| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
JOGLEKAR INVESTMENTS PVT.LTD.
(CIN:U65993PN1997PTC106626)
|
|
|
|
MADHAV PRASAD JOGLEKAR
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-OCT-2007 TILL COMPLETION OF INQUIRY
17-OCT-2007
|
WITHDRAWN INTERIM ORDER DATED 17/10/2007
|
| 2 |
|
|
MATRIX WEB
|
|
|
|
HULLATI KRISHNA B.
|
|
|
KRISHNA HULLATI
|
|
|
KRISHNARAJ
|
|
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-SEP-2004 TILL FURTHER ORDER
RESTRAINED FROM ACCEPTING LOANS/DEPOSITS FROM PUBLIC FOR SECURITIES MARKET FROM 10-SEP-2004 TILL FURTHER ORDER
10-SEP-2004
|
|
| 3 |
|
|
PRATHMESH SECURITIES PVT.LTD.
|
|
|
|
MADHAV PRASAD JOGLEKAR
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
DIRECTED NOT TO UNDERTAKE ANY PROPRIETARY TRADES IN SECURITIES
17-OCT-2007
|
WITHDRAWN INTERIM ORDER DATED 17/10/2007
|
| 4 |
|
|
SRI GANESH STOCKS & SHARES
|
|
|
|
KRISHNAMURTHY VIJAYA BHARATHI
PAN:ABZPV9915D
|
|
|
VENKATESAN CHANDRAN
PAN:AADPC7641J
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-AUG-2017 TO 21-AUG-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-AUG-2017 TO 21-AUG-2027
DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET
PROHIBITED FROM MOBILIZING OR POOLING FUNDS FROM PUBLIC OR FROM OFFERING ANY UNREGISTERED SERVICE, IN WHATEVER FORM FROM 22-AUG-2017 TO 21-AUG-2027
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC OR OFFER ANY PORTFOLIO MANAGEMENT SERVICES FROM 22-AUG-2017 TO 21-AUG-2027
DIRECTED TO REFUND ALL THE MONIES TO INVESTORS ALONG WITH INCOME, PROFITS OR RETURNS PROMISED UNDER THE SCHEMES
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
RESTRAINED FROM ASSOCIATING WITH ANY INTERMEDIARY REGISTERED WITH SEBI IN ANY OFFICIAL CAPACITY
08-APR-2015
|
SEBI VIDE ITS ORDER DATED 22/08/2017 1) PROHIBITED FROM MOBILIZING OR POOLING ANY FRESH FUNDS FROM THEIR CLIENTS OR MEMBERS OF PUBLIC IN WHATEVER FORM 2) NOT TO, DIRECTLY OR INDIRECTLY, ACCESS SECURITIES MARKET AND ARE FURTHER RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY FOR A PERIOD OF TEN YEARS FROM DATE OF THIS ORDER AND ALSO RESTRAINED FROM ASSOCIATING WITH ANY INTERMEDIARY REGISTERED WITH SEBI IN ANY OFFICIAL CAPACITY TILL EXPIRY OF 10 YEARS FROM THE DATE OF THIS ORDER
|
| 5 |
|
|
WASANKAR INVESTMENTS
(PAN:AAIPW1864A)
|
|
|
|
PRASHANT JAIDEV WASANKAR
DIN:02222183
PAN:AAIPW1864A
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
INDULGED IN FUND BASED ACTIVITIES INVOLVING PERSONAL FINANCIAL LIABILITY VIOLATING RULE 8(3) (F) OF SECURITIES CONTRACTS (REGULATIONS) RULES, 1957
DEALT WITH OTHER STOCK BROKERS FOR PROPRIETARY TRADING WITHOUT OBTAINING PRIOR PERMISSION FROM STOCK EXCHANGES VIOLATING SEBI CIRCULAR NO.SEBI/MIRSD/CIR-06/2004 DATED 13/01/2004
DID NOT FURNISH CORRECT INFORMATION TO INSPECTING TEAM REGARDING BANK ACCOUNTS
|
DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC OR OFFER ANY PORTFOLIO MANAGEMENT SERVICES FROM 27-AUG-2014 TO 26-AUG-2024
DIRECTED TO REFUND ALL THE MONIES TO INVESTORS ALONG WITH INCOME, PROFITS OR RETURNS PROMISED UNDER THE SCHEMES
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-AUG-2014 TO 26-AUG-2024
PROHIBITED FROM TRANSFERRING FUNDS / DEPOSITS MOBILISED FROM THE CLIENTS OR OTHER INVESTORS OR FROM DISPOSING OF OR ALIENATING ANY ASSET THAT HAS BEEN CREATED FROM THE FUNDS/DEPOSITS RECEIVED FROM THEIR CLIENTS OR OTHER INVESTORS
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-AUG-2014 TO 26-AUG-2024
27-AUG-2014
|
SEBI VIDE ITS ORDER DATED 10/12/2014 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 27/08/2014
SEBI VIDE ITS ORDER DATED 25/02/2022 DIRECTED ALL THE BANKS TO REMIT RS. 89,89,90,708.00 TO THE EXTENT LYING IN THE ACCOUNT OF WASANKAR WEALTH MANAGEMENT LTD., MR.PRASHANT JAIDEV WASANKAR, MR.ABHIJEET JAYANT CHAUDHARI, MR.VINAY JAIDEV WASANKAR, MS.MITHILA VINAY WASANKAR & MS.BHAGYASHREE PRASHANT WASANKAR TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 6 |
|
|
WASANKAR WEALTH MANAGEMENT LTD.
(PAN:AAACW8073C)
|
|
|
|
PRASHANT JAIDEV WASANKAR
DIN:02222183
PAN:AAIPW1864A
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ACTED AS INTERMEDIARY WITHOUT SEBI REGISTRATION UNDER SECURITIES LENDING SCHEME, 1997
INDULGED IN FUND BASED ACTIVITIES INVOLVING PERSONAL FINANCIAL LIABILITY VIOLATING RULE 8(3) (F) OF SECURITIES CONTRACTS (REGULATIONS) RULES, 1957
DEALT WITH OTHER STOCK BROKERS FOR PROPRIETARY TRADING WITHOUT OBTAINING PRIOR PERMISSION FROM STOCK EXCHANGES VIOLATING SEBI CIRCULAR NO.SEBI/MIRSD/CIR-06/2004 DATED 13/01/2004
DID NOT FURNISH CORRECT INFORMATION TO INSPECTING TEAM REGARDING BANK ACCOUNTS
|
DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC OR OFFER ANY PORTFOLIO MANAGEMENT SERVICES FROM 27-AUG-2014 TO 26-AUG-2024
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET
DIRECTED TO REFUND ALL THE MONIES TO INVESTORS ALONG WITH INCOME, PROFITS OR RETURNS PROMISED UNDER THE SCHEMES
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-AUG-2014 TO 26-AUG-2024
PROHIBITED FROM TRANSFERRING FUNDS / DEPOSITS MOBILISED FROM THE CLIENTS OR OTHER INVESTORS OR FROM DISPOSING OF OR ALIENATING ANY ASSET THAT HAS BEEN CREATED FROM THE FUNDS/DEPOSITS RECEIVED FROM THEIR CLIENTS OR OTHER INVESTORS
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-AUG-2014 TO 26-AUG-2024
27-AUG-2014
|
SEBI VIDE ITS ORDER DATED 10/12/2014 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 27/08/2014
SEBI VIDE ITS NOTICE DATED 14/01/2015 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
