| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ABHISHEK KUMAR JAIN
|
|
|
|
ADINATH BIO-LABS LTD.
PAN:AAECA5539M
CIN:L24230WB1982PLC034492
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ADINATH BIO-LABS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 07-SEP-2009 TO 06-NOV-2009
01-SEP-2009
|
|
| 2 |
|
|
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
|
|
| 3 |
|
|
ALAM ALI SISODIA
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ADINATH BIO-LABS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 31-AUG-2009 TO 30-OCT-2009
21-AUG-2009
|
|
| 4 |
|
|
AMISHI B.GANDHI
|
|
|
ALLEGED IRREGULAR TRADING ON BASIS OF UNPUBLISHED PRICE SENSITIVE INFORMATION AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN SCRIP OF WOCKHARDT LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 21-APR-2009 TO 20-OCT-2010
20-APR-2009
|
|
| 5 |
|
|
ARTI JAIN
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SAI INFO LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 19-JAN-2011 TO 18-JUL-2011
18-JAN-2011
|
|
| 6 |
|
|
ASHISH KELKAR
(PAN:ACAPK0708P)
|
|
|
ALLEGED PROVIDING NON-PUBLIC INFORMATION TO CERTAIN ENTITIES (PROFIT MAKERS) PRIOR TO BROADCASTING OF THEIR RECOMMENDATIONS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.62,40,000 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
|
|
| 7 |
|
|
ASHOK BHARADIA
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS THROUGH MANIPULATION IN SCRIP OF MAZDA FABRICS & PROCESSORS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 18-JUN-2009 TO 17-JUN-2011
15-JUN-2009
|
|
| 8 |
|
|
ASHOK KUMAR AGRAWAL
|
|
|
|
ASHOKA REFINERIES LTD.
|
|
ALLEGED DELAY IN TRANSFER OF SHARES OF ASHOKA REFINERIES LTD.
ALLEGED INDULGENCE IN PRICE RIGGING IN SCRIP OF ASHOKA REFINERIES LTD.
|
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 22-JUL-2009 TO 21-JUL-2011
22-JUL-2009
|
|
| 9 |
|
|
ATUL HIRALAL SHAH
|
|
|
ALLEGED IRREGULARITIES IN SCRIP OF GENUS COMMU-TRADE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 04-JUL-2008 TO 03-JUL-2009
04-JUL-2008
|
|
| 10 |
|
|
ATULBHAI HIRALAL SHAH
(PAN:ALJPS4966M)
|
|
|
|
SHALIBHADRA INFOSEC LTD.
|
|
ALLEGED INDULGENCE IN ISSUANCE OF ADVERTISEMENTS IN NEWSPAPER REGARDING A PROPOSED BUYBACK OF SHARES OF SHALIBHADRA INFOSEC LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 18-SEP-2008 TO 17-SEP-2009
18-SEP-2008
|
|
| 11 |
|
|
ATULBHAI HIRALAL SHAH
(PAN:ALJPS4966M)
|
|
|
ALLEGED INDULGENCE IN CREATION OF FALSE AND MISLEADING APPEARANCE OF TRADING IN SCRIP OF UNIVERSAL MEDIA NETWORK LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 18-SEP-2008 TO 17-SEP-2009
18-SEP-2008
|
|
| 12 |
|
|
AUSHIM KHETRAPAL
(PAN:ANZPK1199C)
|
|
|
|
DIVINE ENTERTAINMENT LTD.
PAN:AAACD6670J
|
|
|
ORIENT TRADELINK LTD.
PAN:AAACO5359B
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(4) AND 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ORIENT TRADELINK LTD.
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 10 AND 12 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ORIENT TRADELINK LTD.
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF ORIENT TRADELINK LTD.
ALLEGED INDULGENCE IN ISSUANCE OF FALSE/MISLEADING PRESS RELEASES IN MATTER OF DIVINE ENTERTAINMENT LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 23-JUL-2013 TO 22-JUL-2017
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO MAKE AN OPEN OFFER TO SHAREHOLDERS OF ORIENT TRADELINK LTD. AND DIVINE ENTERTAINMENT LTD.)
23-JUL-2013
|
SAT: SAT VIDE ITS ORDER DATED 30/11/2023 DISMISSED THE APPEAL
|
| 13 |
|
|
BABUBHAI AMRUTLAL PATEL
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF PROMACT PLASTICS LTD.
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS VIOLATING REGULATION 12(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 AND VIOLATED CLAUSE 3.2-3 OF PART A OF MODEL CODE OF CONDUCT IN MATTER OF PROMACT PLASTICS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 23-NOV-2010 TO 22-NOV-2015
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO HOLD DIRECTORSHIP IN ANY LISTED COMPANY)
23-NOV-2010
|
|
| 14 |
|
|
BALDEV SINGH
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ADINATH BIO-LABS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 24-AUG-2009 TO 23-OCT-2009
20-AUG-2009
|
|
| 15 |
|
|
BHANWARI DEVI JAIN
|
|
|
|
SHREE TULSI ONLINE.COM LTD.
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ADINATH BIO-LABS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 07-SEP-2009 TO 06-NOV-2009
01-SEP-2009
|
|
| 16 |
|
|
BHAWNA KASERA
|
|
|
ALLEGED VIOLATION OF REGULATIONS 3,4(1),4(2)(A),(B),(G) & (N) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SBEC SUGAR LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.35,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 16-DEC-2008 TO 15-MAR-2009
16-DEC-2008
|
|
| 17 |
|
|
BINOD KUMAR BANTHIA
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ADINATH BIO-LABS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 31-AUG-2009 TO 30-OCT-2009
21-AUG-2009
|
|
| 18 |
|
|
CHAITANYA P.RAOTE
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH IRREGULAR TRANSACTIONS IN SCRIP OF TODAY’S WRITING PRODUCTS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 03-MAY-2011 TO 02-MAY-2012
03-MAY-2011
|
|
| 19 |
|
|
CHAITANYA P.RAOTE
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, CIRCULAR AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF KRBL LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 16-MAY-2011 TO 15-MAY-2012
16-MAY-2011
|
|
| 20 |
|
|
CHANDER SINGH
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF T.SPIRITUAL WORLD LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 03-FEB-2010 TO 02-FEB-2011
03-FEB-2010
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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