Rohit Soni

SAT-appeal

• Engaged in investment advisory services through M/s RNS Global Capital without SEBI registration in violation of Section 12(1) and IA Regulation 3(1).
  Both appeals dismissed with no order as to costs. · Modified WTM direction 26(a): appellants liable only for money in their own bank accounts per chart in para 15.
  Appeal: Appeal Nos. 931 and 932 of 2022 decided on 24.11.2022 - both dismissed with modification to refund liability
• Carrying on investment advisory services without obtaining a SEBI certificate of registration.
  Both appeals were dismissed with no order as to costs. · Appellants were held liable to refund the portion of investor money found in their respective bank accounts.
  Appeal: Appeal Nos. 931 and 932 of 2022 dismissed by SAT on 24 November 2022.
• Engaged in investment advisory services through M/s RNS Global Capital without SEBI registration certificate.
  Appeal dismissed; WTM direction to refund investor money jointly and severally affirmed
  Appeal: Appeal No. 1027 of 2022 dismissed by SAT on 04.01.2023