| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
A.D.PARIKH
(PAN:AGUPP7355B)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF SAFAL HERBS LTD. (FORMERLY KNOWN AS PARIKH HERBALS LTD.)
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF SAFAL HERBS LTD. (FORMERLY KNOWN AS PARIKH HERBALS LTD.)
|
IMPOSED PENALTY RS.1,00,000
20-SEP-2023
|
SEBI VIDE ITS ORDER DATED 10/07/2024 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 05/08/2024 ALLOWED THE APPEAL AND DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 10/07/2024
|
| 2 |
|
|
A.K.JAGATRAMKA
|
|
|
BOUGHT EQUITY SHARES ON BASIS OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATED REGULATIONS 3(I),3(II),3(A) READ WITH REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF FCGL INDUSTRIES LTD. (PRESENTLY GUJARAT NRE COKE LTD.)
|
IMPOSED PENALTY RS.40,00,000
29-OCT-2010
|
SAT: APPEAL ALLOWED LEAVING THE PARTIES TO BEAR THEIR OWN COSTS.
|
| 3 |
|
|
A.LAHIRI
|
|
|
|
HINDUSTAN LEVER LTD.
|
|
DEALT IN SECURITIES WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3(I),3(II) AND 3(III) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SECTION 27 OF SEBI ACT, 1992
VIOLATED SECTION 26 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 4 |
|
|
A.LAHIRI
|
|
|
|
HINDUSTAN LEVER LTD.
|
|
INDULGED IN INSIDER TRADING IN SCRIP OF BROOKE BOND LIPTON INDIA LTD.
|
DIRECTED TO COMPENSATE UNIT TRUST OF INDIA TO THE EXTENT OF RS.3.04 CRORES
LAUNCHED ADJUDICATION PROCEEDINGS
11-MAR-1998
|
|
| 5 |
|
|
A.M.NAIK
(PAN:AAAPN6700G)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF LARSEN & TOUBRO LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,72,500 VIDE CONSENT ORDER)
30-JAN-2018
|
|
| 6 |
|
|
A.R.MURUGAPPAN
(PAN:AAGPM9164P)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN SCRIP OF SABERO ORGANICS GUJARAT LTD.
|
DIRECTED TO DISGORGE
21-MAY-2015
|
SEBI VIDE ITS ORDER DATED 12/05/2016 DIRECTED 1) SEBI TO RE-INVESTIGATE THE MATTER OF ALLEGED INSIDER TRADING IN SCRIP OF SABERO ORGANIC GUJARAT LTD. AND COMPLETE THE SAME WITHIN SIX MONTHS FROM THE DATE OF THIS ORDER AND 2) INTERIM ORDER DATED 21/05/2015 ALONGWITH SCN DATED 08/06/2015 ISSUED AGAINST MR.VELLAYAN, MR. MURUGAPPN, MR.GOPALAKRISHNAN C. AND V.KARUPPIAH-HUF IS ACCORDINGLY DISPOSED OFF
SAT: SAT VIDE ITS ORDER DATED 22/09/2017 DISPOSED OFF APPEAL, AS COUNSEL FOR THE PARTIES STATED THAT IN VIEW OF THE LETTER ISSUED BY SEBI ON 18/09/2017 AND EMAIL ISSUED BY DBS BANK LTD. TO SEBI ON 21/09/2017, THE APPEAL DID NOT SURVIVE. NO COSTS
|
| 7 |
|
|
A.R.SANKARANARAYANAN
(PAN:AQKPS1064J)
|
|
|
DID NOT OBTAIN PRE-CLEARANCE OF TRADES FROM COMPANY VIOLATING REGULATION 12(1) READ WITH CLAUSE 3.3-1 OF MODEL CODE OF CONDUCT SPECIFIED UNDER PART A OF SCHEDULE I OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF MANAPPURAM FINANCE LTD.
|
IMPOSED PENALTY RS.10,00,000
19-AUG-2015
|
|
| 8 |
|
|
A.R.SHINGEWAR
(PAN:AABPS3329R)
|
|
|
DID NOT ADOPT CODE OF CONDUCT VIOLATING CLAUSE 1.2 READ WITH REGULATION 12(1) PART A OF SCHEDULE I OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF COROMANDEL INTERNATIONAL LTD. (EARLIER KNOWN AS "LIBERTY PHOSPHATES LTD.")
|
IMPOSED PENALTY RS.1,50,000 ALONG WITH OTHER ENTITIES/PERSONS
30-NOV-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 9 |
|
|
A.V.SHAH
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF SAFAL HERBS LTD. (FORMERLY KNOWN AS PARIKH HERBALS LTD.)
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF SAFAL HERBS LTD. (FORMERLY KNOWN AS PARIKH HERBALS LTD.)
|
IMPOSED PENALTY RS.1,00,000
20-SEP-2023
|
SEBI VIDE ITS NOTICE DATED 03/09/2024 DIRECTED TO PAY RS.1,14,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 25/11/2024 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
|
| 10 |
|
|
A.VELLAYAN
(PAN:AACPV2231L)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN SCRIP OF SABERO ORGANICS GUJARAT LTD.
|
DIRECTED TO DISGORGE
21-MAY-2015
|
SEBI VIDE ITS ORDER DATED 12/05/2016 DIRECTED 1) SEBI TO RE-INVESTIGATE THE MATTER OF ALLEGED INSIDER TRADING IN SCRIP OF SABERO ORGANIC GUJARAT LTD. AND COMPLETE THE SAME WITHIN SIX MONTHS FROM THE DATE OF THIS ORDER AND 2) INTERIM ORDER DATED 21/05/2015 ALONGWITH SCN DATED 08/06/2015 ISSUED AGAINST MR.VELLAYAN, MR. MURUGAPPN, MR.GOPALAKRISHNAN C. AND V.KARUPPIAH-HUF IS ACCORDINGLY DISPOSED OFF
SEBI VIDE ITS ORDER DATED 19/04/2021 DISPOSED OFF THE PROCEEDINGS WITHOUT ANY DIRECTIONS
|
| 11 |
|
|
A.Y.FAZALBHOY
(PAN:AACPF3671J)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF PHIL CORP.LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF PHIL CORP.LTD.
|
IMPOSED PENALTY RS.3,00,000
23-MAR-2020
|
|
| 12 |
|
|
AANCHAL JAIN
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(1),13(3),13(4),13(4A) AND 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF FIEM INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1), 29(2) & 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF FIEM INDUSTRIES LTD.
|
IMPOSED PENALTY RS.1,00,000
03-FEB-2015
|
|
| 13 |
|
|
AANCHAL JINDAL
(PAN:AIHPJ4158R)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF FOCUS INDUSTRAIAL RESOURCES LTD.
|
IMPOSED PENALTY RS.1,00,000
22-SEP-2020
|
SAT: SAT VIDE ITS ORDER DATED 01/07/2021 CONDONED THE DELAY OF 82 DAYS IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 10/08/2021 APPELLANTS FILE THE REJOINDER WITHIN THREE WEEKS FROM DATE OF THIS ORDER
|
| 14 |
|
|
AANCHAL JINDAL
(PAN:AIHPJ4158R)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF PAWANSUT HOLDINGS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF PAWANSUT HOLDINGS LTD.
|
IMPOSED PENALTY RS.3,00,000
30-AUG-2019
|
SEBI VIDE ITS NOTICE DATED 04/03/2020 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
SEBI VIDE ITS ORDER DATED 30/07/2020 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS,DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 04/03/2020
|
| 15 |
|
|
AASHISH JHUNJHUNWALA
(DIN:00351451
PAN:ACPPJ2618E)
|
|
|
TRADED WHILE TRADING WINDOW WAS CLOSED VIOLATING SECTION 12A (D) & (E) OF SEBI ACT, 1992 READ WITH REGULATION 3(I) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF RAMSARUP INDUSTRIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-AUG-2015 TO 03-AUG-2018
DIRECTED TO DISGORGE RS.98,11,465
04-AUG-2015
|
SAT: SAT VIDE ITS ORDER DATED 16/01/2017 PERMITTED APPELLANT TO WITHDRAW THE APPEAL WITH LIBERTY TO FILE FRESH APPEAL WITHIN A PERIOD OF ONE WEEK FROM THE DATE OF THIS ORDER. NO COSTS
SEBI VIDE ITS NOTICE DATED 28/06/2017 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
|
| 16 |
|
|
AASTHI AGARWALA
(PAN:AMHPA8940L)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 3(I) AND 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF GOBIND SUGAR MILLS LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GOBIND SUGAR MILLS LTD.
ALLEGED DELAY IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GOBIND SUGAR MILLS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
08-APR-2013
|
|
| 17 |
|
|
AAYUSH AGARWAL
(PAN:AJNPA5555E)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF AJANTA PHARMA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,24,750 VIDE CONSENT ORDER)
28-JUN-2021
|
|
| 18 |
|
|
ABDOOL MABOOD SHAIKH
|
|
|
ALLEGED FAILURE IN ADOPTION OF CODE OF CONDUCT VIOLATING CLAUSE 1.2 OF MODEL CODE OF CONDUCT AS SPECIFIED UNDER PART A OF SCHEDULE I READ WITH REGULATIONS 12(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF COROMANDEL INTERNATIONAL LTD. (EARLIER KNOWN AS LIBERTY PHOSPHATE LTD.)
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,80,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
31-OCT-2017
|
|
| 19 |
|
|
ABDUL MANNAN
|
|
|
ALLEGED FAILURE IN ADOPTION OF CODE OF CONDUCT VIOLATING CLAUSE 1.2 OF MODEL CODE OF CONDUCT AS SPECIFIED UNDER PART A OF SCHEDULE I READ WITH REGULATIONS 12(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF COROMANDEL INTERNATIONAL LTD. (EARLIER KNOWN AS LIBERTY PHOSPHATE LTD.)
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,80,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
31-OCT-2017
|
|
| 20 |
|
|
ABDUL QUDDUS KHAN
(PAN:AFJPK2769J)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHERS ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 10/09/2012 REVOKED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/07/2009 AND CONFIRMATORY ORDER DATED 30/10/2009 WITH IMMEDIATE EFFECT
|
| 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 82
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