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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.

STOCK BROKERS: VIOLATED DIRECTIVES/INSTRUCTIONS/GUIDELINES ON ANTI MONEY LAUNDERING STANDARDS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person CPR CAPITAL SERVICES LTD.

(PAN:AAACC3235A)

(Member : NSE/BSE/MSEI)  
Click here to view complete history of this specific entity/person ANUJ GARG

PAN:AHEPG5644F
Click here to view complete history of this specific entity/person DINESH KUMAR

PAN:ABKPK0853A
Click here to view complete history of this specific entity/person PAWAN KUMAR GARG

DIN:0, , , ,
PAN:AAPPG1517R
Click here to view complete history of this specific entity/person SHASHI GARG

PAN:AIGPG7786F
  		DID NOT CAPTURE INCOME DETAILS OF CLIENTS

DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS

DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES

MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS

DID NOT FOLLOW NORMS FOR NOMENCLATURE OF ACCOUNTS

MISUSED PLEDGING OF CLIENT’S SECURITIES

DID NOT FURNISH REQUISITE INFORMATION TO SEBI

DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER

DID NOT REDRESS INVESTOR COMPLAINTS

DID NOT ADHERE TO DIRECTIVES/INSTRUCTIONS/GUIDELINES ON ANTI MONEY LAUNDERING STANDARDS   		IMPOSED PENALTY RS.4,00,000

22-MAY-2023 		SEBI VIDE ITS NOTICE DATED 14/09/2023 DIRECTED TO PAY RS.4,21,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SEBI VIDE ITS ORDER DATED 10/01/2025 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS 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  
2
History of entity/person GEOJIT FINANCIAL SERVICES LTD.

(PAN:AABCG1935E)

(Member : BSE)  
  DELAY IN APPOINTMENT OF PRINCIPAL OFFICER

DELAY IN FILING SUSPICIOUS TRANSACTIONS REPORT (STR) WITH FIU-IND

DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS

DID NOT OBTAIN RUNNING ACCOUNTS AUTHORIZATION FORMS

DELAY IN PROVIDING STATEMENT OF ACCOUNTS

DID NOT RETAIN PAST RECORDS OF CALCULATIONS CARRIED OUT FOR ARRIVING AT SETTLEMENT OF FUNDS/SECURITIES OF CLIENTS

DID NOT REDRESS INVESTOR COMPLAINTS   		IMPOSED PENALTY RS.15,00,000

23-APR-2019 		SAT: SAT VIDE ITS ORDER DATED 08/08/2019 PARTLY ALLOWED THE APPEAL AND MODIFIED IMPUGNED ORDER BY REDUCING PENALTY TO RS.15 LACS FROM RS.30.00 LACS

SAT: SAT VIDE ITS ORDER DATED 31/01/2022 ALLOWED APPELLANT TWO WEEKS TO FILE IMPLEADMENT  
3
History of entity/person SHRI PARASRAM HOLDINGS PVT.LTD.

(PAN:AAACS4487J)

(Depository Participants : NSDL,Member : NSE/BSE)  
  ALLEGED FAILURE IN PROVIDING INFORMATION/COOPERATION WITH PROCEEDINGS

ALLEGED SUBMISSION OF FALSE INFORMATION TO INSPECTION OFFICIALS

ALLEGED NON-SEGREGATION OF CLIENTS ACCOUNT

ALLEGED NON-DISCLOSURE OF PROPRIETARY TRADING TO CLIENTS

DEALT WITH UN-REGISTERED SUB-BROKERS

ALLEGED TRANSFER OF TRADES FROM ONE PRO-ACCOUNT TO ANOTHER PRO-ACCOUNT

ALLEGED FAILURE IN MAINTAINING DUE DILIGENCE IN MAINTENANCE OF DETAILS OF BRANCHES AND TRADING TERMINALS

ALLEGED FAILURE IN MAINTAINING DUE DILIGENCE WHILE OPENING BENEFICIAL OWNER ACCOUNTS

ALLEGED INDULGENCE IN WITHDRAWAL OF LARGE CASH AND DEPOSIT IN GROUP COMPANY

ALLEGED FAILURE IN FRAMING ANY POLICY FRAMEWORK AND DID NOT APPOINT ANY PRINCIPAL OFFICER UNDER ANTI MONEY LAUNDERING STANDARDS

ALLEGED DISCREPANCIES IN DISTRIBUTION OF NEAT/CTSL TERMINALS AND ILLEGAL DISTRIBUTION OF TRADING TERMINALS AT BRANCHES

ALLEGED OPERATING TERMINALS FROM UNDISCLOSED PREMISES AND BY UNAUTHORISED USERS AT BRANCHES

ALLEGED PERMISSION TO DEALERS WITHOUT NCFM CERTIFICATION TO DEAL IN DERIVATIVE TRADING

ALLEGED FAILURE IN REDRESSAL OF INVESTOR COMPLAINTS IN STIPULATED PERIOD   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.53,00,000 VIDE CONSENT ORDER)

06-SEP-2010 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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