S. No.
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DATE OF ORDER
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PERSON
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ENTITY
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COMPETENT AUTHORITY
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REGULATORY CHARGES
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REGULATORY ACTION(S) / DATE OF ORDER
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FURTHER DEVELOPMENTS
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1
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26-MAR-2024
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AUTUS SECURITIES PVT.LTD.
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|
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BSE
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RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
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CANCELLED STOCK BROKER MEMBERSHIP
26-MAR-2024
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BSE VIDE ITS NOTICE DATED 26/03/2024 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
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2
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26-MAR-2024
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HEET MANISH BAFNA (AKA.HEET MANISH BAPNA)
(PAN:ACYPG9384P)
|
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STANDARD CHARTISTS
(PAN:ACYPG9384P)
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SEBI
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DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
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IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
26-MAR-2024
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3
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26-MAR-2024
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HEET MANISH BAPNA (AKA.HEET MANISH BAFNA)
(PAN:ACYPG9384P)
|
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STANDARD CHARTISTS
(PAN:ACYPG9384P)
|
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SEBI
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
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IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
26-MAR-2024
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|
4
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26-MAR-2024
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JAYESH SHANTILAL RAVAL
(PAN:BXEPR5948G)
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WAYS2STAR
(PAN:BXEPR5948G)
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SEBI
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ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
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DIRECTED TO REFUND MONEY RECEIVED FROM CLIENTS/INVESTORS/COMPLAINANT AS FEES OR CONSIDERATION OR IN ANY OTHER FORM IN RESPECT OF UNREGISTERED INVESTMENT ADVISORY ACTIVITIES
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM
DIRECTED BANKS TO ALLOW DEBIT FOR PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DIRECTED TO DEPOSIT REMAINING BALANCE AMOUNT WITH SEBI TO BE KEPT IN ESCROW ACCOUNT
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 26-MAR-2024 TO 25-MAR-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 26-MAR-2024 TO 25-MAR-2026
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY INVESTMENT ADVISORY SERVICES AND/OR RESEARCH ANALYST ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
26-MAR-2024
|
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5
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26-MAR-2024
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PAN SECURITIES LTD.
(PAN:AACCP0193N)
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|
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BSE
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RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
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CANCELLED STOCK BROKER MEMBERSHIP
26-MAR-2024
|
BSE VIDE ITS NOTICE DATED 26/03/2024 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
|
6
|
26-MAR-2024
|
|
STANDARD CHARTISTS
(PAN:ACYPG9384P)
|
|
|
HEET MANISH BAFNA (AKA.HEET MANISH BAPNA)
(PAN:ACYPG9384P)
|
|
HEET MANISH BAPNA (AKA.HEET MANISH BAFNA)
(PAN:ACYPG9384P)
|
|
SEBI
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
26-MAR-2024
|
|
7
|
26-MAR-2024
|
|
WAYS2STAR
(PAN:BXEPR5948G)
|
|
|
JAYESH SHANTILAL RAVAL
(PAN:BXEPR5948G)
|
|
SEBI
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
DIRECTED TO REFUND MONEY RECEIVED FROM CLIENTS/INVESTORS/COMPLAINANT AS FEES OR CONSIDERATION OR IN ANY OTHER FORM IN RESPECT OF UNREGISTERED INVESTMENT ADVISORY ACTIVITIES
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM
DIRECTED BANKS TO ALLOW DEBIT FOR PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DIRECTED TO DEPOSIT REMAINING BALANCE AMOUNT WITH SEBI TO BE KEPT IN ESCROW ACCOUNT
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 26-MAR-2024 TO 25-MAR-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 26-MAR-2024 TO 25-MAR-2026
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY INVESTMENT ADVISORY SERVICES AND/OR RESEARCH ANALYST ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
26-MAR-2024
|
|
8
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22-MAR-2024
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MOHOTA INDUSTRIES LTD.
|
|
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MSEI
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RESOLUTION PLAN APPROVED PURSUANT TO ORDER OF NCLT UNDER INSOLVENCY & BANKRUPTCY CODE, 2016
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SUSPENDED FROM TRADING FROM 28-MAR-2024
22-MAR-2024
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9
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22-MAR-2024
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SHIKAGO TRADE PVT.LTD.
|
|
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MCX
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RESIGNED AND/OR SURRENDERED TRADING-CUM CLEARING MEMBERSHIP
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CANCELLED REGISTRATION AS TRADING MEMBERSHIP
22-MAR-2024
|
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10
|
22-MAR-2024
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|
SHRI SUMATI INDUSTRIES PVT.LTD.
|
|
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MCX
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RESIGNED AND/OR SURRENDERED TRADING-CUM CLEARING MEMBERSHIP
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CANCELLED REGISTRATION AS TRADING MEMBERSHIP
22-MAR-2024
|
|
11
|
21-MAR-2024
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HARINDER KUMAR SAHU
(PAN:BLPPS3144G)
|
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SEBI
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DID NOT MAKE PUBLISH INVESTOR CHARTER ON THEIR WEBSITE
DID NOT OBTAIN NISM CERTIFICATION AS RESEARCH ANALYST
DID NOT MENTION FULL REGISTERED ADDRESS OF BUSINESS PLACE ON WEBSITE
DID NOT ESTABLISH INTERNAL POLICY AND CONTROL PROCEDURE TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM TRADING ACTIVITIES AND RESEARCH ANALYST ACTIVITIES
DID NOT MAKE DISCLOSURE OF MATERIAL DISCLOSURES INCLUDING SEBI REGISTRATION NUMBER, DETAILS ABOUT BUSINESS ACTIVITIES IN RESEARCH REPORTS, FINANCIAL INTEREST/BENEFICIAL OWNERSHIP OF IT AND ITS ASSOCIATES IN SECURITIES
MADE UNREALISTIC AND MISLEADING DISCLOSURES WITH RESPECT TO PROFIT AND LOSS MADE FROM TRADING/OPTIONS STRATEGIES OFFERED
DID NOT MAINTAIN RECORDS IN RESPECT OF RECOMMENDATIONS/CALLS MADE THROUGH WHATSAPP/E-MAIL/TERMINAL
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SUSPENDED REGISTRATION AS RESEARCH ANALYSTS
21-MAR-2024
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12
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21-MAR-2024
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MOHOTA INDUSTRIES LTD.
|
|
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NSE
|
RESOLUTION PLAN APPROVED PURSUANT TO ORDER OF NCLT UNDER INSOLVENCY & BANKRUPTCY CODE, 2016
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COMPANY DELISTED FROM 28-MAR-2024
21-MAR-2024
|
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13
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21-MAR-2024
|
|
MOHOTA INDUSTRIES LTD.
|
|
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BSE
|
RESOLUTION PLAN APPROVED PURSUANT TO ORDER OF NCLT UNDER INSOLVENCY & BANKRUPTCY CODE, 2016
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COMPANY DELISTED FROM 28-MAR-2024
21-MAR-2024
|
|
14
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20-MAR-2024
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AMIT BABBAR
(PAN:AGNPB2362F)
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SEBI
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DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF VIKAS PROPPANT & GRANITE LTD.
AIDED AND ABETTED PROMOTERS AND DIRECTORS IN DEPLOYING FRAUDULENT SCHEME/DEVICE TO ALLOW TO DISPOSE-OFF THEIR LARGE QUANTITY OF SHARES OF VIKAS PROPPANT & GRANITE LTD. THROUGH THEIR RELATED/ASSOCIATED ENTITIES
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IMPOSED PENALTY RS.6,00,000
20-MAR-2024
|
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15
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20-MAR-2024
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AMIT MANCHANDA
(PAN:ALDPM3315N)
|
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SEBI
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DID NOT MONITOR THE TRADES OF ALL DESIGNATED PERSONS, COMPLIANCE OF COMPANY’S CODE OF CONDUCT AND ADMINISTER THE SEBI (PIT) REGULATIONS EFFECTIVELY VIOLATING REGULATION 9(3) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF RADICO KHAITAN LTD.
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IMPOSED PENALTY RS.5,00,000
20-MAR-2024
|
|
16
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20-MAR-2024
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ANGURI DEVI GARG
(PAN:ABQPG5315F)
|
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SEBI
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EXECUTED OFF-MARKET TRANSACTION OF SHARES WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION VIOLATING SECTION 2(I)(A) OF SCRA, 1956 READ WITH SECTIONS 13, 16 AND 18 OF SCRA, 1956 AND SEBI NOTIFICATION NO.LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013 IN MATTER OF VIKAS PROPPANT & GRANITE LTD.
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IMPOSED PENALTY RS.1,00,000
20-MAR-2024
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17
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20-MAR-2024
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BIONEXT PHARMA PVT.LTD.
(CIN:U24232MH2004PTC148628)
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|
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NCLT
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DEFAULTED IN MAKING PAYMENT OF DUES
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APPLICATION ADMITTED- RS.46,81,963
20-MAR-2024
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|
18
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20-MAR-2024
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GIRISH KANSAL
(PAN:AXKPK8061C)
|
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SEBI
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DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF VIKAS PROPPANT & GRANITE LTD.
AIDED AND ABETTED PROMOTERS AND DIRECTORS IN DEPLOYING FRAUDULENT SCHEME/DEVICE TO ALLOW TO DISPOSE-OFF THEIR LARGE QUANTITY OF SHARES OF VIKAS PROPPANT & GRANITE LTD. THROUGH THEIR RELATED/ASSOCIATED ENTITIES
|
IMPOSED PENALTY RS.6,00,000
20-MAR-2024
|
|
19
|
20-MAR-2024
|
|
IDEAL STOCK BROKING PVT.LTD.
|
|
|
BSE
|
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
|
CANCELLED STOCK BROKER MEMBERSHIP
20-MAR-2024
|
BSE VIDE ITS NOTICE DATED 20/03/2024 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
|
20
|
20-MAR-2024
|
NIR SINGH SINDHU
(PAN:BQXPS6562B)
|
|
SEBI
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DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF VIKAS PROPPANT & GRANITE LTD.
AIDED AND ABETTED PROMOTERS AND DIRECTORS IN DEPLOYING FRAUDULENT SCHEME/DEVICE TO ALLOW TO DISPOSE-OFF THEIR LARGE QUANTITY OF SHARES OF VIKAS PROPPANT & GRANITE LTD. THROUGH THEIR RELATED/ASSOCIATED ENTITIES
|
IMPOSED PENALTY RS.6,00,000
20-MAR-2024
|
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