| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
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BLUE CHIP CORP.PVT.LTD.
(CIN:U67100PN2011PTC139197
PAN:AAECB5060A)
(Member : NSE)
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BHAVANA SATISH CHADHA
PAN:AFNPC9292G
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NITIN RAJARAM NARKE
PAN:AECPN7019L
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PRAVIN B.DARAWADE
PAN:ATUPD8449F
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INDULGED IN FUND BASED ACTIVITIES INVOLVING PERSONAL FINANCIAL LIABILITY VIOLATING RULE 8(3) (F) OF SECURITIES CONTRACTS (REGULATIONS) RULES, 1957
DID NOT INTIMATE SEBI ABOUT ITS NEW COMMUNICATIONS DETAILS AND THE PLACE WHERE BOOKS OF ACCOUNTS, RECORDS AND DOCUMENTS WERE MAINTAINED
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DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED NOT TO DEBIT BANK ACCOUNTS/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY EXCEPT FOR REFUND AND AFTER CONFIRMATION FROM CONCERNED STOCK EXCHANGE
DIRECTED STOCK EXCHANGES, BANKS AND DEPOSITORIES TO ENSURE COMPLIANCE OF THE DIRECTIONS
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 04-SEP-2017 TO 03-SEP-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-SEP-2017 TO 03-SEP-2027
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 04-SEP-2017 TO 03-SEP-2027
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 IMPOUND FINANCIAL ASSETS
DIRECTED TO PROVIDE COMPLETE DETAILS OF AMOUNTS COLLECTED FROM INVESTORS AND AMOUNT DUE TO EACH OF THEM
PROHIBITED FROM MOBILIZING OR POOLING FUNDS FROM PUBLIC OR FROM OFFERING ANY UNREGISTERED SERVICE, IN WHATEVER FORM FROM 04-SEP-2017 TO 03-SEP-2027
PROHIBITED FROM MOBILIZING OR POOLING FUNDS FROM ITS CLIENTS, OTHER GENERAL INVESTORS OR PUBLIC OR ANY OTHER UNREGISTERED ACTIVITY, IN WHATEVER FORM
DIRECTED TO REFUND ALL THE MONIES TO INVESTORS ALONG WITH INCOME, PROFITS OR RETURNS PROMISED UNDER THE SCHEMES
DIRECTED TO SUBMIT REPAYMENT REPORT TO SEBI CERTIFIED BY TWO INDEPENDENT CHARTERED ACCOUNTANTS WHO ARE IN PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION
09-NOV-2015
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SEBI VIDE ITS ORDER DATED 04/09/2017 1) PROHIBITED FROM MOBILIZING OR POOLING ANY FRESH FUNDS FROM THEIR CLIENTS, OTHER GENERAL INVESTORS OR MEMBERS OF PUBLIC IN WHATEVER FORM FOR A PERIOD OF TEN (10) YEARS FROM THE DATE OF THIS ORDER 2) REFUND THE MONIES SO COLLECTED FROM ITS CLIENTS AND OTHER INVESTORS THROUGH VARIOUS SCHEMES ALONG WITH INCOME, PROFITS OR RETURNS PROMISED TO THEM UNDER SUCH SCHEMES OR INTEREST AT THE @ OF 10% P.A., WHICHEVER IS HIGHER, FROM THE DATE OF INVESTMENT TILL THE DATE OF REFUND WITHIN A PERIOD OF NINETY (90) DAYS 3) SUBMIT A REPAYMENT REPORT TO SEBI AS CERTIFIED BY TWO INDEPENDENT CHARTERED ACCOUNTANTS WHO ARE IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION 4) PROVIDE A FULL INVENTORY OF ALL ASSETS AND PROPERTIES AND DETAILS OF ALL ITS BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES 5) NOT TO ACCESS SECURITIES MARKET DIRECTLY OR INDIRECTLY, AND ARE FURTHER RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY FOR A PERIOD OF TEN (10) YEARS FROM THE DATE OF THIS ORDER
SEBI VIDE ITS NOTICE DATED 24/05/2019 DIRECTED ALL THE BANKS AND MUTUAL FUNDS 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
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| 2 |
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KASSA FINVEST PVT.LTD.
(CIN:U74899DL1994PTC060668
PAN:AAACK1206B)
(Member : BSE/NSE/MCX/OTC)
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ANJANA KUMAR
PAN:AHOPK6281C
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ASHOK KUMAR
DIN:00405986
PAN:AAFPK7362N
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UMASHANKAR SHARAN SHRIVASTAV
PAN:AGKPS7923C
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DID NOT CO-OPERATE WITH SEBI IN INSPECTION
DID NOT ADHERE TO VARIOUS SEBI CIRCULARS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENTS' SECURITIES AND OWN SECURITIES
INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A (3) AND A (5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-SEP-2017 TO 04-SEP-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-SEP-2017 TO 04-SEP-2027
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 05-SEP-2017 TO 04-SEP-2027
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED TO REPAY/REFUND TO INVESTORS / CLIENTS MONEY WITH INTEREST @15% P.A. FROM THE DATE OF REPAYMENT DUE TILL THE DATE OF ACTUAL PAYMENT
19-MAR-2015
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SEBI VIDE ITS ORDER DATED 05/09/2017 DIRECTED TO 1) PROHIBITED FROM ACCESSING THE SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR DEALING IN SECURITIES, EITHER DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER, FOR A PERIOD OF TEN YEARS FROM THE DATE OF THIS ORDER 2) REPAY/REFUND THE INVESTORS/CLIENT’S MONEY WITH AN INTEREST OF 15% P.A. FROM THE DATE WHEN THE REPAYMENT BECAME DUE TILL THE DATE OF ACTUAL PAYMENT. THE PAYMENTS TO THE INVESTORS/CLIENTS IN RESPECT OF THE TRANSACTIONS EXECUTED THROUGH STOCK EXCHANGES SHALL BE MADE IN-COORDINATION WITH NSE AND BSE, AFTER TAKING INTO ACCOUNT THE PAYMENTS MADE BY SAID EXCHANGES TO THE INVESTORS/CLIENTS OF KASSA FINVEST OUT OF THE IPF ACCOUNT OF THE EXCHANGES 3) NOT TO DISPOSE OFF OR ALIENATE ANY ASSETS, WHETHER MOVABLE OR IMMOVABLE, OR CREATE ANY INTEREST OR CHARGE IN ANY SUCH ASSETS. PERMITTED TO SELL THEIR ASSETS FOR THE SOLE PURPOSE OF MAKING REPAYMENTS TO INVESTORS AND DEPOSIT THE PROCEEDS IN AN ESCROW ACCOUNT OPNED WITH A NATIONALIZED BANK. MONEY DEPOSITED IN THE ESCROW ACCOUNT HAS TO BE DISBURSED TO THE CLIENTS/INVESTORS ONLY IN COORDINATION WITH NSE AND BSE. UPTO THE EXTENT OF TOTAL MONEY DISBURSED BY THE EXCHANGES OUT OF THEIR IPF ACCOUNTS TO THE CLIENTS/INVESTORS OF KASSA FINVEST 5) DIRECTED TO PROVIDE FULL INVENTORY OF ALL THEIR ASSETS AND PROPERTIES AND DETAILS OF THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, IF HELD IN PHYSICAL SHARES
SEBI VIDE ITS NOTICE DATED 14/01/2019 DIRECTED ALL THE BANKS AND MUTUAL FUNDS 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
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| 3 |
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MOONGIPA INVESTMENTS LTD.
(CIN:U74899DL1994PLC059535
PAN:AAACM5584A)
(Member : NSE/BSE)
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MADHUR AGARWAL
PAN:AAFPA1251Q
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SHIV KUMAR AGARWAL
PAN:AAFPA1252P
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SUDHIR AGARWAL
PAN:AAFPA1250R
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DID NOT ADHERE TO VARIOUS SEBI CIRCULARS
INDULGED IN FUND BASED ACTIVITIES INVOLVING PERSONAL FINANCIAL LIABILITY VIOLATING RULE 8(3) (F) OF SECURITIES CONTRACTS (REGULATIONS) RULES, 1957
DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES
DID NOT REFUND TO CLIENTS FUNDS AND SECURITIES
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DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-SEP-2015 TO 09-SEP-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-SEP-2015 TO 09-SEP-2020
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 10-SEP-2015 TO 09-SEP-2020
DIRECTED TO IMPOUND FINANCIAL ASSETS
DIRECTED TO UTILIZE ASSETS ONLY FOR THE PURPOSE OF REFUND OF MONEY AND/OR DELIVERY OF SECURITIES
DIRECTED NOT TO DEBIT BANK ACCOUNTS/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY EXCEPT FOR REFUND AND AFTER CONFIRMATION FROM CONCERNED STOCK EXCHANGE
DIRECTED STOCK EXCHANGES, BANKS AND DEPOSITORIES TO ENSURE COMPLIANCE OF THE DIRECTIONS
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
10-SEP-2015
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SEBI VIDE ITS ORDER DATED 08/02/2019 DIRECTED TO 1) JOINTLY AND SEVERALLY TO SETTLE CLAIMS DUE, PAYABLE AND DELIVERABLE TO CLAIMANTS THAT ARE NOT SETTLED/PAID (IN PART/FULL) FROM IPF OF STOCK EXCHANGES, IN RESPECT OF CLAIMS THAT ARE RECEIVED BY STOCK EXCHANGES UPTO 17/02/2019 (2) LIQUIDATE THE ASSETS OF NOTICEES NO.1,2,3,AND 5 TO THE EXTENT REQUIRED FOR COMPLIANCE OF THIS DIRECTION, INCLUDING THE FINANCIAL ASSETS WHICH ARE ALREADY IMPOUNDED BY SEBI AND THE SAME BE UTILIZED FOR THE PURPOSE OF SETTLING AFORESAID CLAIMS OF CLAIMANTS OF MIL AFTER CONSIDERING CLAIMS ALREADY SETTLED BY STOCK EXCHANGES AND DEPOSITORIES 3) TO CONTINUE DIRECTIONS CONTAINED IN INTERIM ORDER DATED 10/09/2015 WITH RESPECT TO RESTRICTION ON ALIENATION/DISPOSAL OF ASSETS OF NOTICEES 4) RESTRAINED FROM ACCESSING SECURITIES MARKET AND ARE FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES (INCLUDING UNITS OF MUTUAL FUNDS), DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER, FOR FIVE (5) YEARS, FROM DATE OF THIS ORDER. DURING THE PERIOD OF RESTRAINT, NOTICEES’ EXISTING HOLDING, INCLUDING UNITS OF MUTUAL FUNDS, OF THE SAID NOTICEES SHALL REMAIN FROZEN
SEBI VIDE ITS NOTICE DATED 13/02/2025 DIRECTED TO PAY RS.12,31,59,849.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
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| 4 |
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ORION BROKING SERVICES (INDIA) PVT.LTD.
(CIN:U67190TZ2010PTC015959
PAN:AABCO2694L)
(Member : MCX/NCDEX/NMCE/ACE/UCX)
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CINZY JOHNSON
PAN:AHNPC5874A
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JOHNSON PUTHIAPARAMBIL JOSE
PAN:AFZPJ2029Q
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DID NOT ADHERE TO REQUIREMENTS AND CONDITIONS OF REGISTRATION VIOLATING REGULATION 9 READ WITH CLAUSES A(1),A(3),A(5) AND B(1) UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-AUG-2017 TO 28-AUG-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-AUG-2017 TO 28-AUG-2027
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 29-AUG-2017 TO 28-AUG-2027
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 29-AUG-2017 TO 28-AUG-2027
DIRECTED NOT TO ALIENATE ANY ASSETS IN ANY FORM TILL THE FULL SETTLEMENT OF CLAIMS OF INVESTORS ARE EFFECTED
18-MAR-2016
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SEBI VIDE ITS ORDER DATED 29/08/2017 1) RESTRAINED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN WHATSOEVER MANNER FOR A PERIOD OF TEN YEARS FROM DATE OF THIS ORDER ) NOT TO ALIENATE ANY ASSETS IN ANY FORM TILL THE FULL SETTLEMENT OF CLAIMS OF INVESTORS ARE EFFECTED
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| 5 |
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ORION CAPITAL & DEBT MARKET
(PAN:AACFO9456G)
(Member : NSE/BSE/MCX)
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CINZY JOHNSON
PAN:AHNPC5874A
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JOHNSON PUTHIAPARAMBIL JOSE
PAN:AFZPJ2029Q
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JOSEPH PUTHIAPARAMBIL CHACKO
PAN:AKUPJ0403G
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DID NOT ADHERE TO REQUIREMENTS AND CONDITIONS OF REGISTRATION VIOLATING REGULATION 9 READ WITH CLAUSES A(1),A(3),A(5) AND B(1) UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-AUG-2017 TO 28-AUG-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-AUG-2017 TO 28-AUG-2027
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 29-AUG-2017 TO 28-AUG-2027
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 29-AUG-2017 TO 28-AUG-2027
DIRECTED NOT TO ALIENATE ANY ASSETS IN ANY FORM TILL THE FULL SETTLEMENT OF CLAIMS OF INVESTORS ARE EFFECTED
18-MAR-2016
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SEBI VIDE ITS ORDER DATED 29/08/2017 1) RESTRAINED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN WHATSOEVER MANNER FOR A PERIOD OF TEN YEARS FROM DATE OF THIS ORDER ) NOT TO ALIENATE ANY ASSETS IN ANY FORM TILL THE FULL SETTLEMENT OF CLAIMS OF INVESTORS ARE EFFECTED
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| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
