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SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
UPDATED TILL : 29-APR-2025

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

COMPANIES: WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
81 
History of entity/person PNR SECURITIES LTD.  
  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF SURYA ROSHNI LTD.  WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

30-MAR-2010
82 
History of entity/person PRAVEENCHANDRA AMICHAND (HUF)

(PAN:AAFHP5115A)  
  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.  WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

31-AUG-2020
83 
History of entity/person PRIME CAPITAL MARKET LTD.  
History of entity/person SIBU PD.SINGH
History of entity/person VIMAL JOSHI
  		INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF PRIME CAPITAL MARKET LTD.  WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

14-DEC-2009
84 
History of entity/person RAMESH CHALLANI (HUF)

(PAN:AALHR9880C)  
  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.  WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

31-AUG-2020
85 
History of entity/person ROBINSON WORLDWIDE TRADE LTD.  
  ISSUED FALSE AND MISLEADING CORPORATE ANNOUNCEMENTS IN MATTER OF ROBINSON WORLDWIDE TRADE LTD.  WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

10-SEP-2015
86 
History of entity/person ROCKET TIPS

(PAN:AGPPJ1611H)  
History of entity/person MEHUL PRAVINBHAI JIYANI

(PAN:AGPPJ1611H)
  		ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION

SUBMITTED FALSE INFORMATION AND CONCEALED MATERIAL INFORMATION FROM SEBI IN THE APPLICATION TO OBTAIN REGISTRATION AS RESEARCH ANALYST  		WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

09-JAN-2024
87 
History of entity/person SAMIR SURESHCHANDRA SHAH (HUF)

(PAN:AAHHS5122G)  
History of entity/person SAMIR SURESHCHANDRA SHAH

(PAN:AGEPS0157L)
  		INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH REVERSAL OF TRADE TRANSACTIONS, SYNCHRONIZED, SELF TRADE AND OFF MARKET TRANSACTIONS IN SCRIP OF CRAZY INFOTECH LTD.  WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

10-FEB-2015
88 
History of entity/person SANGHVI SANJAY MADANLAL (HUF)  
  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.  WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

31-AUG-2020
89 
History of entity/person SHEETAL S.MEHTA (HUF)

(PAN:AAFHS8024K)  
  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.  WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

31-AUG-2020
90 
History of entity/person SHILPA MEDICARE LTD.

(PAN:AADCS8788F)  
  DID NOT MAKE DISCLOSURE OF INFORMATION PERTAINING TO REGULATORY ACTION WITH IMPACT VIOLATING CLAUSE 8 OF PARA B OF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015

DID NOT MAKE COMPLETE AND ADEQUATE DISCLOSURE TO STOCK EXCHANGES OF MATERIAL INFORMATION VIOLATING REGULATIONS 4(1)(D) AND 30(1) SEBI (LODR) REGULATIONS, 2015

DID NOT MAKE COMPLETE AND ADEQUATE DISCLOSURE TO STOCK EXCHANGES OF MATERIAL INFORMATION VIOLATING SECTION 21 OF SCRA, 1956 READ WITH CLAUSE 2(I) OF LISTING AGREEMENT  		WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

30-JUN-2022
91 
History of entity/person SIC STOCKS & SERVICES PVT.LTD.  
History of entity/person GITA HANDA
History of entity/person SIDHARTH HANDA
  		INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS, SYNCHRONIZED TRANSACTIONS AND SELF-TRADES IN SCRIP OF VERTEX SPINNING LTD.  WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

21-SEP-2021
92 
History of entity/person SRP INVESTMENT  
  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KARISHMA FLORICULTURE LTD.  WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

19-JUL-2011
93 
History of entity/person STATE BANK OF INDIA

(PAN:AAACS8577K)  
  SPONSORED MORE THAN ONE MUTUAL FUND AND HOLD MORE THAN 10% SHAREHOLDING IN MORE THAN ONE AMC AND TRUSTEE COMPANY VIOLATING REGULATION 7B OF SEBI (MF) REGULATIONS, 1996  WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

14-AUG-2020 		SAT: SAT VIDE ITS ORDER DATED 07/01/2021 PARTLY ALLOWED THE APPEAL BY SUBSTITUTING PENALTY OF RS.10 LACS TO WARNING. NO COSTS
94 
History of entity/person SUFFOLK (MAURITIUS) LTD.

(PAN:AALCS8892G)  
  MADE OFFER FOR SALE OF SHARES TO SUBSEQUENTLY GET THE SHARES OF ASTRAZENECA PHARMA INDIA LTD.DELISTED  WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

DIRECT THAT FRESH DELISTING PROPOSAL INITIATED BY PROMOTER COMPANY ANYTIME IN FUTURE, SAME SHALL BE INITIATED ONLY AFTER OBSERVING EXTANT PROVISIONS OF SEBI ACT AND REGULATIONS FRAMED THEREUNDER AND IN LETTER AND SPIRIT

DIRECTED BSE AND NSE TO CLOSELY MONITOR ENTIRE DELISTING PROCESS OF ASTRAZENECA PHARMA INDIA LTD.

05-JUN-2020
95 
History of entity/person SUMAN NURSERY  
  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KARISHMA FLORICULTURE LTD.  WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

19-JUL-2011
96 
History of entity/person SURYA AGROILS LTD.  
History of entity/person RAJESH KAPOOR
  		ACCEPTED APPLICATIONS AFTER CLOSURE OF RIGHTS ISSUE AND ALLOTTED SHARES WITHOUT RECEIPT OF APPLICATION MONEY IN MATTER OF RIGHTS ISSUE OF SURYA AGROILS LTD.  WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

30-SEP-2009
97 
History of entity/person TATA MOTORS LTD.

(PAN:AAACT2727Q)  
  FALSIFIED BOOKS OF ACCOUNTS OF NISKALP BY BACK DATING TRANSACTIONS OF SALE OF SHARES OF GLOBAL TELESYSTEMS LTD. AND GLOBAL E-COMMERCE SERVICES LTD. AND THEN MADE REVERSAL OF THESE TRADE

DID NOT MAKE DISCLOSURE OF TRUE AND CORRECT FINANCIAL STATUS TO STAKEHOLDERS AND CONCEALED MATERIAL FACTS IN OFFER DOCUMENT OF RIGHTS ISSUEOF TATA FINANCE LTD. IN MATTER OF GLOBAL TELESYSTEMS LTD. AND GLOBAL E-COMMERCE SERVICES LTD.  		WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

09-JUN-2022
98 
History of entity/person TECHNOCRAT MARKETING PVT.LTD.  
History of entity/person HARISH KUMAR
  		INDULGED IN CREATING FALSE AND MISLEADING APPEARANCE OF TRADING IN SHARES OF ELECTROLUX KELVINATOR LTD.  WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

20-AUG-2008
99 
History of entity/person UMANG PROJECTS LTD.

(PAN:AAACU8715B)  
  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.  WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

31-AUG-2020 		SAT: SAT VIDE ITS ORDER DATED 17/11/2020 STAYED IMPUGNED ORDER IN SO FAR THE APPELLANT IS CONCERNED

SAT: SAT VIDE ITS ORDER DATED 08/06/2022 DIRECTED APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS FROM DATE OF THIS ORDER

SAT: SAT VIDE ITS ORDER DATED 03/01/2023 DISMISSED THE APPEAL. NO COSTS
100 
History of entity/person URJA GLOBAL LTD.

(PAN:AAACC0367M)  
History of entity/person ADITYA VENKETESH

(PAN:AGHPV8923A)
History of entity/person BHARAT PRANJIVANDAS MERCHANT

(PAN:ANGPM6837N)
  		ISSUED FALSE AND MISLEADING CORPORATE ANNOUNCEMENTS IN MATTER OF URJA GLOBAL LTD.  WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

13-MAY-2022
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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