Ram Mohan Gupta

2 matters before the Securities Appellate Tribunal

Penalties and directions recorded

WTM impugned order dated 15 March 2016 prohibited appellants from accessing securities market for 10 years from interim order dated 26 May 2014
WTM order 15 Mar 2016 prohibited appellants from accessing securities market for 10 years from ex-parte interim order 26 May 2014

SAT-appeal

Stock broker fraudulently transferred client securities to group entity Unickon Fincap, pledged them to raise funds diverted to group companies, misused client funds, did illegal fund-based activity and failed segregation, settlement and grievance norms.
WTM impugned order dated 15 March 2016 prohibited appellants from accessing securities market for 10 years from interim order dated 26 May 2014 · SAT order reserved 18.1.2021 and decision dated 26.4.2021 on Appeals 213 and 215 of 2018; operative SAT relief not in excerpt
Appeal: Appeal No.213 of 2018 and Appeal No.215 of 2018 with Misc. Application 227 of 2018, reserved 18.1.2021, decided 26.4.2021 against WTM order dated 15.3.2016
Fraudulent transfer/pledge of client securities, mis-utilisation/diversion of client funds to group cos, illegal fund-based ICD income, change in control without approval and grievance/audit failures.
WTM order 15 Mar 2016 prohibited appellants from accessing securities market for 10 years from ex-parte interim order 26 May 2014
Appeal: Appeal No.213 of 2018 and Appeal No.215 of 2018 with Misc App 227/2018, reserved 18.1.2021, decided 26.4.2021

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Source: SecMarx — Ram Mohan Gupta. 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.