| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ABDUL SLAM
(DIN:03048245
PAN:CXEPS9337R)
|
|
|
|
BEETAL LIVESTOCK & FARMS PVT.LTD.
|
|
OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
|
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
09-AUG-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 25/11/2021 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
|
| 2 |
|
|
AJAY KUMAR PANDEY
(PAN:AXLPP7767R)
|
|
|
|
PEERS ALLIED CORP.LTD.
PAN:AAECP5032C
|
|
OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
23-JAN-2020
|
SEBI VIDE ITS NOTICE DATED 07/04/2021 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 17/02/2022 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNTS OF PEERS ALLIED CORP.LTD., MR.ALOK KUMAR TRIPATHI, MR.SANDEEP KUMAR MISHRA, MR.SHAILESH KUMAR UPADHYAY, MR.VISHWAMBHER NATH DUBEY, MR.DURGA PRASAD DUBEY, MR.ANUP AGGARWAL, MR.ASHISH KUMAR TRIPATHI, MS.INDU DUBEY, MS.MANJU UPADHYAY, MR.AJAY KUMAR PANDEY & MR.SADHU SHARAN TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 3 |
|
|
AJEET LAL SHARMA
|
|
|
|
SHEEN AGRO & PLANTATION LTD.
|
|
OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-JUN-2020
|
SEBI VIDE ITS NOTICE DATED 07/04/2021 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 01/09/2022 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNTS OF MR.ANGREZ SINGH BHADWAL, MR.SURINDER KUMAR TRILOKIA, MR.NASEEB SINGH PAWAR, MR.KAMAL SINGH BHAU, MR.SUDERSHAN SINGH JAMWAL, MR.AJEET LAL SHARMA, MR.KIRPAL SINGH, MR YOGRAJ SINGH BHAU & MR.TEJ PAL SINGH TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 4 |
|
|
ALOK KUMAR TRIPATHI
(PAN:AEUPT1819A)
|
|
|
|
PEERS ALLIED CORP.LTD.
PAN:AAECP5032C
|
|
OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
23-JAN-2020
|
SEBI VIDE ITS NOTICE DATED 07/04/2021 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 17/02/2022 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNTS OF PEERS ALLIED CORP.LTD., MR.ALOK KUMAR TRIPATHI, MR.SANDEEP KUMAR MISHRA, MR.SHAILESH KUMAR UPADHYAY, MR.VISHWAMBHER NATH DUBEY, MR.DURGA PRASAD DUBEY, MR.ANUP AGGARWAL, MR.ASHISH KUMAR TRIPATHI, MS.INDU DUBEY, MS.MANJU UPADHYAY, MR.AJAY KUMAR PANDEY & MR.SADHU SHARAN TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 5 |
|
|
AMARDEEP SINGH CHEEMA
(PAN:ADEPC5281C)
|
|
|
|
G.C.A.MARKETING PVT.LTD.
CIN:U52599PB2005PTC0258378
|
|
OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
|
IMPOSED PENALTY RS.94,08,38,927 ALONG WITH OTHER ENTITIES/PERSONS
24-JUN-2022
|
SEBI VIDE ITS NOTICE DATED 28/02/2023 DIRECTED TO PAY RS.102,55,15,430.43 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 04/05/2023 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
|
| 6 |
|
|
AMIT VADEHRA
(PAN:AAFPV2125E)
|
|
|
|
CRAYON CAPITAL ART FUND
|
|
OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
|
IMPOSED PENALTY RS.15,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-NOV-2021
|
|
| 7 |
|
|
ANAND GURWANT SINGH
|
|
|
|
PACL LTD.
CIN:U70101RJ1996PLC011577
PAN:AAACP4032A
|
|
OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
|
IMPOSED PENALTY RS.2,31,50,000
02-FEB-2016
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 8 |
|
|
ANAND KUMAR JHA
(PAN:AEKPJ8257J)
|
|
|
|
SUNSHINE GLOBAL AGRO LTD.
PAN:AAJCS2508K
|
|
OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
|
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-MAR-2019
|
SEBI VIDE ITS NOTICE DATED 23/12/2020 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
|
| 9 |
|
|
ANGREZ SINGH BHADWAL
(PAN:ACBPB5282C)
|
|
|
|
SHEEN AGRO & PLANTATION LTD.
|
|
OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-JUN-2020
|
SEBI VIDE ITS NOTICE DATED 07/04/2021 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 01/09/2022 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNTS OF MR.ANGREZ SINGH BHADWAL, MR.SURINDER KUMAR TRILOKIA, MR.NASEEB SINGH PAWAR, MR.KAMAL SINGH BHAU, MR.SUDERSHAN SINGH JAMWAL, MR.AJEET LAL SHARMA, MR.KIRPAL SINGH, MR YOGRAJ SINGH BHAU & MR.TEJ PAL SINGH TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 10 |
|
|
ANSAR AHMED
(DIN:02336694
PAN:AFFPA4197L)
|
|
|
|
PRAGYA DAIRIES & AGRO LTD.
CIN:U01400MP2010PLC023243
PAN:AAFCP3908E
|
|
OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
|
IMPOSED PENALTY RS.60,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-FEB-2022
|
|
| 11 |
|
|
ANUP AGGARWAL
(PAN:AFVPA8971N)
|
|
|
|
PEERS ALLIED CORP.LTD.
PAN:AAECP5032C
|
|
OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
23-JAN-2020
|
SEBI VIDE ITS NOTICE DATED 07/04/2021 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 17/02/2022 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNTS OF PEERS ALLIED CORP.LTD., MR.ALOK KUMAR TRIPATHI, MR.SANDEEP KUMAR MISHRA, MR.SHAILESH KUMAR UPADHYAY, MR.VISHWAMBHER NATH DUBEY, MR.DURGA PRASAD DUBEY, MR.ANUP AGGARWAL, MR.ASHISH KUMAR TRIPATHI, MS.INDU DUBEY, MS.MANJU UPADHYAY, MR.AJAY KUMAR PANDEY & MR.SADHU SHARAN TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 12 |
|
|
ARTI SHARMA
(PAN:CACPS0218L)
|
|
|
|
BIG EM ESTATES & INFRASTRUCTURES LTD.
PAN:AAGCB0385G
|
|
OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
|
DIRECTED TO CEASE & DESIST AND NOT TO SOLICIT OR UNDERTAKE CIS ACTIVITIES OR ANY OTHER ACTIVITIES IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER
DIRECTED NOT TO COLLECT MONEY FROM NEW INVESTORS OR ANY ADDITIONAL SUM OF MONEY FROM EXISTING INVESTORS UNDER ITS EXISTING SCHEMES
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 26-FEB-2021 TO 25-FEB-2024
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, COMMUNICATIONS ETC. PHYSICAL OR DIGITAL IN RELATION TO THEIR SCHEME PRODUCT B (TEAK) OR ANY OTHER UNREGISTERED ACTIVITIY IN SECURITIES MARKET
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 26-FEB-2021 TO 25-FEB-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 26-FEB-2021 TO 25-FEB-2024
DIRECTED TO SUBMIT NUMBER AND DETAILS OF CLIENTS (CONTACT NUMBER, ADDRESS, DATE OF ENROLLMENT) WHO HAVE CONTRIBUTED TO SCHEME PRODUCT B (TEAK) AND TO SUBMIT DETAILS OF CONTRIBUTIONS RECEIVED FROM EACH SUCH CLIENT/UNIT HOLDER
DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS AND CREDITS FROM ACCOUNT WITHOUT PERMISSION OF SEBI FROM 26-FEB-2021 TO 25-FEB-2024
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO SUBMIT REPAYMENT REPORT TO SEBI CERTIFIED BY TWO INDEPENDENT CHARTERED ACCOUNTANTS WHO ARE IN PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM
26-FEB-2021
|
SEBI VIDE ITS ORDER DATED 06/04/2022 DIRECTED TO 1) WIND UP ITS EXISTING COLLECTIVE INVESTMENT SCHEMES AND REFUND THE MONEY INCLUDING RS.73,65,900.00 ALONGWITH INTEREST2) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) 3) FILE WINDING UP AND REPAYMENT REPORTS DULY CERTIFIED BY AUDITOR, TO SEBI IN FORMAT UNDER SEBI (CIS) REGULATIONS, 1999 WITHIN 30 DAYS AFTER EXPIRY OF AFORESAID SIX MONTHS AND NINE MONTHS RESPECTIVELY 4) PREVENTED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM EXCEPT FOR THE SOLE PURPOSE OF MAKING THE REFUNDS AS DIRECTED 5) DEBARRED FROM ACCESSING SECURITIES MARKET, DIRECTLY OR INDIRECTLY AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER, FOR THREE YEARS FROM DATE OF THIS ORDER OR TILL EXPIRY OF THREE YEARS FROM DATE OF COMPLETION OF REFUNDS TO COMPLAINTS/INVESTORS 6) NOT TO LAUNCH ANY COLLECTIVE INVESTMENT SCHEME OR ANY ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
SEBI VIDE ITS NOTICE DATED 18/06/2024 DIRECTED TO PAY RS.73,65,900.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 13 |
|
|
ARVIND KUMAR BIRLA
(DIN:00037602
PAN:ACTPB5365J)
|
|
|
|
ADEL LANDMARKS LTD.
PAN:AABCE4642C
|
|
OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
|
IMPOSED PENALTY RS.2,00,000
30-JUN-2020
|
SAT: SAT VIDE ITS ORDER DATED 22/09/2020 DIRECTED THAT IMPUGNED ORDER SHALL REMAIN STAYED UPON DEPOSIT OF 50% OF PENALTY WITHIN FOUR WEEKS. . IN THE MEANTIME, THE EFFECT AND OPERATION OF IMPUGNED ORDER DIRECTED TO BE STAYED UPON DEPOSIT OF 50% OF THE PENALTY WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 04/12/2020 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY AMOUNT TO RS.2 LACS FROM RS.25 LACS TO BE PAID INDIVIDUALLY. NO COSTS
|
| 14 |
|
|
ASHIF KHAN
(PAN:BEMPK1322J)
|
|
|
|
SUNSHINE GLOBAL AGRO LTD.
PAN:AAJCS2508K
|
|
OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
|
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-MAR-2019
|
SEBI VIDE ITS NOTICE DATED 23/12/2020 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
|
| 15 |
|
|
ASHISH KUMAR TRIPATHI
(PAN:AGEPT4844K)
|
|
|
|
PEERS ALLIED CORP.LTD.
PAN:AAECP5032C
|
|
OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
23-JAN-2020
|
SEBI VIDE ITS NOTICE DATED 07/04/2021 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 17/02/2022 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNTS OF PEERS ALLIED CORP.LTD., MR.ALOK KUMAR TRIPATHI, MR.SANDEEP KUMAR MISHRA, MR.SHAILESH KUMAR UPADHYAY, MR.VISHWAMBHER NATH DUBEY, MR.DURGA PRASAD DUBEY, MR.ANUP AGGARWAL, MR.ASHISH KUMAR TRIPATHI, MS.INDU DUBEY, MS.MANJU UPADHYAY, MR.AJAY KUMAR PANDEY & MR.SADHU SHARAN TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 16 |
|
|
BABLOO PRAJAPATI
(PAN:AMQPP8230M
DIN:06765008)
|
|
|
|
SHRI RAM REAL ESTATE & BUSINESS SOLUTION LTD.
PAN:AAMCS4086P
CIN:U70102MP2008PLC021116
|
|
OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
|
IMPOSED PENALTY RS.40,00,000 ALONG WITH OTHER ENTITIES/PERSONS
08-FEB-2021
|
|
| 17 |
|
|
BALASAHEB K.BHAPKAR
(PAN:AFIPB3674A)
|
|
|
|
SAI PRASAD CORP.LTD.
CIN:U70102PN2011PLC141639
PAN:AAQCS7428B
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
|
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-JUL-2018
|
SEBI VIDE ITS NOTICE DATED 20/12/2018 DIRECTED ALL THE BANKS AND MUTUAL FUNDS 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
|
| 18 |
|
|
BALBIR SINGH SAINI
(DIN:02610827)
|
|
|
|
SERVEHIT HOUSING & INFRASTRUCTURE INDIA LTD.
CIN:U70109PB2009PLC032787
PAN:AANCS0417R
|
|
OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
|
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-NOV-2018
|
SEBI VIDE ITS NOTICE DATED 01/08/2019 DIRECTED ALL THE BANKS AND MUTUAL FUNDS 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
|
| 19 |
|
|
BALKISHAN KUSHWAH
(DIN:02338533
PAN:AVQPK4360A)
|
|
|
|
GARIMA REAL ESTATE & ALLIED LTD.
CIN:U70100MP2007PLC019955
PAN:AADCG0853B
|
|
OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.3,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
16-MAR-2020
|
|
| 20 |
|
|
BALVIR SINGH
(DIN:00139599
PAN:AAAPS5463P)
|
|
|
|
ALCHEMIST INFRA REALTY LTD.
CIN:U74120DL2008PLC176278
PAN:AAGCA9717P
|
|
OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
|
IMPOSED PENALTY RS.15,00,000
29-MAY-2023
|
SEBI VIDE ITS NOTICE DATED 13/12/2021 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
SAT: SAT VIDE ITS ORDER DATED 20/04/2022 CONDONED THE DELAY IN FILING OF APPEAL. ALLOWED TO FILE REPLY WITHIN TWO WEEKS 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. |
| |
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| Page 1 of 9
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