAY CHANDRAKANT PARIKH

PAN:ACTPP2402L
Click here to view complete history of this specific entity/person PANDOO PRABHAKAR NAIG

PAN:ACNPN2800J
Click here to view complete history of this specific entity/person T.S.RAGHAVAN

PAN:AAFPR1521A
Click here to view complete history of this specific entity/person THIRUVIDAIMARUDUR KRISHNA PRABHAKAR NAIG

PAN:ABIPN2653D
Click here to view complete history of this specific entity/person TUSHAR SHIRDHARANI

PAN:AAIPS0065M
  		MISUTILIZED ISSUE PROCEEDS

DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS   		DIRECTED NOT TO ISSUE ANY EQUITY SHARES OR ANY INSTRUMENT CONVERTIBLE INTO EQUITY SHARES OR ALTER ITS CAPITAL STRUCTURE IN ANY MANNER FROM 28-DEC-2011 TILL FURTHER ORDERS

PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 28-DEC-2011 TILL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS

DIRECTED COMPANY TO CALL BACK ICDS AND/OR OTHER AMOUNTS AND DEPOSIT THE SAME IN AN INTEREST BEARING ESCROW ACCOUNT

DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE

DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED

28-DEC-2011 		SAT: APPEAL DISPOSED OFF WITH NO ORDER AS TO COSTS

SEBI VIDE ITS ORDER DATED 15/02/2012 MODIFIED ITS EARLIER ORDER DATED 28/12/2011 BY ALLOWING TO DEAL IN SHARES FOR LIMITED PURPOSE OF FULFILLING THEIR EXISTING OBLIGATIONS OF UNDERWRITING FOR MINIMUM SUBSCRIPTION  
4
History of entity/person TRIUMPH INTERNATIONAL FINANCE INDIA LTD.

(PAN:AAACE0308A)

(Member : NSE)  
  INDULGED IN PRICE MANIPULATION IN SCRIP OF GLOBAL TRUST BANK LTD.

INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF GLOBAL TRUST BANK LTD.

PARKED SHARES TO CIRCUMVENT SEBI TAKEOVER CODE, 1997   		DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2002 TILL INVESTIGATION COMPLETED

31-DEC-2002 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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