| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
A.B.LAKHANI
|
|
|
|
ANIK SHIP BREAKING INDUSTRIES LTD.
|
|
VIOLATED SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
VIOLATED SECTION 11 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 2 |
|
|
A.BALAKRISHNA
|
|
|
|
MALLESWARA FINANCE & INVESTMENT CO.LTD.
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 3 |
|
|
A.K.CHABRA
|
|
|
|
INDITALIA REFCON LTD.
PAN:AAACI1128G
|
|
FAILED TO PAY PENALTY
VIOLATED SECTION 27 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.1,01,250 BY THE ACCUSED TO SEBI
|
| 4 |
|
|
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DEALT IN SECURITIES WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3(I),3(II) AND 3(III) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992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
|
|
| 5 |
|
|
A.LAKSHMINARAYANA
|
|
|
|
ALAKNANDA MANUFACTURING & FINANCE LTD.
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 6 |
|
|
A.P.MOHAMMED ALI
|
|
|
|
KUNNAMKULAM PAPER MILLS LTD.
|
|
VIOLATED SECTION 11 OF SEBI ACT, 1992
VIOLATED SECTION 11 B OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 7 |
|
|
A.S.MALIK
|
|
|
|
SHAW WALLACE & CO.LTD.
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 8 |
|
|
ABBAS MITHANI
|
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SECTION 27 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 9 |
|
|
ABDUL RAZZAK KAPADIA
|
|
|
|
TRIUMPH INTERNATIONAL FINANCE INDIA LTD.
PAN:AAACE0308A
|
|
VIOLATED SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 10 |
|
|
ABHAY ARVIND GANDHI
(PAN:AAXPG9162A)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3(I) AND 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF RANBAXY LABORATORIES LTD.
ALLEGED INDULGENCE IN TRADING WHILE POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 IN MATTER OF RANBAXY LABORATORIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.35,06,250 VIDE CONSENT ORDER)
11-APR-2019
|
|
| 11 |
|
|
ABHIJEET JAYANT CHAUDHARI
(PAN:AIUPC8611M)
|
|
|
|
WASANKAR WEALTH MANAGEMENT LTD.
PAN:AAACW8073C
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
25-AUG-2016
|
|
| 12 |
|
|
ABHIJIT CHATTERJEE
|
|
|
|
CRUICKSHANK & CO.LTD.
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 13 |
|
|
AINAPUR S.R.
(PAN:ACSPA7910M)
|
|
|
INDULGED IN DIVERSION OF FUNDS FROM UNITED SPIRITS LTD. TO VARIOUS COMPANIES/ENTITIES OF UB GROUP INCLUDING KINGFISHER AIRLINES LTD. VIOLATING SECTION 12A(C) OF SEBI ACT, 1992 IN MATTER OF UNITED SPIRITS LTD.
INDULGED IN DIVERSION OF FUNDS FROM UNITED SPIRITS LTD. TO VARIOUS COMPANIES/ENTITIES OF UB GROUP INCLUDING KINGFISHER AIRLINES LTD. VIOLATING REGULATIONS 3(D), 4(1) ALONGWITH 4(2)(E), (F) AND (K) OF SEBI (PROHIBITION OF FRAUDULENT AND UNFAIR TRADE PRACTICES) REGULATIONS, 2003 IN MATTER OF UNITED SPIRITS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-JAN-2017 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-JAN-2017 TILL FURTHER ORDERS
25-JAN-2017
|
SAT: APPEAL DISMISSED. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 08/01/2018 GRANTED EXTENSION OF TIME TO SEBI TO COMPLETE THE HEARING AND PASS APPROPRIATE FINAL ORDER BY 31/03/2018. NO COSTS
|
| 14 |
|
|
AJAY BABURAO SHIRKE
|
|
|
|
AKIRA INVESTMENTS PVT.LTD.
CIN:U67120MH1981PTC023806
|
|
VIOLATED SECTION 11 (3) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 15 |
|
|
AJAY CHOPRA
|
|
|
|
ORIENT TRADELINK LTD.
PAN:AAACO5359B
|
|
VIOLATED SECTION 11C (3) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 16 |
|
|
AJAY MAGAN
|
|
|
|
YOGI LEASING & FINANCE LTD.
|
|
VIOLATED SECTION 26 OF SEBI ACT, 1992
VIOLATED SECTION 27 OF SEBI ACT, 1992
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 17 |
|
|
AJAYKUMAR RAMAKANT SHARMA
(PAN:AZJPS8694Q)
|
|
|
ALLEGED AIDING AND ABETTING MR.NIRMAL KUMAR SONI TO EXECUTE TRADES IN HIS ACCOUNT AND IN THE ACCOUNTS OF SAAR COMMODITIES PVT.LTD., MANAN SHARECOM PVT.LTD. AND KANHYA TRADING CO.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.57,20,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES) FROM 16-JAN-2025 TO 15-JUL-2025
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 16-JAN-2025 TO 15-JUL-2025
16-JAN-2025
|
|
| 18 |
|
|
AJAYKUMAR RAMAKANT SHARMA
(PAN:AZJPS8694Q)
|
|
|
ALLEGED AIDING AND ABETTING MR.NIRMAL KUMAR SONI TO EXECUTE TRADES IN HIS ACCOUNT AND IN THE ACCOUNTS OF SAAR COMMODITIES PVT.LTD., MANAN SHARECOM PVT.LTD. AND KANHYA TRADING CO.
|
REACHED SETTLEMENT (CONSENT ORDER) (DIRECTED TO DISGORGE)
16-JAN-2025
|
|
| 19 |
|
|
AJIT NAMBIAR
|
|
|
|
BPL LTD.
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SECTION 27 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ALL THE ACCUSED WERE DISCHARGED BY COURT. REVISION APPLICATIONS FILED BY SEBI IN THE ADDL.SESSIONS COURT, MUMBAI WHICH IS PENDING
|
| 20 |
|
|
AJYA MAHESHWARI
|
|
|
|
BHUTRA FINANCIAL SERVICES PVT.LTD.
|
|
VIOLATED SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.2,30,000 BY THE ACCUSED TO SEBI
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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