Mr. Sourabh Rai

3 matters before the Securities Appellate Tribunal

Penalties and directions recorded

WTM direction to refund amounts collected from investors within three months upheld
Restraint from buying, selling or dealing in securities market for three years upheld

SAT-appeal

SAT matter SATV-569E0436EA5FD0F35886D1B8
Review Application No. 22 of 2023 dismissed, order dated 28.03.2023 upheld
Appeal: Review Application No. 22 of 2023 in Appeal No. 269 of 2023 dismissed on 09.06.2023
Carrying out investment advisory activities without obtaining certificate of registration
Appeal dismissed with no order as to costs · WTM direction to refund amounts collected from investors within three months upheld
Appeal: Appeal No. 269 of 2023 against WTM order dated December 26, 2022 dismissed on March 28, 2023
SAT matter SATV-7634DB8C9AA255672EBE52D5
Order reserved after hearing learned counsel for parties · Parties directed to act on digitally signed copy signed by Private Secretary on behalf of bench
Appeal: Appeal No. 269 of 2023 heard on 21.03.2023 - order reserved, no final disposal on merits yet

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Source: SecMarx — Mr. Sourabh Rai. 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.