| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ALKA SURANA
|
|
|
|
SURANA INDUSTRIES LTD.
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT IN STIPULATED TIME AS REQUIRED UNDER REGULATION 11(2) READ WITH 14(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 70,00,000 EQUITY SHARES OF SURANA INDUSTRIES LTD.
|
DIRECTED TO INITIATE ADJUDICATION PROCEEDINGS
22-JUL-2010
|
|
| 2 |
|
|
ANKIT RAJENDRA SANCHANIYA
(PAN:BLNPS3316L)
|
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE ORDER NO.WTM/KMA/ISD/353/02/2011 DATED 02/02/2011
|
DIRECTED TO INITIATE ADJUDICATION PROCEEDINGS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JAN-2019 TO 30-JAN-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JAN-2019 TO 30-JAN-2026
10-MAY-2013
|
SEBI VIDE ITS ORDER DATED 31/01/2019 DIRECTED TO 1) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER FOR SEVEN YEARS FROM DATE OF THIS ORDER
SEBI VIDE ITS NOTICE DATED 24/03/2022 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS 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
SAT: SAT VIDE ITS ORDER DATED 04/03/2020 UPHELD IMPUGNED ORDER DATED 31/01/2019 AND REMITTED THE MATTER TO SEBI TO A) BRING OUT DATE-WISE DETAILS OF REVERSAL TRADES IN RESPECT OF THE TRADING NOTICEES B) BRING OUT CALCULATION OF PROFITES IN RESPECT OF ALL THE TRADING NOTICEES C) RECALCULATE AMOUNT OF DISGORGEMENT AGAINST APPELLANTS AND PASS ORDER WITHIN THREE MONTHS FROM DATE OF THIS ORDER AFTER GIVING OPPORTUNITY OF HEARING
SEBI VIDE ITS NOTICE DATED 25/02/2022 DIRECTED TO PAY RS.5,67,85,432.79 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 27/06/2022 DIRECTED ALL THE BANKS TO REMIT RS.5,67,85,432.79 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 3 |
|
|
BHAVESH PRAKASH PABARI
(PAN:AKGPP8679N)
|
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE ORDER NO.WTM/KMA/ISD/353/02/2011 DATED 02/02/2011
|
DIRECTED TO INITIATE ADJUDICATION PROCEEDINGS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JAN-2019 TO 30-JAN-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JAN-2019 TO 30-JAN-2026
10-MAY-2013
|
SEBI VIDE ITS ORDER DATED 31/01/2019 DIRECTED TO 1) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER FOR SEVEN YEARS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 04/03/2020 UPHELD IMPUGNED ORDER DATED 31/01/2019 AND REMITTED THE MATTER TO SEBI TO A) BRING OUT DATE-WISE DETAILS OF REVERSAL TRADES IN RESPECT OF THE TRADING NOTICEES B) BRING OUT CALCULATION OF PROFITES IN RESPECT OF ALL THE TRADING NOTICEES C) RECALCULATE AMOUNT OF DISGORGEMENT AGAINST APPELLANTS AND PASS ORDER WITHIN THREE MONTHS FROM DATE OF THIS ORDER AFTER GIVING OPPORTUNITY OF HEARING
SAT: SAT VIDE ITS ORDER DATED 03/06/2020 DIRECTED SEBI TO DECIDE THE MATTER IN TERMS OF ORDER DATED 04/03/2020 ON OR BEFORE 15/08/2020 AFTER GIVING OPPORTUNITY OF HEARING TO THE APPELLANTS
SEBI VIDE ITS NOTICE DATED 25/02/2022 DIRECTED TO PAY RS.5,67,85,432.79 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 24/03/2022 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS 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 27/06/2022 DIRECTED ALL THE BANKS TO REMIT RS.5,67,85,432.79 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 4 |
|
|
CHANDANBALA SURANA
|
|
|
|
SURANA INDUSTRIES LTD.
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT IN STIPULATED TIME AS REQUIRED UNDER REGULATION 11(2) READ WITH 14(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 70,00,000 EQUITY SHARES OF SURANA INDUSTRIES LTD.
|
DIRECTED TO INITIATE ADJUDICATION PROCEEDINGS
22-JUL-2010
|
|
| 5 |
|
|
DINESHCHAND SURANA
|
|
|
|
SURANA INDUSTRIES LTD.
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT IN STIPULATED TIME AS REQUIRED UNDER REGULATION 11(2) READ WITH 14(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 70,00,000 EQUITY SHARES OF SURANA INDUSTRIES LTD.
|
DIRECTED TO INITIATE ADJUDICATION PROCEEDINGS
22-JUL-2010
|
|
| 6 |
|
|
G.R.SURANA
|
|
|
|
SURANA INDUSTRIES LTD.
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT IN STIPULATED TIME AS REQUIRED UNDER REGULATION 11(2) READ WITH 14(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 70,00,000 EQUITY SHARES OF SURANA INDUSTRIES LTD.
|
DIRECTED TO INITIATE ADJUDICATION PROCEEDINGS
22-JUL-2010
|
|
| 7 |
|
|
GAYATRI 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
|
|
| 8 |
|
|
GHANSHYAM 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
|
|
| 9 |
|
|
HEMANT MADHUSUDAN SETH
(PAN:ANOPS8607E)
|
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE ORDER NO.WTM/KMA/ISD/353/02/2011 DATED 02/02/2011
|
DIRECTED TO INITIATE ADJUDICATION PROCEEDINGS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JAN-2019 TO 30-JAN-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JAN-2019 TO 30-JAN-2026
10-MAY-2013
|
SEBI VIDE ITS ORDER DATED 31/01/2019 DIRECTED TO 1) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER FOR SEVEN YEARS FROM DATE OF THIS ORDER
SEBI VIDE ITS NOTICE DATED 24/03/2022 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS 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
SAT: SAT VIDE ITS ORDER DATED 04/03/2020 UPHELD IMPUGNED ORDER DATED 31/01/2019 AND REMITTED THE MATTER TO SEBI TO A) BRING OUT DATE-WISE DETAILS OF REVERSAL TRADES IN RESPECT OF THE TRADING NOTICEES B) BRING OUT CALCULATION OF PROFITES IN RESPECT OF ALL THE TRADING NOTICEES C) RECALCULATE AMOUNT OF DISGORGEMENT AGAINST APPELLANTS AND PASS ORDER WITHIN THREE MONTHS FROM DATE OF THIS ORDER AFTER GIVING OPPORTUNITY OF HEARING
SAT: SAT VIDE ITS ORDER DATED 03/06/2020 DIRECTED SEBI TO DECIDE THE MATTER IN TERMS OF ORDER DATED 04/03/2020 ON OR BEFORE 15/08/2020 AFTER GIVING OPPORTUNITY OF HEARING TO THE APPELLANTS
SEBI VIDE ITS NOTICE DATED 25/02/2022 DIRECTED TO PAY RS.5,67,85,432.79 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 27/06/2022 DIRECTED ALL THE BANKS TO REMIT RS.5,67,85,432.79 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 10 |
|
|
K.P.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
|
|
| 11 |
|
|
KUMUDINI 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
|
|
| 12 |
|
|
NANDITA 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
|
|
| 13 |
|
|
NIVEDITA 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
|
|
| 14 |
|
|
PREM MOHANLAL PARIKH
(PAN:ALHPP3489N)
|
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE ORDER NO.WTM/KMA/ISD/353/02/2011 DATED 02/02/2011
|
DIRECTED TO INITIATE ADJUDICATION PROCEEDINGS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JAN-2019 TO 30-JAN-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JAN-2019 TO 30-JAN-2026
10-MAY-2013
|
SEBI VIDE ITS ORDER DATED 31/01/2019 DIRECTED TO 1) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER FOR SEVEN YEARS FROM DATE OF THIS ORDER
SEBI VIDE ITS NOTICE DATED 24/03/2022 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS 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
SAT: SAT VIDE ITS ORDER DATED 04/03/2020 UPHELD IMPUGNED ORDER DATED 31/01/2019 AND REMITTED THE MATTER TO SEBI TO A) BRING OUT DATE-WISE DETAILS OF REVERSAL TRADES IN RESPECT OF THE TRADING NOTICEES B) BRING OUT CALCULATION OF PROFITES IN RESPECT OF ALL THE TRADING NOTICEES C) RECALCULATE AMOUNT OF DISGORGEMENT AGAINST APPELLANTS AND PASS ORDER WITHIN THREE MONTHS FROM DATE OF THIS ORDER AFTER GIVING OPPORTUNITY OF HEARING
SEBI VIDE ITS NOTICE DATED 25/02/2022 DIRECTED TO PAY RS.5,67,85,432.79 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 27/06/2022 DIRECTED ALL THE BANKS TO REMIT RS.5,67,85,432.79 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 15 |
|
|
R.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
|
|
| 16 |
|
|
SARALA DEVI SURANA
|
|
|
|
SURANA INDUSTRIES LTD.
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT IN STIPULATED TIME AS REQUIRED UNDER REGULATION 11(2) READ WITH 14(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 70,00,000 EQUITY SHARES OF SURANA INDUSTRIES LTD.
|
DIRECTED TO INITIATE ADJUDICATION PROCEEDINGS
22-JUL-2010
|
|
| 17 |
|
|
SHANTILAL SURANA
|
|
|
|
SURANA INDUSTRIES LTD.
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT IN STIPULATED TIME AS REQUIRED UNDER REGULATION 11(2) READ WITH 14(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 70,00,000 EQUITY SHARES OF SURANA INDUSTRIES LTD.
|
DIRECTED TO INITIATE ADJUDICATION PROCEEDINGS
22-JUL-2010
|
|
| 18 |
|
|
SUNITA 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
|
|
| 19 |
|
|
VASANTHA SURANA
|
|
|
|
SURANA INDUSTRIES LTD.
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT IN STIPULATED TIME AS REQUIRED UNDER REGULATION 11(2) READ WITH 14(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 70,00,000 EQUITY SHARES OF SURANA INDUSTRIES LTD.
|
DIRECTED TO INITIATE ADJUDICATION PROCEEDINGS
22-JUL-2010
|
|
| 20 |
|
|
VIJAYRAJ SURANA
(DIN:00007313)
|
|
|
|
SURANA INDUSTRIES LTD.
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT IN STIPULATED TIME AS REQUIRED UNDER REGULATION 11(2) READ WITH 14(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 70,00,000 EQUITY SHARES OF SURANA INDUSTRIES LTD.
|
DIRECTED TO INITIATE ADJUDICATION PROCEEDINGS
22-JUL-2010
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
| |
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