| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
FINOSYS SECURITIES
|
|
|
|
AMIT GANDHI
|
|
|
VAIBHAV GANDHI
PAN:AISPG3682L
|
|
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
|
| 2 |
|
|
GLOBAL SECURITIES
|
|
|
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
|
| 3 |
|
|
GOODTIME SECURITIES
|
|
|
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
|
| 4 |
|
|
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
|
| 5 |
|
|
KAREENA INFOTECH
|
|
|
|
MANOHAR PILLAI
|
|
ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-DEC-2018 TO 19-JAN-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-DEC-2018 TO 19-JAN-2021
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 20-DEC-2018 TO 19-JAN-2021
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
RESTRAINED FROM MOBILIZING FUNDS FROM 20-DEC-2018 TO 19-JAN-2021
12-JAN-2016
|
SEBI VIDE ITS ORDER DATED 20/12/2018 DISPOSED OFF INTERIM ORDER DATED 12/01/2016 AND DIRECTED NOTICEES TO 1) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY FOR THREE YEARS FROM DATE OF THIS ORDER 2) CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FOR THREE YEARS FROM DATE OF THIS ORDER 3) PROHIBITED FROM MOBILIZING FUNDS FROM PUBLIC, IN WHATEVER FORM, FOR THREE YEARS FROM DATE OF THIS ORDER
|
| 6 |
|
|
RELIABLE SECURITIES
(PAN:AAPFR9452C)
|
|
|
|
ASHA GANDHI
PAN:AJBPG4159N
|
|
|
VAIBHAV GANDHI
PAN:AISPG3682L
|
|
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
|
| 7 |
|
|
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. |
