JM FINANCIAL LIMITED of MUMBAI, MAHARASTRA is an SEC exempt reporting adviser (CRD 293667).
Showing 25 of 32 people.
| Name | Role | Location |
|---|---|---|
| Navroz Darius Udwadia | INDEPENDENT DIRECTOR ON THE BOARD | Redwood City, CA |
| Hariharan Ramamurthi Aiyar | NON-EXECUTIVE DIRECTOR OF THE BOARD | — |
| UDWADIA DARIUS | INDEPENDENT DIRECTOR ON THE BOARD | — |
| PANDOLE DARIUS DINSHAW | MANAGING DIRECTOR & CHIEF EXECUTIVE OFFICER - PE AND EQUITY AIFS | — |
| CHOKSI PRASHANT KISHOR | COMPANY SECRETARY | — |
| NEELAKANTAN DIPTI | GROUP CHIEF OPERATING OFFICER | — |
| KAMPANI NIMESH NAGINDAS | NON-EXECUTIVE CHAIRMAN OF THE BOARD; SHAREHOLDER | — |
| KAMPANI ARUNA NIMESH | MANAGING DIRECTOR ON THE BOARD; NON-EXECUTIVE VICE CHAIRMAN OF THE BOARD; SHAREHOLDER | — |
| SHETH MANISH CHHABILDAS | CHIEF FINANCIAL OFFICER | — |
| Kshirsagar Eknath Atmaram | INDEPENDENT DIRECTOR ON THE BOARD | — |
| KELKAR VIJAY LAXMAN | INDEPENDENT DIRECTOR ON THE BOARD | — |
| PANDA JAGI MANGAT | INDEPENDENT DIRECTOR ON THE BOARD | — |
| DADISETH KEKI BOMI | INDEPENDENT DIRECTOR ON THE BOARD | — |
| ZUCKERMAN PAUL | INDEPENDENT DIRECTOR ON THE BOARD | — |
| Palamadai Jayakumar Sundararajan | INDEPENDENT DIRECTOR ON THE BOARD | — |
| MEHRA ATUL SHAM | JOINT MANAGING DIRECTOR ON THE BOARD | — |
| PATEL ADI RUSI | JOINT MANAGING DIRECTOR ON THE BOARD; MANAGING DIRECTOR ON THE BOARD | — |
| BAKSHI ROSHINI | INDEPENDENT DIRECTOR ON THE BOARD | — |
| KANAKIA PRADIP MANILAL | INDEPENDENT DIRECTOR ON THE BOARD | — |
| BOSE SUMIT | INDEPENDENT DIRECTOR ON THE BOARD | — |
| SHAH NISHIT ASHWIN | CHIEF FINANCIAL OFFICER | — |
| Mehta Dimple Mayank | COMPANY SECRETARY | — |
| Vishal Nimesh Kampani | VICE CHAIRMAN & MANAGING DIRECTOR | — |
| Nimesh Nagindas Kampani | NON-EXECUTIVE CHAIRMAN OF THE BOARD; SHAREHOLDER | — |
| Aruna Nimesh Kampani | SHAREHOLDER | — |
Showing 10 of 18 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-12-26 | regulatory | MCX VIDE EMAIL DATED DECEMBER 26, 2025, HAS LEVIED A PENALTY OF RS. 6,34,900 ($7047) FOR THE ABNORMAL TRADES EXECUTED IN CRUDEOILM OPTION CONTRACTS BY ONE OF THE CLIENT. MATTER CLOSED. | Final | $7K |
| 2025-03-03 | regulatory | NSE MCSGFC, COMMITTEE VIDE ORDER DATED MARCH 03, 2025, HAS LEVIED PENALTY OF RS. 5,60,000/- ($6,384) FOR VIOLATION OBSERVED DURING ONSITE INSPECTION OF AUTHORIZED PERSON. WE HAVE SUBMITTED A REQUEST FOR REVERSAL OF THE PENALTY LEVIED. | Pending | — |
| 2024-07-05 | regulatory | RBI VIDE ITS LETTER DATED JULY 05, 2024, ISSUED A SHOW CAUSE NOTICE IN RELATION TO AN INADVERTENT MISS OF DISCLOSURE OF A RELATED PARTY TRANSACTION IN ANNUAL REPORT PURSUANT TO PARAGRAPH 4.3(A) OF ANNEX XVI OF MASTER DIRECTION - NON- BANKING FINANCIAL COMPANY - SYSTEMICALLY IMPORTANT NON-DEPOSIT TAK… | Final | $4K |
| 2024-05-13 | regulatory | NSE VIDE ITS LETTER DATED MAY 13, 2024 HAS LEVIED A PENALTY OF RS. 6,08,000/- ($7,296) FOR OBSERVATIONS RAISED IN INSPECTION CONDUCTED FOR THE PERIOD OCTOBER 01, 2022 TO SEPTEMBER 30, 2023. | Final | $6K |
| 2024-03-07 | regulatory | PRIMA FACIE VIOLATION OF CERTAIN REGULATIONS ISSUED BY SEBI. | Final | $315K |
| 2024-03-07 | regulatory | SEBI HAS PRIMA FACIE OBSERVED THAT THE ACTIONS OF JM FINANCIAL LIMITED ("JMFL") APPEAR TO BE AN UNFAIR TRADE PRACTICE UNDER REGULATION 4(1) OF THE SEBI (PROHIBITION OF FRAUDULENT AND UNFAIR TRADE PRACTICES RELATING TO THE SECURITIES MARKET) REGULATION, 2003 AND IN CONTRAVENTION OF CLAUSES 2, 3, 9, 1… | Pending | — |
| 2024-03-07 | regulatory | JMFSL HAS BEEN REFERRED IN THE INTERIM EX PARTE ORDER DATED MARCH 7, 2024 PASSED BY SEBI AGAINST JM FINANCIAL LIMITED (JMFL) IN THE MATTER OF PUBLIC OF ISSUE OF CERTAIN DEBT SECURITIES. THE SAID CONFIRMATORY ORDER IMPOSED RESTRICTIONS ON JMFL TO UNDERTAKE ANY NEW MANDATE FOR PUBLIC ISSUE OF DEBT SEC… | Final | $367K |
| 2024-03-07 | regulatory | JMFPL HAD BEEN REFERRED IN THE ORDERS ISSUED BY SEBI AGAINST JM FINANCIAL LIMITED ("JMFL"), VIZ., AN INTERIM EX-PARTE ORDER DATED MARCH 7, 2024 AND CONFIRMATORY ORDER DATED JUNE 20, 2024 IN THE MATTER OF PUBLIC ISSUE OF CERTAIN DEBT SECURITIES. | Final | $50K |
| 2024-03-05 | regulatory | THE PRINCIPAL ALLEGATIONS ARE: DEFICIENCIES IN RESPECT OF LOANS SANCTIONED BY JMFPL TO ITS CLIENTS/BORROWERS FOR SUBSCRIBING TO THE INITIAL PUBLIC OFFERINGS BY THE ISSUER COMPANIES INCLUDING FOR SUBSCRIPTIONS OF THE NON-CONVERTIBLE DEBENTURES; CREDIT APPRAISAL PROCESS. | Final | — |
| 2024-03-05 | regulatory | THE PRINCIPAL ALLEGATIONS ARE: JMFPL ALLEGEDLY FACILITATED IPO AND NCD SUBSCRIPTIONS USING LOANED FUNDS WITH INADEQUATE CREDIT UNDERWRITING AND VERY LOW MARGINS. JMFPL OPERATED CUSTOMERS' APPLICATION PROCESSES, DEMAT ACCOUNTS, AND BANK ACCOUNTS THROUGH POWERS OF ATTORNEY (POAS), EFFECTIVELY ACTING A… | Final | — |
| Fund | Type | Formed | Owners | Gross asset value | Min investment |
|---|---|---|---|---|---|
| JM FINANCIAL INDIA GROWTH FUND III (A SCHEME OF JM FINANCIAL INDIA GROWTH TRUST III) | Private Equity Fund | India | 95 | $67.7M | $122K |
| JM FINANCIAL INDIA FUND II - A SCHEME OF JM FINANCIAL INDIA TRUST II | Private Equity Fund | India | 80 | $52.4M | $141K |
| JM FINANCIAL INDIA FUND | Private Equity Fund | India | 90 | $3.0M | $22K |
| JM FINANCIAL INDIA FUND III | Private Equity Fund | India | 90 | $817K | $22K |