| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 3061 |
|
Y.K.DALMIA
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING AS REQUIRED UNDER REGULATION 3(1) (C) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 15,00,000 (25.42%) SHARES OF SURAJ PRODUCTS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,00,000, ADMINISTRATION CHARGES RS.25,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
26-NOV-2009
|
|
| 3062 |
|
|
Y.K.DALMIA
|
|
|
VIOLATED REGULATION 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF PREFERENTIAL ALLOTMENT OF 15,00,000 EQUITY SHARES OF SURAJ PRODUCTS LTD.
|
DIRECTED TO INITIATE ADJUDICATION PROCEEDINGS
10-OCT-2008
|
|
| 3063 |
|
|
YAMUNADUTT A.AGRAWAL
(PAN:AAWPA5623R)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF JINDAL WORLDWIDE LTD.
|
IMPOSED PENALTY RS.50,000
25-NOV-2019
|
|
| 3064 |
|
|
YASHOVARDHAN CHORDIA
(PAN:AIGPC2082E)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF RAJRATAN GLOBAL WIRE LTD.
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-AUG-2015
|
SAT: SAT VIDE ITS ORDER DATED 28/05/2018 ALLOWED APPEAL BY QUASHING THE DECISIONS OF IMPUGNED ORDER DATED 31/08/2015. NO COSTS
|
| 3065 |
|
|
YASMEEN ABDUL REHMAN
(PAN:BLFPS5754Q)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHER ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 10/09/2012 REVOKED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/07/2009 AND CONFIRMATORY ORDER DATED 30/10/2009 WITH IMMEDIATE EFFECT
|
| 3066 |
|
|
YASMIN G.ARAB
|
|
|
|
ROBINSON WORLDWIDE TRADE LTD.
|
|
ACTED IN CONCERT WITH SARANG CHEMICALS GROUP AND OFF-LOADED SHARES OF SARANG CHEMICALS LTD. IN MARKET/OFF-MARKET WHEN COMPANY WAS MAKING FALSE/MISLEADING ANNOUNCEMENT
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SARANG CHEMICALS LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-MAR-2010
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.15,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
22-DEC-2010
|
SAT: IMPUGNED ORDER DATED 31/03/2010 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.15,00,000 BY 31/12/2010, AS PER CONSENT ORDER
INCLUDED IN SEBI LIST DATED 30/06/2010, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 3067 |
|
|
YESHA R.SHAH
(PAN:BBKPS9051H)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ZODIAC VENTURES LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-MAR-2014
|
|
| 3068 |
|
|
YOGENDRA D.PATEL
|
|
|
|
BHARAT FERTILIZER INDUSTRIES LTD.
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SHARES OF BHARAT FERTILISER INDUSTRIES LTD.
|
IMPOSED PENALTY RS.40,000 ALONG WITH OTHER ENTITIES/PERSONS
23-OCT-2007
|
|
| 3069 |
|
|
YOGESH B.PAREKH
|
|
|
AIDED AND ABETTED PROMOTERS IN CORNERING SHARES OF MAA LEAFIN & CAPITAL LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-FEB-2002 TO 18-FEB-2004
19-FEB-2002
|
SAT: APPEAL ALLOWED
|
| 3070 |
|
|
YOGESH K.KAJI
(PAN:AACPK1999C)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF CLASSIC DIAMONDS (INDIA) LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-MAY-2018 TO 14-MAY-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-MAY-2018 TO 14-MAY-2019
22-SEP-2017
|
SAT: SAT VIDE ITS ORDER DATED 15/11/2017 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 22/09/2017. NO COSTS
SEBI VIDE ITS ORDER DATED 15/05/2018 RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR DEALING IN SECURITIES, EITHER DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH THE SECURITIES MARKET IN ANY MANNER WHATSOEVER, FOR A PERIOD OF ONE YEAR FROM THE DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 25/01/2019 PARTLY ALLOWED THE APPEAL BY REDUCING RESTRAINT ORDER OF PROHIBITING APPELLANT FROM BUYING, SELLING OR DEALING IN SECURITIES EITHER DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER, FOR A PERIOD OF ONE YEAR TO 31/01/2019. NO COSTS
|
| 3071 |
|
|
YOGESH KELA
(PAN:AABPK5633N)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A) AND 8A(3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GLORY POLYFILMS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF GLORY POLYFILMS LTD.
ENTERED INTO OPPOSITE TRANSACTION WITHIN SIX MONTHS FROM PRIOR TRANSACTION VIOLATING CLAUSE 4.2 OF MODEL CODE OF CONDUCT FOR PREVENTION OF INSIDER TRADING FOR LISTED COMPANIES IN SCHEDULE I OF PART A READ WITH REGULATION 12(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF GLORY POLYFILMS LTD.
|
IMPOSED PENALTY RS.4,00,000
25-JUN-2019
|
SEBI VIDE ITS NOTICE DATED 12/01/2021 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1. ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) BY WHATEVER NAME CALLED INCLUDING LOCKERS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS ORDER DATED 17/12/2020 DIRECTED ALL THE BANKS TO REMIT RS.4,80,956.00 TO THE EXTENT LYING IN THE ACCOUNT OF YOGESH KELA BY WAY OF EFT/NEFT/RTGS
|
| 3072 |
|
|
YOGITA MAHESH SAJNANI
(PAN:AINPS8408F)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHERS ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 10/09/2012 REVOKED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/07/2009 AND CONFIRMATORY ORDER DATED 30/10/2009 WITH IMMEDIATE EFFECT
|
| 3073 |
|
|
YOJANA SAKHARE
(PAN:BPQPS6667R)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHER ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 10/09/2012 REVOKED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/07/2009 AND CONFIRMATORY ORDER DATED 30/10/2009 WITH IMMEDIATE EFFECT
|
| 3074 |
|
|
YUGESH SUMATICHANDRA MEHTA
(PAN:AFFPM5967A)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SAFARI INDUSTRIES (INDIA) LTD.
|
IMPOSED PENALTY RS.2,00,000
29-JAN-2014
|
SAT: SAT VIDE ITS ORDER DATED 01/10/2014 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 29/01/2014 AND DIRECTED SEBI TO PASS FRESH ORDER ON MERITS WITHIN FOUR MONTHS FROM THE DATE OF THIS ORDER. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 29/01/2015 GRANTED EXTENSION OF TWO MONTHS TO SEBI FOR PASSING FINAL ORDER
SEBI VIDE ITS ORDER DATED 27/03/2015 IMPOSED PENALTY OF RS.200000.00 UNDER SECTION 15A(B)
SAT: SAT VIDE ITS ORDER DATED 20/11/2015 SET ASIDED THE ORDER PASSED BY SEBI AND RESTORE THE APPEALS TO THE FILE OF SEBI FOR PASSING FRESH ORDER ON MERITS. NO COS
SEBI VIDE ITS ORDER DATED 28/07/2017 RE-IMPOSED PENALTY OF RS.2,00,000.00 U/S 15A(B) OF SEBI ACT ON THE NOTICEES MR.AMUL SUMATICHANDRA MEHTA, MR.YUGESH SUMATICHANDRA MEHTA, MR.AKUL YUGESH MEHTA, MR.JAYENDRA YUGESH MEHTA, MS.MRUDULA AMUL MEHTA, MS.MAITRI AMUL MEHTA, MS.RACHNA AMUL MEHTA, MS.SUNALI YUGESH MEHTA, SENATOR INVESTMENT PVT.LTD., TOURISTOR INVESTMENTS PVT.LTD., YUG INVESTMENT PVT.LTD. AND MR.AMUL SUMATICHANDRA MEHTA (HUF)
|
| 3075 |
|
|
YUNUS A.KATHAWALA
(PAN:AACPK0479R)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF UNION QUALITY PLASTICS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF UNION QUALITY PLASTICS LTD.
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF UNION QUALITY PLASTICS LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 10(5) AND 10(6) OF SAST REGULATIONS, 2011 IN MATTER OF UNION QUALITY PLASTICS LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF UNION QUALITY PLASTICS LTD.
|
IMPOSED PENALTY RS.7,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-AUG-2021
|
|
| 3076 |
|
|
ZAINAB M.LAILA
|
|
|
|
OXFORD INDUSTRIES LTD.
|
|
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-AUG-2002
|
SAT: ORDER UPHELD AND PENALTY AMOUNT REDUCED TO RS.50,000.NO ORDER AS TO COSTS
|
| 3077 |
|
|
ZAKIR S.VALI
(PAN:ABCPV6541L)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ZIM LABORATORIES LTD.
|
IMPOSED PENALTY RS.50,00,000 ALONG WITH OTHER ENTITIES/PERSONS
23-APR-2012
|
SAT: SAT VIDE ITS ORDER DATED 01/11/2012 REDUCED THE PENALTY AMOUNT TO RS.10 LACS FROM RS.50 LACS
INCLUDED IN SEBI LIST DATED 30/06/2013, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 3078 |
|
|
ZUZAR AHMEDALLY KATHAWALA
(PAN:AAEPK7148K)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF UNION QUALITY PLASTICS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF UNION QUALITY PLASTICS LTD.
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF UNION QUALITY PLASTICS LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 10(5) AND 10(6) OF SAST REGULATIONS, 2011 IN MATTER OF UNION QUALITY PLASTICS LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF UNION QUALITY PLASTICS LTD.
|
IMPOSED PENALTY RS.7,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-AUG-2021
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
| |
| Page 154 of 154
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