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.

UN-AUTHORISED PORTFOLIO MANAGERS: INDUCED INVESTORS THROUGH FALSE/MISLEADING REPRESENTATION

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person DELTA ALLIANCE FINANCIAL SERVICES  
Click here to view complete history of this specific entity/person RAJEEV KAPOOR
  		INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION

LURED LARGE NUMBER OF UNSUSPECTING INVESTORS OF EASTERN REGION BY ASSURING THEM HIGH RETURNS   		RESTRAINED FROM ACCEPTING LOANS/DEPOSITS FROM PUBLIC FOR SECURITIES MARKET FROM 02-JAN-2004 TILL FURTHER ORDER

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-JAN-2004 TILL FURTHER ORDER

DEBARRED FROM ACTING AS UN-REGISTERED PORTFOLIO MANAGER FROM 02-JAN-2004 TILL FURTHER ORDER

DEBARRED FROM PUBLISHING ADVERTISEMENTS LURING INVESTORS TO INVEST IN SECURITIES MARKET FROM 02-JAN-2004 TILL FURTHER ORDER

02-JAN-2004 		FILED CRIMINAL COMPLAINT ON 11/07/2008 AND PUBLIC CAUTIONED AND ADVISED NOT TO DEAL WITH RAJEEV KAPOOR  
2
History of entity/person DELTA ALLIANCE INVESTMENTS  
Click here to view complete history of this specific entity/person SANTA CHAKARABORTY
  		INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION

LURED LARGE NUMBER OF UNSUSPECTING INVESTORS OF EASTERN REGION BY ASSURING THEM HIGH RETURNS   		RESTRAINED FROM ACCEPTING LOANS/DEPOSITS FROM PUBLIC FOR SECURITIES MARKET FROM 16-AUG-2004 TILL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-AUG-2004 TILL FURTHER ORDERS

DEBARRED FROM ACTING AS UN-REGISTERED PORTFOLIO MANAGER FROM 16-AUG-2004 TILL FURTHER ORDERS

DEBARRED FROM PUBLISHING ADVERTISEMENTS LURING INVESTORS TO INVEST IN SECURITIES MARKET FROM 16-AUG-2004 TILL FURTHER ORDERS

16-AUG-2004 		FILED CRIMINAL COMPLAINT ON 11/07/2008 AND PUBLIC CAUTIONED AND ADVISED NOT TO DEAL WITH RAJEEV KAPOOR  
3
History of entity/person STOCK MARKET NAVIGATOR (SMN)

(PAN:ANBPS5743A)  
Click here to view complete history of this specific entity/person ANIRUDH P.SETHI

PAN:ANBPS5743A
  		MISLED INVESTORS BY INDULGING IN ACTIVITIES PREJUDICIAL TO PRICE DISCOVERY MECHANISM OF STOCK EXCHANGE

INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION   		DIRECTED TO CEASE & DESIST FROM GIVING MISLEADING RECOMMENDATIONS IN ANY PUBLIC ACCESSIBLE MEDIA

DEBARRED FROM ACTING AS UN-REGISTERED PORTFOLIO MANAGER FROM 19-JAN-2007

19-JAN-2007 		ORDER DATED 19/01/2007 APPLICABLE TO ANY OTHER BUSINESS NAME EMPLOYED BY MR. ANIRUDH SETHI

AD INTERIM EX-PARTE ORDER DATED 19/01/2007 CONFIRMED AND CAUTIONED ANIRUDH SETHI OF HIS DEALING IN SECURITIES MARKET AND ADVISED STRICTLY TO FOLLOW HIS UNDERTAKING DATED 12/03/2007. DIRECTIONS TO CEASE AND DESIST FROM ACTING AS AN UNREGISTERED PORTFOLIO MANAGER STANDS VACATED  
4
History of entity/person TRADEFAST SECURITIES  
  INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION

ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION

MADE FALSE AND MISLEADING INFORMATION ON WEBSITE   		DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-JUL-2017 TO 26-JUL-2027

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-JUL-2017 TO 26-JUL-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

DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC AND/OR INVITE SUBSCRIPTION, IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 27-JUL-2017 TO 26-JUL-2027

RESTRAINED FROM HOLDING ANY MANAGERIAL POSITION (INCLUDING DIRECTORSHIP) IN ANY LISTED COMPANY IN INDIA OR AN INTERMEDIARY REGISTERED WITH SEBI OR WITH ANY SECURITIES MARKET PARTICIPANT, IN ANY CAPACITY FROM 27-JUL-2017 TO 26-JUL-2027

02-MAR-2015 		SEBI VIDE ITS ORDER DATED 27/07/2017 1) PROHIBITED FROM COLLETING ANY FRESH FUNDS FROM ITS CLIENTS, OTHER GENERAL INVESTORS OR MEMBERS IN WHATEVER FORM 2) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSCOCIATED WITH SECURITIES IN ANY MANNER FOR A PERIOD OF TEN (10) YEARS FROM THE DATE OF THIS ORDER AND 3) RESTRAINED FROM ASSOCIATING WITH ANY INTERMEDIARY REGISTERED WITH SEBI IN ANY OFFICIAL CAPACITY TILL EXPIRY OF TEN (10) YEARS FROM THE DATE OF THIS ORDER  
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