| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
A.D.REBELLO
(PAN:AAUPR3517P)
|
|
|
|
DLF HOME DEVELOPERS LTD.
(PAN:AACCD0037H)
|
|
AIDED AND ABETTED DLF LTD., ITS NON-INDEPENDENT DIRECTORS AND CFO IN THE ARTIFICE OF CAMOUFLAGING THE ASSOCIATION OF SUDIPTI AS DISSOCIATION IN MATTER OF IPO OF DLF LTD.
|
IMPOSED PENALTY RS.5,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
26-FEB-2015
|
SAT: SAT VIDE ITS ORDER DATED 25/04/2018 DISPOSED OFF THE APPEALS & INTERVENTION APPLICATION WITH A DIRECTION THAT THESE APPEALS & INTERVENTION APPLICATION SHALL STAND AUTOMATICALLY REVIVED ONCE THE APEX COURT DISPOSES THE CIVIL APPEALS FILED BY SEBI AGAINST THE DECISION OF SAT DATED 13/03/2015. NO COSTS
|
| 2 |
|
|
A.K.GUPTA
(PAN:AAAPG0657R)
|
|
|
|
DLF HOME DEVELOPERS LTD.
(PAN:AACCD0037H)
|
|
AIDED AND ABETTED DLF LTD., ITS NON-INDEPENDENT DIRECTORS AND CFO IN THE ARTIFICE OF CAMOUFLAGING THE ASSOCIATION OF SUDIPTI AS DISSOCIATION IN MATTER OF IPO OF DLF LTD.
|
IMPOSED PENALTY RS.5,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
26-FEB-2015
|
SAT: SAT VIDE ITS ORDER DATED 25/04/2018 DISPOSED OFF THE APPEALS & INTERVENTION APPLICATION WITH A DIRECTION THAT THESE APPEALS & INTERVENTION APPLICATION SHALL STAND AUTOMATICALLY REVIVED ONCE THE APEX COURT DISPOSES THE CIVIL APPEALS FILED BY SEBI AGAINST THE DECISION OF SAT DATED 13/03/2015. NO COSTS
|
| 3 |
|
|
A.X.N.PRABHU
|
|
|
|
SMR UNIVERSAL SOFTECH LTD.
|
|
ISSUED MISLEADING ADVERTISEMENT OF BUYBACK OF SHARES OF SMR UNIVERSAL SOFTECH LTD. AND ALSO FAILED TO TAKE CONCLUSIVE ACTION THEREON
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-FEB-2008 TO 24-FEB-2010
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-FEB-2008 TO 24-FEB-2010
25-FEB-2008
|
|
| 4 |
|
|
AARTI RAJKUMAR BASANTANI
|
|
|
ISSUED FALSE AND MISLEADING CORPORATE ANNOUNCEMENTS RELATED TO ISSUANCE OF EQUITY SHARES THROUGH PREFERENTIAL ALLOTMENT, ISSUANCE OF REDEEMABLE PREFERENCE SHARES, INTERIM DIVIDEND AND BONUS SHARES IN MATTER OF ADAM COMSOF LTD.
|
IMPOSED PENALTY RS.5,00,000
19-MAR-2010
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SAT: SAT VIDE ITS ORDER DATED 12/03/2018 CONDONED THE DELAY OF 130 DAYS IN FILING OF APPEAL. APPEAL ALLOWED, QUASHED AND SET ASIDED IMPUGNED ORDER DATED 19/03/2010. NO COSTS
|
| 5 |
|
|
AARTI RAJKUMAR BASANTANI
|
|
|
INDULGED IN DISSEMINATION OF MISLEADING INFORMATION LEADING TO PRICE MANIPULATION IN THE SCRIP OF KOLAR BIOTECH LTD., SOUNDCRAFT INDUSTRIES LTD. & ADAM COMSOF LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-SEP-2004 TILL INVESTIGATIONS COMPLETED
30-SEP-2004
|
|
| 6 |
|
|
AASHISH MAHAWAR
|
|
|
|
MEET CORP.
|
|
INDULGED IN CARRYING OUT SUSPICIOUS BANKING TRANSACTIONS AND APPEAR TO HAVE CHANNELED THESE FUNDS EITHER DIRECTLY OR INDIRECTLY IN STOCK MARKET IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-APR-2009 TILL FURTHER ORDERS
DIRECTED INCOME TAX DEPARTMENT TO TAKE NECESSARY ACTIONS IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
23-APR-2009
|
SAT: SAT VIDE ITS ORDER DATED 12/11/2013 VACATED RESTRAINT ORDER PASSED VIDE EX-PARTE AD-INTERIM ORDER DATED 23/04/2009. NO ORDER AS TO COSTS
SEBI VIDE ITS ORDER DATED 31/03/2015 DISPOSED OFF THE PROCEEDINGS WITHOUT ANY FURTHER ORDERS, SINCE PROHIBITION AGAINST THE ENTITIES NEED NOT TO BE CONTINUED
|
| 7 |
|
|
ABHIRAMBHAI NATHWANI
(PAN:ADSPN7560P)
|
|
|
INDULGED IN SENDING BULK SMS WITH TRADING RECOMMENDATIONS IN MATTER OF KALPA COMMERCIAL LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-APR-2018 UNTIL FURTHER ORDERS
DIRECTED TO CEASE & DESIST FROM DISSEMINATING NEWS OR MESSAGES IN ANY FORM RELATED TO SECURITIES MARKET, BY ANY MEANS WHATSOEVER
27-APR-2018
|
SEBI VIDE ITS ORDER DATED 26/09/2018 REVOKED ITS DIRECTION ISSUED VIDE ITS INTERIM ORDER DATED 27/04/2018
|
| 8 |
|
|
ABHISHEK ASHOKA
(PAN:AEBPA9685A)
|
|
|
INDULGED IN SENDING BULK SMS WITH TRADING RECOMMENDATIONS IN MATTER OF KALPA COMMERCIAL LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-APR-2018 UNTIL FURTHER ORDERS
DIRECTED TO CEASE & DESIST FROM DISSEMINATING NEWS OR MESSAGES IN ANY FORM RELATED TO SECURITIES MARKET, BY ANY MEANS WHATSOEVER
27-APR-2018
|
SEBI VIDE ITS ORDER DATED 26/09/2019 CONFIRMED ITS DIRECTION ISSUED VIDE ITS INTERIM ORDER DATED 27/04/2018
SEBI VIDE ITS ORDER DATED 05/02/2021 REVOKED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER READ WITH CONFIRMATORY ORDER DATED 26/09/2019
|
| 9 |
|
|
ABHISHEK RAJESH MEHTA
(PAN:AGCPM6239M)
|
|
|
DEALT IN SECURITIES WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 12A(D) & (E) AND 3(I) & 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ACCLAIM INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF PRICE SENSITIVE INFORMATION TO STOCK EXCHANGES IN MATTER OF ACCLAIM INDUSTRIES LTD.
|
IMPOSED PENALTY RS.42,00,000
25-JAN-2019
|
SEBI VIDE ITS NOTICE DATED 23/12/2019 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 31/08/2023 A) PROHIBITED FROM DISPOSING, TRANSFERRING, ALIENATING OR CHARGING IN RESPECT OF ALL THE IMMOVABLE AND MOVABLE PROPERTIES LISTED IN THE ORDER B) PROHIBITED FROM TAKING ANY BENEFIT UNDER SUCH DISPOSAL, TRANSFER, ALIENATION OR CHARGE IN RESPECT OF THE PROPERTIES LISTED IN ORDER C) DIRECTED TO FURNISH THE COMPLETE DETAILS OF ALL MOVABLE AND IMMOVABLE PROPERTIES HELD BY DEFAULTER AND CHARGES, IF ANY, WITHIN ONE WEEK FROM DATE OF THIS ORDER AT SEBI HEAD OFFICE, MUMBAI D) DIRECTED INSPECTORS GENERAL OF REGISTRATION AND CONTROLLER OF STAMPS OF MAHARASHTRA STATE, SUB-REGISTRARS OF THE RESPECTIVE AREAS WHERE THE PROPERTIES ARE LOCATED E) NOT TO ACT UPON ANY DOCUMENTS PURPORTING TO BE DEALING WITH TRANSFER, MORTGAGE, CHARGE, LEASE OR CREATION OR ALTERATION OF ANY INTEREST IN ANY OF THE PROPERTIES OWNED/HELD BY THE DEFAULTERS, IF PRESENTED FOR REGISTRATION
|
| 10 |
|
|
ADITYA VENKETESH
(PAN:AGHPV8923A)
|
|
|
|
URJA GLOBAL LTD.
(PAN:AAACC0367M)
|
|
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
|
|
| 11 |
|
|
AGA RASOOL MIRKHOSAL
|
|
|
|
E.STAR INFOTECH LTD.
|
|
ISSUED MISLEADING ADVERTISEMENT OF ANNOUNCEMENT OF BONUS ISSUE OF SHARES OF E-STAR INFOTECH LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-FEB-2008 TO 12-FEB-2010
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-FEB-2008 TO 12-FEB-2010
13-FEB-2008
|
|
| 12 |
|
|
AJAY DIXIT
|
|
|
|
KUSH HINDUSTAN ENTERTAINMENT LTD.
|
|
INDULGED IN CARRYING OUT SUSPICIOUS BANKING TRANSACTIONS AND APPEAR TO HAVE CHANNELED THESE FUNDS EITHER DIRECTLY OR INDIRECTLY IN STOCK MARKET IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-APR-2009 TILL FURTHER ORDERS
DIRECTED INCOME TAX DEPARTMENT TO TAKE NECESSARY ACTIONS IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
23-APR-2009
|
SAT: SAT VIDE ITS ORDER DATED 04/10/2012 STAYED THE DIRECTIONS PASSED BY SEBI VIDE ITS ORDER DATED 23/04/2009
SEBI VIDE ITS ORDER DATED 31/03/2015 DISPOSED OFF THE PROCEEDINGS WITHOUT ANY FURTHER ORDERS, SINCE PROHIBITION AGAINST THE ENTITIES NEED NOT TO BE CONTINUED
|
| 13 |
|
|
AJAY GUPTA
|
|
|
ISSUED MISLEADING ADVERTISEMENT/ADVICES/RECOMMENDATIONS ON WEBSITE ABOUT INVESTMENT IN SECURITIES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-JAN-2009 TO 13-FEB-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-JAN-2009 TO 13-FEB-2009
14-JAN-2009
|
|
| 14 |
|
|
AJAY GUPTA
(PAN:ABMPG0822F)
|
|
|
|
VAANI FABRICS
(PAN:AATHR5899F)
|
|
|
GOLDLEAF INTERNATIONAL PVT.LTD.
(PAN:AABCG6705E)
|
|
|
SUPREME TEX MART LTD.
|
|
INDULGED IN SENDING BULK SMS WITH BUY RECOMMENDATIONS WITH ULTIMATE GOAL OF OFFLOADING SHAREHOLDING OF PROMOTERS/DIRECTORS IN MATTER OF SUPREME TEX MART LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-NOV-2017 TO 31-OCT-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-NOV-2017 TO 31-OCT-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
DIRECTED TO CEASE & DESIST FROM DISSEMINATING NEWS OR MESSAGES IN ANY FORM RELATED TO SECURITIES MARKET, BY ANY MEANS WHATSOEVER
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS/PROPERTIES/ SECURITIES
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI EXCEPT FOR THE PURPOSE OF TRANSFER OF FUNDS TO ESCROW ACCOUNT
DIRECTED DEPOSITORIES THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
DIRECTED TO DISGORGE
|
SEBI VIDE ITS ORDER DATED 30/10/2018 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX PARTE ORDER DATED 01/11/2017
SEBI VIDE ITS ORDER DATED 05/03/2019 DIRECTED TO 1) DISGORGE RS.2,05,29,603.00 2) NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME AMOUNTS GAIN MADE ALONGWITH WITH INTEREST CREDITED TO ESCROW ACCOUNT WITHOUT PERMISSION FROM SEBI 2) NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT 3) BANKS AND DEPOSITORIES NO TO DEBIT,WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD BY NOTICEES 4) BANKS AND DEPOSITORIES TO ENSURE THAT ALL DIRECTIONS ARE STRICTLY ENFORCED 5) PROVIDE FULL INVENTORY OF THEIR ASSETS, PROPERTIES AND DETAILS OF ALL BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES / SECURITIES, IF HELD IN PHYSICAL FORM AND DETAILS OF COMPANIES HOLD SUBSTANTIAL OR CONTROLLING INTEREST
SEBI VIDE ITS ORDER DATED 06/07/2022 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATING WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER FOR SIX YEARS B) DURING THE PERIOD OF RESTRAINT EXISTING HOLDING, INCLUDING UNITS OF MUTUAL FUNDS TO REMAIN FROZEN C) DISGORGE AMOUNT RS.2,05,29,603.00 ALONG WITH SIMPLE INTEREST @ 12% P.A. FROM DATE OF IMPOUNDING ORDER TILL DATE OF ACTUAL PAYMENT D) REMIT DISGORGEMENT AMOUNT TO INVESTOR PROTECTION AND EDUCATION FUND (IPEF)
SEBI VIDE ITS NOTICE DATED 26/10/2022 DIRECTED TO PAY RS.2,75,94,363.29 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 15/11/2022 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 ORDER DATED 16/12/2022 DIRECTED ALL THE BANKS TO REMIT RS.2,78,63,609.75 TO THE EXTENT LYING IN THE ACCOUNT OF MR.AJAY GUPTA TO SEBI BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS ORDER DATED 29/10/2024 DECLARED TRANSFER OF RS.1,79,62,000 AS NULL AND VOID AND IT IS THEREFORE SUBJECT TO RECOVERY UNDER RECOVERY CERTIFICATE NO.5844 OF 2022 DATED 26/10/2022. ATTACHMENT OF BANK & DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF VAANI FABRICS VIDE ATTACHMENT PROCEEDING NOS.9299/1/2022 AND 9300/1/2022 WILL REMAIN IN EFFECT UNTIL FULL AMOUNT OF RS.1,79,62,000 IS PAID TO SEBI
|
| 15 |
|
|
AJIT SATYAPRAKASH GUPTA
|
|
|
ACTED IN CONCERT WITH GROUP ENTITIES TO GIVE MISLEADING IMPRESSION OF SUCCESSFUL SUBSCRIPTION OF PREFERENTIAL ALLOTMENT THROUGH RECIRCULATING MONEY AMONG THEMSELVES IN CASE OF AASTHA BROADCASTING NETWORK LTD.
|
DIRECTED TO FREEZE DEMAT ACCOUNT OF A SPECIFIED SCRIP
07-JUN-2006
|
DIRECTED TO PERMANENTLY FREEZE DEMAT ACCOUNT W.E.F. 19/01/2007
|
| 16 |
|
|
AKASH JAGADISH VITAL
(PAN:ATYPA8648K)
|
|
|
MADE FALSE AND MISLEADING STATEMENTS/MISREPRESENTATIONS IN ANNUAL REPORTS OF COMPANY FOR F.Y. 2011-12 AND 2012-13 IN MATTER OF SMS TECHSOFT (INDIA) LTD.
DID NOT PAY CONSIDERATION AMOUNT TOWARDS SAHRES ALLOTTED IN PREFERENTIAL ALLOTMENT VIOLATING REGULATION 77(1) OF SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009 IN MATTER OF SMS TECHSOFT (INDIA) LTD.
|
IMPOSED PENALTY RS.6,00,000
29-MAR-2019
|
|
| 17 |
|
|
AKSHAT SHAH
|
|
|
|
KARUNA CABLES LTD.
|
|
ALLOTTED SHARES TO BENAMI OR FICTITIOUS ENTITIES
FILED FAKE AND MISLEADING DISCLOSURES OF PROMOTER'S HOLDING TO STOCK EXCHANGE
CONVERTED PARTLY PAID SHARES TO FULLY PAID WITHOUT RECEIVING ALLOTMENT MONEY
MADE FALSE REPRESENTATION THROUGH CORPORATE ANNOUNCEMENTS TO MISLEAD/INDUCE INVESTORS
ACTED IN CONCERT WITH INTER CONNECTED ENTITIES/BROKERS/CLIENTS TO CREATE FALSE MARKET AND TO SELL THEIR OWN HOLDINGS AT AN ARTIFICIALLY INFLATED PRICE
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-NOV-2005 TILL FURTHER ORDERS
DIRECTED NOT TO ISSUE ANY EQUITY SHARES OR ANY INSTRUMENT CONVERTIBLE INTO EQUITY SHARES OR ALTER ITS CAPITAL STRUCTURE IN ANY MANNER FROM 29-NOV-2005 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES OF PROMOTERS/PERSONS ACTING IN CONCERT/DIRECTORS/CLIENTS IN DEFAULT FROM 29-NOV-2005 TILL FURTHER ORDERS
29-NOV-2005
|
CONFIRMED INTERIM ORDER DATED 29/11/2005
SAT: ALLOWED TO PLEDGE SHARES AND DIRECTED THAT MONEY RECEIVED SHALL BE PUT IN COMPANY'S A/C AND TO SUBMIT AUDITOR'S UTILISATION CERTIFICATE
DIRECTIONS ISSUED VIDE ORDER DATED 29/11/2005 AND 25/07/2006 REVOKED AS PER SEBI ORDER DATED 15/06/2009
|
| 18 |
|
|
AKSHAY PRAVIN SANGHAVI
(PAN:ALQPS2784Q)
|
|
|
|
INNOVISION E-COMMERCE LTD.
(PAN:AAACB2432J)
|
|
MADE FALSE AND MISLEADING STATEMENTS IN QUARTERLY RESULTS IN MATTER OF INNOVISION E-COMMERCE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 04-DEC-2012 TO 03-DEC-2014
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-DEC-2012 TO 03-DEC-2014
04-DEC-2012
|
|
| 19 |
|
|
ALKA M.PANDEY
(PAN:AGEPP1076H)
|
|
|
MISLED SHAREHOLDERS AND INVESTORS BY MAKING INFLATED AND INCORRECT DISCLOSURE OF SHAREHOLDING PATTERN TO BSE IN MATTER OF ALKA SECURITIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(3) AND 13(4) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITIES LTD.
DID NOT MAKE 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 ALKA SECURITIES LTD.
|
IMPOSED PENALTY RS.25,00,000
28-JUN-2011
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS.
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SAT: SAT VIDE ITS ORDER DATED 11/06/2014 DIRECTED SEBI TO MAKE THE ATTACHMENT ON BANK ACCOUNTS ONLY FOR RS.4.69 LACS. NO COSTS
SEBI VIDE ITS NOTICE DATED 21/05/2014 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 04/06/2014 DIRECTED TO PAY DUES OF RS.8,86,027
SAT: SAT VIDE ITS ORDER DATED 10/03/2017, IN ALL THE APPEALS (EXCEPT IN APPEAL NO.41 OF 2014) INTEREST DEMANDED BY RO FROM THE DATE OF THIS ORDERS ARE QUASHED AND SET ASIDED AND ALL THESE MATTERS ARE RESTORED TO THE FILE OF RO FOR FRESH COMPUTATION OF INTEREST IN TERMS OF THIS DECISION
|
| 20 |
|
|
AMIT KUMAR BAGORIA
|
|
|
|
BAGORIA ENTERPRISE
|
|
INDULGED IN CARRYING OUT SUSPICIOUS BANKING TRANSACTIONS AND APPEAR TO HAVE CHANNELED THESE FUNDS EITHER DIRECTLY OR INDIRECTLY IN STOCK MARKET IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-APR-2009 TILL FURTHER ORDERS
DIRECTED INCOME TAX DEPARTMENT TO TAKE NECESSARY ACTIONS IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
23-APR-2009
|
AD-INTERIM EX-PARTE ORDER DATED 23/04/2009 CONFIRMED VIDE ORDER DATED 12/01/2010
SEBI VIDE ITS ORDER DATED 31/03/2015 DISPOSED OFF THE PROCEEDINGS WITHOUT ANY FURTHER ORDERS, SINCE PROHIBITION AGAINST THE ENTITIES NEED NOT TO BE CONTINUED
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
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| Page 1 of 46
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