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Assured returns? 6 red flags in stock advice
Even a SEBI-registered adviser can lose its licence for promising guaranteed profits. Here is what the October 2026 order teaches.
What SEBI found
- In a final order dated 15 October 2026, SEBI cancelled the registration of Capital Stroke Investment Services Pvt. Ltd. and barred it from the securities market for five years.
- SEBI found it had promised assured returns (specific weekly/monthly profits), used misleading client testimonials and submitted forged documents.
- SEBI rejected the argument that disclaimers and words like "can" cancelled out the promises made on calls.
6 red flags
- Any guaranteed or "fixed" monthly return.
- Pressure to upgrade to costlier "premium" packages.
- Payments to personal UPI IDs instead of company accounts.
- Screenshots of profits as proof.
- Requests for your trading login or OTP.
- No SEBI registration number shown — or one that does not match the SEBI list.
How SB Stocks works
Sumit Bhardwaj is an Angel One Authorised Person and is not SEBI-registered as an investment adviser or research analyst. SB Stocks content is educational only — no tips, no buy/sell calls, no return promises. Read more about Sumit.
Questions? WhatsApp Sumit Bhardwaj →FAQ
- Why did SEBI cancel Capital Stroke's registration?
- SEBI's 15 October 2026 order found it promised assured returns, used misleading testimonials and submitted forged documents.
- Can any adviser guarantee stock market returns?
- No. SEBI rules prohibit promising assured returns from securities-market investments.
- Is an Authorised Person the same as a SEBI-registered adviser?
- No. An Authorised Person acts on behalf of a stockbroker; it is not a SEBI investment-adviser or research-analyst registration.
- Where do I complain about an adviser?
- Through SEBI's SCORES portal (scores.sebi.gov.in).