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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.

UN-AUTHORISED SUB-BROKERS: DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person MCX BIZ SOLUTIONS

(PAN:BACPS3885C)  
Click here to view complete history of this specific entity/person SYED SADAQ

PAN:BACPS3885C
  		ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION   DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-JUL-2017 TO 19-JUL-2027

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-JUL-2017 TO 19-JUL-2027

DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO THOSE SCHEMES / ACTIVITIES (INVESTMENT ADVISER AND ALTERNATIVE INVESTMENT FUND, AND/OR RESEARCH ANALYST) OR ANY UNREGISTERED ACTIVITIES FROM 20-JUL-2017 TO 19-JUL-2027

RESTRAINED FROM MOBILIZING FUNDS FROM 20-JUL-2017 TO 19-JUL-2027

DIRECTED TO KEEP MONEY COLLECTED FROM INVESTORS IN ESCROW ACCOUNT OPENED WITH NATIONALISED BANK AND FILE A REPORT WITH SEBI WITHIN 7 DAYS FROM DATE OF ORDER

DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY

18-NOV-2013 		SEBI VIDE ITS ORDER DATED 27/02/2015 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 18/11/2013

SEBI VIDE ITS ORDER DATED 20/07/2017 1) PROHIBITED FROM MOBILIZING OR POOLING ANY FRESH FUNDS FROM THEIR CLIENTS, OTHER GENERAL INVESTORS OR MEMBERS OF PUBLIC IN WHATEVER FORM 2) DIRECTED TO REFUND THE MONIES COLLECTED FROM INVESTORS IN VARIOUS SCHEMES ALONG WITH INCOME, PROFITS OR RETURNS PROMISED TO INVESTORS UNDER SUCH SCHEMES OR INTEREST AT RATE OF 10% PER ANNUM, WHICHEVER IS HIGHER, FROM DATE OF INVESTMENT TILL DATE OF REFUND, WITHIN A PERIOD OF THIRTY (30) DAYS FROM DATE OF THIS ORDER AND SUBMIT A REPAYMENT REPORT TO SEBI CERTIFIED BY TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS WHO ARE IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION 3) DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS & PROPERTIES AND DETAILS OF ALL BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, IF HELD IN PHYSICAL FORM 4) 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 YEARS FROM DATE OF THIS ORDER  
2
History of entity/person SRI GANESH STOCKS & SHARES  
Click here to view complete history of this specific entity/person KRISHNAMURTHY VIJAYA BHARATHI

PAN:ABZPV9915D
Click here to view complete history of this specific entity/person 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  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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