| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 181 |
|
ANNU ANIL AGRAWAL
(PAN:ADMPA0248F)
|
|
|
|
RAVI KUMAR DISTILLERIES LTD.
PAN:AABCR4195D
|
|
INDULGED IN SIPHONING OFF/DIVERSION OF IPO PROCEEDS VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RAVI KUMAR DISTILLERIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-MAR-2019 TO 11-MAR-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-MAR-2019 TO 11-MAR-2024
DIRECTED TO RETURN RS.33.83 CRORES WITH INTEREST @12% P.A. W.E.F. 01/04/2011 WITHIN ONE YEAR FROM DATE OF ORDER
12-MAR-2019
|
SAT: SAT VIDE ITS ORDER DATED 31/08/2021 ALLOWED APPELLANT THREE WEEKS TIME TO FILE REJOINDER
|
| 182 |
|
|
ANNU ANIL AGRAWAL
(PAN:ADMPA0248F)
|
|
|
|
RAVI KUMAR DISTILLERIES LTD.
PAN:AABCR4195D
|
|
INDULGED IN SIPHONING OFF/DIVERSION OF IPO PROCEEDS VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RAVI KUMAR DISTILLERIES LTD.
MADE MIS-STATEMENTS IN THE BALANCE SHEET VIOLATING REGULATION 4(F) & (K) OF SEBI (PFUTP) REGULATIONS, 2003
|
DIRECTED NOT TO HOLD POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 12-MAR-2019 TO 11-MAR-2022
12-MAR-2019
|
SAT: SAT VIDE ITS ORDER DATED 16/11/2020 DIRECTED THAT NO COERCIVE STEPS TO BE TAKEN AGAINST THE APPELLANT PURSUANT TO IMPUGNED ORDER
SAT: SAT VIDE ITS ORDER DATED 31/08/2021 ALLOWED APPELLANT THREE WEEKS TIME TO FILE REJOINDER
|
| 183 |
|
|
ANNU ANIL AGRAWAL
(PAN:ADMPA0248F)
|
|
|
|
COMFORT SECURITIES LTD.
PAN:AABCC9625R
|
|
|
RAVI KUMAR DISTILLERIES LTD.
PAN:AABCR4195D
|
|
DID NOT EXERCISE DUE DILIGENCE, SKILL AND CARE AS INDEPENDENT PROFESSIONAL JUDGEMENT WHILE ACTING AS BOOK RUNNING LEAD MANAGER VIOLATING REGULATIONS 64(1), 8(2) (B), (E) AND (F) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF IPO OF RAVI KUMAR DISTILLERIES LTD.
DID NOT EXERCISE DUE DILIGENCE, SKILL AND CARE AS INDEPENDENT PROFESSIONAL JUDGEMENT WHILE ACTING AS BOOK RUNNING LEAD MANAGER VIOLATING REGULATIONS 64(1), 8(2) (B), (E) AND (F) AND REGULATION 13 READ WITH CLAUSES 1 TO 4, 6, 7 AND 21 OF THE CODE OF CONDUCT SPECIFIED UNDER SCHEDULE III OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992 IN MATTER OF IPO OF RAVI KUMAR DISTILLERIES LTD.
INDULGED IN SIPHONING OFF/DIVERSION OF RS.33.83 CRORES IN IPO PROCEEDS VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF RAVI KUMAR DISTILLERIES LTD.
|
IMPOSED PENALTY RS.1,20,00,000
21-AUG-2020
|
SAT: SAT VIDE ITS ORDER DATED 08/07/2025 GRANTED TWO WEEKS TO FILE WRITTEN SUBMISSION
|
| 184 |
|
|
ANOJ MENON
(PAN:AHTPM6650N)
|
|
|
|
BIRLA PACIFIC MEDSPA LTD.
CIN:L85100MH2008PLC184689
PAN:AADCB5167F
|
|
INDULGED IN MIS-UTILIZATION OF IPO PROCEEDS AS PER THE OBJECTS STATED IN THE PROSPECTUS VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(E), (F) AND (K) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF BIRLA PACIFIC MEDSPA LTD.
|
IMPOSED PENALTY RS.25,00,000
28-SEP-2022
|
|
| 185 |
|
|
ANSHU MISHRA
(PAN:BMIPS3480H)
(Along with : MANISH MISHRA)
|
|
|
PLANTED FALSE AND MISLEADING INFORMATION THROUGH YOUTUBE VIDEOS AND ALSO RECOMMENDED TO BUY SHARES OF PRESSURE SENSITIVE SYSTEMS (INDIA) LTD. VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT. 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1), 4(2)(A), 4(2)(D), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003
|
DIRECTED TO DISGORGE RS.10,90,500 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 31-JAN-2025 TO 30-JAN-2030
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 31-JAN-2025 TO 30-JAN-2030
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
31-JAN-2025
|
SAT: SAT VIDE ITS ORDER DATED 09/05/2025 GRANTED RESPONDENT SIX WEEKS TO FILE REPLY AND REJOINDER, IF ANY, BE FILED WITHIN THREE WEEKS THEREAFTER
SEBI VIDE ITS NOTICE DATED 30/05/2025 DIRECTED TO PAY RS.11,35,120.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 23/06/2025 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
SAT: SAT VIDE ITS ORDER DATED 04/08/2025 DIRECTED SEBI TO ALLOW DEBIT OF 3,65,944 CONVERTIBLE WARRANTS AND CREDIT OF EQUITY SHARES INTO APPELLANTS DEMAT ACCOUNT IN RESPECT OF OMEGA INTERACTIVE TECHNOLOGIES LTD.
|
| 186 |
|
|
ANSHU MISHRA
(PAN:BMIPS3480H)
|
|
|
PLANTED FALSE AND MISLEADING INFORMATION THROUGH YOUTUBE VIDEOS AND ALSO RECOMMENDED TO BUY SHARES OF PRESSURE SENSITIVE SYSTEMS (INDIA) LTD. VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT. 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1), 4(2)(A), 4(2)(D), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003
|
IMPOSED PENALTY RS.50,00,000
31-JAN-2025
|
SEBI VIDE ITS NOTICE DATED 23/05/2025 DIRECTED TO PAY RS.52,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 09/05/2025 GRANTED RESPONDENT SIX WEEKS TO FILE REPLY AND REJOINDER, IF ANY, BE FILED WITHIN THREE WEEKS THEREAFTER
SEBI VIDE ITS ORDER DATED 20/06/2025 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
SAT: SAT VIDE ITS ORDER DATED 19/06/2025 STAYED RECOVERY PROCEEDINGS SUBJECT TO DEPOSIT OF 50% OF PENALTY AMOUNT WITHIN SIX WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 24/06/2025 STAYED RECOVERY SUBJECT TO DEPOSIT OF 50% OF PENALTY AMOUNT WITHIN SIX WEEKS FROM DATE OF THIS ORDER
SEBI VIDE ITS NOTICE DATED 18/08/2025 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 20/06/2025
SAT: SAT VIDE ITS ORDER DATED 04/08/2025 DIRECTED SEBI TO ALLOW DEBIT OF 3,65,944 CONVERTIBLE WARRANTS AND CREDIT OF EQUITY SHARES INTO APPELLANTS DEMAT ACCOUNT IN RESPECT OF OMEGA INTERACTIVE TECHNOLOGIES LTD.
|
| 187 |
|
|
ANSHU MISHRA
(PAN:BMIPS3480H)
(Along with : MANISH MISHRA,
REKHA BHANDARI,
SUNIL BHANDARI)
|
|
|
|
LADDU GOPAL VENTURES PVT.LTD.
|
|
|
SRESTHA FINVEST LTD.
|
|
|
SUNSTAR REALTY DEVELOPMENT LTD.
|
|
INDUCED PUBLIC INVESTORS TO INVEST IN SCRIP BY UPLOADING FALSE & MISLEADING VIDEOS ON CERTAIN YOUTUBE CHANNELS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(A), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF GG ENGINEERING LTD.
|
IMPOSED PENALTY RS.50,00,000 ALONG WITH OTHER ENTITIES/PERSONS
19-DEC-2025
|
SAT: SAT VIDE ITS ORDER DATED 08/05/2026 CONDONED THE DELAY OF 85 DAYS IN FILING OF APPEAL. GRANTED RESPONDENT SIX WEEKS TO FILE REPLY AND REJOINDER, IF ANY, TO BE FILED WITHIN THREE WEEKS THEREAFTER AND STAYED RECOVERY SUBJECT TO DEPOSIT OF RS.10 LAC
|
| 188 |
|
|
ANU MARWAH
(PAN:AEPPM3218P)
|
|
|
|
JAI MATA GLASS LTD.
CIN:L26101HP1981PLC004430
PAN:AAACJ3873F
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF JAI MATA GLASS LTD. AND SUBSIDIARIES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF JAI MATA GLASS LTD.
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF JAI MATA GLASS LTD. AND SUBSIDIARIES VIOLATING REGULATIONS 4(2)(F)(II)(6), (7), 4(2)(F)(III)(2) (3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF JAI MATA GLASS LTD.
DID NOT ADHERE TO REGULATIONS 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF JAI MATA GLASS LTD.
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 23-NOV-2021 TO 22-MAY-2022
IMPOSED PENALTY RS.1,50,000
23-NOV-2021
|
|
| 189 |
|
|
ANU S.WADHAWAN
(PAN:AAQPW2792P)
|
|
|
|
WADHAWAN CONSOLIDATED HOLDINGS PVT.LTD.
PAN:AACCD2944F
|
|
|
WADHAWAN GLOBAL CAPITAL LTD.
PAN:AAACW9811G
|
|
|
WADHAWAN HOLDINGS PVT.LTD.
CIN:U74999MH2002PTC135601
PAN:AAACW5001G
|
|
|
WADHAWAN RETAIL VENTURES PVT.LTD.
PAN:AAACW6632R
|
|
INDULGED IN MANIPULATION/FALSIFICATION IN BOOKS OF ACCOUNTS VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO (D), 4(1) & 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DEWAN HOUSING FINANCE CORP.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-SEP-2020 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-SEP-2020 TILL FURTHER ORDERS
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 20-SEP-2020 TILL FURTHER ORDERS
22-SEP-2020
|
SEBI VIDE ITS ORDER DATED 22/10/2021 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 22/09/2020
SAT: SAT VIDE ITS ORDER DATED 05/09/2022 ALLOWED EXEMPTION APPLICATION AND DIRECTED REPLY TO BE FILED TO MISC. APPLICATION 915 OF 2022 AS WELL AS MEMO OF APPEAL WITHIN THREE WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 30/09/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 02/11/2022 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 11/01/2023 CONDONED THE DELAY IN FILING OF APPEAL
SEBI VIDE ITS ORDER DATED 10/03/2023 VACATED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 22/09/2020 READ WITH CONFIRMATORY ORDER DATED 22/10/2021
SAT VIDE ITS ORDER DATED 17/03/2023 DISMISSED THE APPEALS AS INFRUCTUOUS
|
| 190 |
|
|
ANURAG DALMIA
(PAN:AADPD9439P)
|
|
|
|
GOLDEN TOBACCO LTD.
PAN:AAACG1421A
|
|
DIVERTED FUND IN DISGUISE OF TRANSFERS FOR LAND DEVELOPMENT AND FURTHER TRANSFER TO PROMOTER RELATED ENTITIES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF GOLDEN TOBACCO LTD.
ISSUED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATIONS 33(2)(A) AND 103 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF GOLDEN TOBACCO LTD.
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 29-AUG-2025 TO 28-AUG-2027
IMPOSED PENALTY RS.20,00,000
29-AUG-2025
|
SAT: SAT VIDE ITS ORDER DATED 08/10/2025 GRANTED RESPONDENT SIX WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. STAYED DEBARMENT AND RECOVERY OF PENALTY SUBJECT TO DEPOSIT 50% WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 191 |
|
|
ANURAG KALRA
|
|
|
|
IMPOSED PENALTY RS.25,00,000
18-MAY-2022
|
SAT: SAT VIDE ITS ORDER DATED 03/08/2022 REPLY MAY BE FILE WITHIN FIVE WEEKS FROM DATE OF THIS ORDER AND REJOINDER IF ANY, BE FILE WITHIN THREE WEEKS THEREAFTER. THE EFFECT AND OPERATION OF IMPUGNED ORDER SHALL REMAIN STAYED IN SO FAR AS IT RELATES TO APPELLANT DEPOSIT 50% PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 29/09/2022 ALLOWED RESPONDENT FURTHER THREE WEEKS TO FILE REPLY AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 17/11/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 05/01/2023 ADJOURNED THE APPEAL AND REJOINDER IF ANY, TO BE FILED WITHIN THREE WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 12/04/2023 ALLOWED FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 24/07/2023 CONDONED THE DELAY IN FILING OF APPEAL AND DIRECTED REJOINDER TO BE FILED WITHIN A WEEK
SAT: SAT VIDE ITS ORDER DATED 27/08/2024 DIRECTED TO DEPOSIT 50% OF PENALTY AMOUNT WHICH COMES TO RS.12.50 LAC TO SEBI WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 192 |
|
|
ANURUPA DASGUPTA
(PAN:BGLPD8151R)
|
|
|
ALLEGED FAILURE WHILE IN POSSESSION OF UNPUBLISHED MATERIAL INFORMATION ABOUT VALUATION OF DEFAULT SECURITIES AND WITHDREW ENTIRE INVESTMENT FROM FUND TO ADVANTAGE VIOLATING REGULATIONS 3(A), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF BANK OF INDIA INVESTMENT MANAGERS PVT.LTD. (PREVIOUSLY: BOI AXA INVESTMENT MANAGERS PVT.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.39,00,000 VIDE CONSENT ORDER)
28-DEC-2022
|
|
| 193 |
|
|
APOORV NITIN SONTAKKE
(PAN:AQZPS1675G)
|
|
|
INDULGED IN DUBIOUS ACCOUNTING PRACTICES TO DEFRAUD INVESTORS BY MANIPULATING FINANCIAL STATEMENTS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1) AND 4(2)(A), (E), (F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF BLUE BIRD (INDIA) LTD.
INDULGED IN DUBIOUS ACCOUNTING PRACTICES TO DEFRAUD INVESTORS BY MANIPULATING FINANCIAL STATEMENTS VIOLATING CLAUSES 41(I)(A), 41(I)(H), 41(II)(A), 41(IV)(G), 41(IV)(H), 49(IV)(B), 49(IV)(F)(II), 49(V) AND 50 OF SEBI LISTING AGREEMENT
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 18-JUN-2021 TO 17-JUN-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
18-JUN-2021
|
|
| 194 |
|
|
ARCHANA GUPTA
(PAN:AAHPG2849Q)
|
|
|
ALLEGED INDULGENCE IN MAKING FALSE/MISLEADING STATEMENTS AND MISREPRESENTING GDR ISSUE SUBSCRIBED BY SEVERAL INVESTORS WHEN INFACT ISSUE WAS SUBCRIBED BY FUSION INVESTMENTS LTD. VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D), 4(1), 4(2)(F) (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF KEI INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,36,00,000 VIDE CONSENT ORDER)
28-FEB-2019
|
|
| 195 |
|
|
ARCHANA MUKESH PAREKH
(PAN:AGNPP2265K)
|
|
|
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 07-AUG-2020 UNTIL FURTHER ORDERS
CEASED AND DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 07-AUG-2020 UNTIL FURTHER ORDERS
DIRECTED TO OPEN ESCROW ACCOUNT WITH A NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT TO BE PROCEEDS GENERATED FROM FRONT RUNNING TRADES WITHOUT PERMISSION FROM SEBI
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 07-AUG-2020 UNTIL FURTHER ORDERS
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 FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
07-AUG-2020
|
SEBI VIDE ITS ORDER DATED 30/06/2021 DIRECTED SEBI TO RELEASE RS.4,26,481 FROM THE ESCROW ACCOUNT WHICH WAS OPENED FOR THE ALLEGED TRADES EXECUTED FROM THE TRADING ACCOUNT OF MS.ARCHANA MUKESH PAREKH
SEBI VIDE ITS ORDER DATED 30/06/2021 DIRECTED TO A) RESTRAINED FROM BUYING, SELLING OR DEALING IN THE SECURITIES MARKET OR ASSOCIATING THEMSELVES WITH SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER TILL FURTHER DIRECTIONS B) CEASE AND DESIST FROM UNDERTAKING ANY ACTIVITY IN THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER TILL FURTHER DIRECTIONS C) DURING THE PERIOD OF RESTRAINT EXISTING HOLDING, INCLUDING UNITS OF MUTUAL FUNDS AND DEMAT ACCOUNTS SHALL REMAIN FROZEN
SEBI VIDE ITS ORDER DATED 23/01/2023 DIRECTED TO TRANSFER DISGORGEMENT AMOUNT RS.69,61,434.00 ALONG WITH ACCRUED INTEREST FROM ESCROW ACCOUNT TO INVESTOR PROTECTION AND EDUCATION FUND
SAT: SAT VIDE ITS ORDER DATED 07/06/2023 CONDONED THE DELAY IN FILING OF APPEAL. IN THE MEANWHILE, RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER. STAYED IMPUGNED ORDER AND DIRECTED APPELLANT TO DEPOSIT BALANCE DISGORGEMENT AMOUNT AND PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 196 |
|
|
ARCHANA MUKESH PAREKH
(PAN:AGNPP2265K)
|
|
|
ALLEGED INDULGENCE IN FRONT RUNNING THE TRADES OF TATA ABSOLUTE RETURN FUND
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.87,30,881, DISGORGEMENT AMOUNT RS.2,88,269, INTEREST RS.73,165 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
26-DEC-2022
|
|
| 197 |
|
|
ARJUN KISHORBHAI BHUT
(PAN:CSEPB1036P)
|
|
|
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 23-DEC-2024 UNTIL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-DEC-2024 UNTIL FURTHER ORDERS
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.13,61,025
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED NOT TO DEAL IN SHARES OF BHARAT GLOBAL DEVELOPERS LTD. IN ANY MANNER WHATSOEVER FROM 23-DEC-2024 UNTIL FURTHER ORDERS
DIRECTED TO CO-OPERATE WITH SEBI’S INVESTIGATION BY FURNISHING ALL RELEVANT INFORMATION REGARDING THE COMPANY’S COMMERCIAL TRANSACTION, ITRS , MINUTES OF MEETINGS OF COMPANY’S BOARD OF DIRECTORS, EMPLOYEES, EPFO, GST REGISTRATION AND PAYMENTS, COMMUNICATIONS WITH TATA AGRO & CONSUMER PRODUCTS, RELIANCE INDUSTRIES LTD., UPL AGRO PVT.LTD., MC CAIN INDIA AGRO PVT.LTD. REGARDING THE BUSINESS CONTRACTS DISCLOSED TO INVESTORS
23-DEC-2024
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SEBI VIDE ITS ORDER DATED 26/03/2025 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 23/12/2024
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| 198 |
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ARPAN KIRTIKUMAR SHAH
(PAN:BPUPS0701N)
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DHANMATA REALTY PVT.LTD.
PAN:AAECD3808L
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DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-DEC-2024 UNTIL FURTHER ORDERS
DIRECTED TO DISGORGE RS.21,15,78,005 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO CREDIT/DEPOSIT AMOUNT OF UNLAWFUL GAINS IN INTEREST BEARING ESCROW ACCOUNT WITH NATIONALIZED BANK WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND THE AMOUNT KEPT THEREIN NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
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 NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
CEASED AND DESIST FROM DIRECTLY OR INDIRECTLY, ENGAGED IN FRAUDULENT, MANIPULATIVE OR UNFAIR TRADE PRACTICE INCLUDING FRONT RUNNING ACTIVITIES FROM 20-DEC-2024 UNTIL FURTHER ORDERS
20-DEC-2024
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| 199 |
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ARPIT PIYUSHBHAI SHAH
(PAN:BECPS1043E)
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AIDED AND ABETTED MR.PRANAV KAMLESHKUMAR TRIVEDI TO MANIPULATE IN THE SCRIP OF QUASAR INDIA LTD.
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
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IMPOSED PENALTY RS.7,00,000
31-OCT-2025
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| 200 |
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ARPITA VORA
(PAN:AAEPV7626D)
(Along with : KUSHAL P.SHAH,
VARSHA VORA,
KANKUBEN VORA,
PARESH VORA,
JITEN VORA,
MANOJ SHAH,
PARAS MEHTA,
FAIYAZ RANGWALA)
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ANUKARAN COMMERCIAL ENTERPRISES LTD.
PAN:AABCA2578D
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JITEN VORA (HUF)
PAN:AAAHV9089C
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PARESH VORA (HUF)
PAN:AAGHP4006F
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RAJ RADHIKA PROPERTY LTD.
PAN:AAECR0913Q
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RAJDEEP ENTERPRISE
PAN:AAAPV3821G
|
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VAIBHAV ENTERPRISE
PAN:AAAPV3819J
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EXECUTED ELABORATELY ROUTED TRANSACTIONS FOR THE PURPOSE OF FUNDING ITS OWN PREFERENTIAL ALLOTMENT VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ANUKARAN COMMERCIAL ENTERPRISE LTD.
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IMPOSED PENALTY RS.30,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-JUL-2022
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SAT: SAT VIDE ITS ORDER DATED 12/10/2022 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER AND DIRECTED APPELLANTS TO DEPOSIT A SUM OF RS.20 LAC WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 22/12/2022 CONDONED THE DELAY IN FILING OF APPEAL AND DIRECTED REJOINDER TO BE FILED WITHIN THREE WEEKS
SAT: SAT VIDE ITS ORDER DATED 13/02/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 15/10/2025 DISMISSED THE APPEAL. NO COSTS
SEBI VIDE ITS NOTICE DATED 07/01/2026 DIRECTED TO PAY RS.2,87,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 20/01/2026 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.9000 OF 2026 DATED 07/01/2026
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| 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 10 of 105
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