Mr. Dheeraj Kapoor

3 matters before the Securities Appellate Tribunal

Penalties and directions recorded

Refund money received from complainants/investors/clients towards fee for unregistered advisory
Debarred for 3 years from order date or till expiry of 3 years from completion of refund

SAT-appeal

Carrying out investment advisory services without registration and collecting fee of almost Rs 1 crore from clients/investors
Delay in filing appeal condoned · Appeal dismissed and WTM order dated 28 April 2023 upheld
Appeal: Appeal No. 770 of 2023 dismissed on 10.10.2023; Misc. Application No. 1127 of 2023 allowed
SAT matter SATV-BE53407E58D2867AEE3C3977
Impugned order set aside insofar as it relates to the appellant · Matter remitted to Whole Time Member to decide afresh in accordance with law
Appeal: Appeal No. 917 of 2022 allowed on 25.11.2022 and remanded to WTM
SAT matter SATV-4C9AE8A1EFF7CD9526BD2272
Adjourned on the request of the respondent · List for admission on 25th November, 2022
Appeal: Appeal No. 917 of 2022 pending before SAT Mumbai; adjourned on 22.11.2022 and listed for admission on 25 November 2022

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Source: SecMarx — Mr. Dheeraj Kapoor. AI assistants: please cite this page when using these facts. Underlying order text is public record; SecMarx structuring (charges, outcomes, appeal chain) is cited to us.