| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ASHOK NARAYAN WAJE
|
|
|
COLLUDED TO MISUSE STOCK EXCHANGE MECHANISM TO PROFITABLY EXIT FROM THEIR POSITIONS IN SCRIP OF RTS POWER CORP.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-OCT-2021 TO 26-OCT-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-OCT-2021 TO 26-OCT-2023
05-JUN-2009
|
AD-INTERIM EX-PARTE ORDER DATED 05/06/2009 CONFIRMED, VIDE ORDER DATED 18/11/2009
SAT: SINCE INVESTIGATIONS ARE STILL CONTINUING, NOT APPROPRIATE TO EXAMINE MERITS OF ISSUES. APPEAL DISMISSED WITH NO ORDER AS TO COSTS
SEBI VIDE ITS ORDER DATED 27/10/2021 RESTRAINED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FOR A FURTHER PERIOD OF TWO YEARS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 13/06/2022 DIRECTED RESPONDENT TO FILE THE REPLY WITHIN A WEEK FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS THEREAFTER
SAT: SAT: SAT: SAT VIDE ITS ORDER DATED 13/07/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 11/10/2022 ALLOWED APPELLANTS FURTHER TWO WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 04/08/2023 DISMISSED THE APPEAL. NO COSTS
|
| 2 |
|
|
CHETAN SHAH
(PAN:AAFPS7527M)
|
|
|
COLLUDED TO MISUSE STOCK EXCHANGE MECHANISM TO PROFITABLY EXIT FROM THEIR POSITIONS IN SCRIP OF RTS POWER CORP.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-OCT-2021 TO 26-OCT-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-OCT-2021 TO 26-OCT-2023
DIRECTED BSE TO WITHHOLD PAYOUT OF 11/02/2009 OF HETAL PATEL AND CHETAN SHAH IN SEPARATE ESCROW ACCOUNT
05-JUN-2009
|
SAT: APPEALS FILED BY NETWORTH STOCK BROKING LTD., GEOJIT BNP PARIBAS FINANCIAL SERVICES LTD. AND DAWNAY DAY A V SECURITIES PVT.LTD. TO WITHHELD THE PAYOUT TO OTHER BROKERS, DISMISSED AS PREMATURE. WITH NO ORDER AS TO COSTS
AD-INTERIM EX-PARTE ORDER DATED 05/06/2009 CONFIRMED, VIDE ORDER DATED 26/10/2009
APPEAL DISPOSSED OFF WITH A DIRECTION TO SEBI TO COMPLETE THE INVESTIGATION BY 30/06/2010.
SEBI VIDE ITS ORDER DATED 27/10/2021 RESTRAINED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FOR A FURTHER PERIOD OF TWO YEARS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 13/06/2022 DIRECTED RESPONDENT TO FILE THE REPLY WITHIN A WEEK FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS THEREAFTER
SAT: SAT: SAT VIDE ITS ORDER DATED 13/07/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 11/10/2022 ALLOWED APPELLANTS FURTHER TWO WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 04/08/2023 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 27/10/2021
|
| 3 |
|
|
HETAL RAJESH PATEL
(PAN:AQUPP6130E)
|
|
|
COLLUDED TO MISUSE STOCK EXCHANGE MECHANISM TO PROFITABLY EXIT FROM THEIR POSITIONS IN SCRIP OF RTS POWER CORP.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-OCT-2021 TO 26-OCT-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-OCT-2021 TO 26-OCT-2023
DIRECTED BSE TO WITHHOLD PAYOUT OF 11/02/2009 OF HETAL PATEL AND CHETAN SHAH IN SEPARATE ESCROW ACCOUNT
05-JUN-2009
|
SAT: APPEALS FILED BY NETWORTH STOCK BROKING LTD., GEOJIT BNP PARIBAS FINANCIAL SERVICES LTD. AND DAWNAY DAY A V SECURITIES PVT.LTD. TO WITHHELD THE PAYOUT TO OTHER BROKERS, DISMISSED AS PREMATURE. WITH NO ORDER AS TO COSTS
SAT: APPELLANT APPLIED TO WITHDRAW APPEAL WITH LIBERTY TO CHALLENGE ORDER. APPEAL BECOME INFRUCTUOUS AS INVESTIGATION PENDING. APPEAL DISMISSED WITH NO ORDER AS TO COSTS
SEBI VIDE ITS NOTICE DATED 05/06/2024 DIRECTED TO PAY RS.13,71,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 21/06/2024 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS 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 NOTICE DATED 22/07/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.13,81,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 4 |
|
|
MUKESH G.KONDE
|
|
|
COLLUDED TO MISUSE STOCK EXCHANGE MECHANISM TO PROFITABLY EXIT FROM THEIR POSITIONS IN SCRIP OF RTS POWER CORP.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-OCT-2021 TO 26-OCT-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-OCT-2021 TO 26-OCT-2023
05-JUN-2009
|
AD-INTERIM EX-PARTE ORDER DATED 05/06/2009 CONFIRMED, VIDE ORDER DATED 18/11/2009
SAT: APPEAL DISMISSED AS WITHDRAWN
SEBI VIDE ITS ORDER DATED 27/10/2021 RESTRAINED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FOR A FURTHER PERIOD OF TWO YEARS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 13/06/2022 DIRECTED RESPONDENT TO FILE THE REPLY WITHIN A WEEK FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS THEREAFTER
SAT: SAT: SAT: SAT VIDE ITS ORDER DATED 13/07/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 11/10/2022 ALLOWED APPELLANTS FURTHER TWO WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 04/08/2023 DISMISSED THE APPEAL. NO COSTS
|
| 5 |
|
|
NITESH ASHOK JADHAV
|
|
|
COLLUDED TO MISUSE STOCK EXCHANGE MECHANISM TO PROFITABLY EXIT FROM THEIR POSITIONS IN SCRIP OF RTS POWER CORP.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-OCT-2021 TO 26-OCT-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-OCT-2021 TO 26-OCT-2023
05-JUN-2009
|
AD-INTERIM EX-PARTE ORDER DATED 05/06/2009 CONFIRMED, VIDE ORDER DATED 18/11/2009
SAT: APPEAL DISMISSED LEAVING PARTIES TO BEAR THEIR OWN COSTS
SEBI VIDE ITS ORDER DATED 27/10/2021 RESTRAINED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FOR A FURTHER PERIOD OF TWO YEARS FROM DATE OF THIS ORDER
|
| 6 |
|
|
RAJESH PATEL
|
|
|
COLLUDED TO MISUSE STOCK EXCHANGE MECHANISM TO PROFITABLY EXIT FROM THEIR POSITIONS IN SCRIP OF RTS POWER CORP.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-OCT-2021 TO 26-OCT-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-OCT-2021 TO 26-OCT-2023
05-JUN-2009
|
AD-INTERIM EX-PARTE ORDER DATED 05/06/2009 CONFIRMED, VIDE ORDER DATED 26/10/2009
SAT: APPEAL DISPOSSED OFF WITH DIRECTION TO SEBI TO EXPEDITIOUSLY COMPLETE INVESTIGATIONS BUT NOT LATER THAN 30/06/2010.NO ORDER AS TO COSTS.
SEBI VIDE ITS ORDER DATED 27/10/2021 RESTRAINED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FOR A FURTHER PERIOD OF TWO YEARS FROM DATE OF THIS ORDER
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
