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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.

COMPANIES: DEALT IN CASH WITH CLIENTS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person MONEY SECURE INVESTOR

(PAN:CBPPS2075D)  
Click here to view complete history of this specific entity/person ALKA SHRIVASTAVA

PAN:CBPPS2075D
  		DID NOT PROVIDE MATERIAL INFORMATION TO SEBI

PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS

TRADED ON BEHALF OF CLIENTS

PROVIDED ADVICE WITHOUT PROPER RATIONALE TO RISK PROFILE OF CLIENTS

SOLD MULTIPLE PRODUCTS AND CHARGED UNREASONABLE FEES AND/OR SERVICE CHARGE

DISPLAYED INCORRECT NUMBER OF PENDING COMPLAINTS ON WEBSITE

DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME

DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES IN STIPULATED TIME

DEALT IN CASH WITH CLIENTS   		SUSPENDED REGISTRATION AS INVESTMENT ADVISER FROM 28-MAR-2023 TO 27-MAR-2024

28-MAR-2023 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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