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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.

SUB-BROKERS: PROSECUTION LAUNCHED

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person ADITI INVESTMENT  
Click here to view complete history of this specific entity/person DINESH BOHRA
Click here to view complete history of this specific entity/person RAJKUMAR BOHRA
  		VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992   PROSECUTION LAUNCHED

15-MAY-2006 		THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.2,00,000 BY THE ACCUSED TO SEBI  
2
History of entity/person ALOK INVESTMENT  
Click here to view complete history of this specific entity/person DINESH BOHRA
Click here to view complete history of this specific entity/person RAJKUMAR BOHRA
  		VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992   PROSECUTION LAUNCHED

15-MAY-2006 		THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.2,00,000 BY THE ACCUSED TO SEBI  
3
History of entity/person CAPITAL INVESTMENT  
Click here to view complete history of this specific entity/person DIPEN PATEL
  		VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992   PROSECUTION LAUNCHED

15-MAY-2006 		 
4
History of entity/person ESSEM CONSULTANCY PVT.LTD.  
Click here to view complete history of this specific entity/person SAMIR SHAH
Click here to view complete history of this specific entity/person SURYA PRAKASH TOSHNIWAL
  		VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992   		PROSECUTION LAUNCHED

15-MAY-2006 		THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.1,50,000 BY THE ACCUSED TO SEBI  
5
History of entity/person GAUTAM NEMANI,M/S  
Click here to view complete history of this specific entity/person GAUTAM NEMANI
  		VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992   		PROSECUTION LAUNCHED

15-MAY-2006 		 
6
History of entity/person PARSHWAS FINANCE  
  VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992   PROSECUTION LAUNCHED

15-MAY-2006 		 
7
History of entity/person SHIVAM SECURITIES  
Click here to view complete history of this specific entity/person ANKUSH GUPTA
  		VIOLATED SECTION 12 OF SEBI ACT, 1992

VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992   		PROSECUTION LAUNCHED

15-MAY-2006 		THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.1,00,000 BY THE ACCUSED TO SEBI  
8
History of entity/person SHRI PARSHWA FINANCE  
Click here to view complete history of this specific entity/person PIYUSH SUBODHCHANDRA JHAVERI
  		VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992   		PROSECUTION LAUNCHED

15-MAY-2006 		 
9
History of entity/person SUVIDHA SHARES & SECURITIES PVT.LTD.  
Click here to view complete history of this specific entity/person NIRMAL RAJESH A.M.
Click here to view complete history of this specific entity/person V.SRIPRASAD
  		VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992   		PROSECUTION LAUNCHED

15-MAY-2006 		 
10
History of entity/person VRUDDHI CONFINVEST INDIA PVT.LTD.  
Click here to view complete history of this specific entity/person DEVINA MEHRA
Click here to view complete history of this specific entity/person SHANKAR SHARMA
  		VIOLATED SECTION 11 (3) OF SEBI ACT, 1992

VIOLATED SEBI (PFUTP) REGULATIONS, 1995

ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SEBI (PORTFOLIO MANAGERS) REGULATIONS, 1993   		PROSECUTION LAUNCHED

15-MAY-2006 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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