| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 2001 |
|
V.MURALI
(PAN:BZSPM0611F)
|
|
|
AIDED AND ABETTED PROMOTERS AND PROMOTER CONNECTED ENTITIES IN OFF-LOADING OF SHARES IN FRAUDULENT MANNER VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ARVIND REMEDIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 24-AUG-2022 TO 23-FEB-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-AUG-2022 TO 23-FEB-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
IMPOSED PENALTY RS.5,00,000
24-AUG-2022
|
SEBI VIDE ITS NOTICE DATED 26/02/2024 DIRECTED TO PAY RS.5,96,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 20/03/2024 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 15/05/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.6,11,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SAT: SAT VIDE ITS ORDER DATED 14/01/2025 GRANTED TWO DAYS TO FILE IMPUGNED ORDER
SAT: SAT VIDE ITS ORDER DATED 13/02/2025 DISMISSED THE APPEAL. NO COSTS
SEBI VIDE ITS ORDER DATED 28/01/2026 A) PROHIBITED FROM DISPOSING, TRANSFERRING, ALIENATING OR CHARGING IN RESPECT OF ALL THE IMMOVABLE AND MOVABLE PROPERTIES LISTED IN THE ORDER B) PROHIBITED FROM TAKING ANY BENEFIT UNDER SUCH DISPOSAL, TRANSFER, ALIENATION OR CHARGE IN RESPECT OF THE PROPERTIES LISTED IN ORDER C) DIRECTED TO FURNISH COMPLETE DETAILS OF ALL MOVABLE AND IMMOVABLE PROPERTIES HELD BY DEFAULTERS AND CHARGES, IF ANY, ALONG WITH ORIGINAL TITLE DEEDS PERTAINING TO THE PROPERTIES, WITHIN TWO WEEKS FROM DATE OF THIS ORDER AT SEBI, SOUTHERN REGIONAL OFFICE, CHENNAI D) DEFAULTERS AND INSPECTOR GENERAL OF REGISTRATION OF ALL THE STATES AND UNION TERRITORIES AND SPECIFICALLY TO THE CONCERNED TEHSILDARS, DISTRICT REGISTRARS AND SUB-REGISTRARS IN THE STATE OF TAMIL NADU E) NOT TO ACT UPON ANY DOCUMENTS PURPORTING TO BE DEALING WITH TRANSFER, MORTGAGE, CHARGE, LEASE OR CREATION OR ALTERATION OF ANY INTEREST IN ANY OF THE PROPERTIES OWNED / HELD BY THE DEFAULTER, INCLUDING THE SAID PROPERTIES, IF PRESENTED FOR REGISTRATION
|
| 2002 |
|
|
V.N.TIWARI
(PAN:ABDPT5946L)
|
|
|
|
MIDEAST INTEGRATED STEELS LTD.
PAN:AAACM0846P
|
|
INDULGED IN FALSIFICATION/FABRICATION OF BOOKS OF ACCOUNTS AND MANIPULATION OF FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 READ WITH SECTION 27(1) OF SEBI ACT, 1992 IN MATTER OF MIDEAST INTEGRATED STEELS LTD.
INDULGED IN FALSIFICATION/FABRICATION OF BOOKS OF ACCOUNTS AND MANIPULATION OF FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(2)(F)(I)(2), 4(2)(F)(II)(2), 4(2)(F)(II)(6), 4(2)(F)(II)(7), 4(2)(F)(II)(8), 4(2)(F)(III)(7), 17(8) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF MIDEAST INTEGRATED STEELS 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 21-FEB-2024 TO 20-FEB-2026
RESTRAINED FROM HOLDING ANY POSITION OF DIRECTOR OR KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY OR ANY INTERMEDIARY REGISTERED WITH SEBI AND FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY OR PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM 21-FEB-2024 TO 20-FEB-2026
IMPOSED PENALTY RS.75,00,000
21-FEB-2024
|
SAT: SAT VIDE ITS ORDER DATED 15/04/2024 DIRECTED SEBI TO FILE A REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANTS TO FILE REJOINDER WITHIN THREE WEEKS THEREAFTER. STAYED THE DIRECTIONS GAVE IN PARAGRAPH 22.2 OF IMPUGNED ORDER DATED 21/02/2024 FOR ONE MONTH FROM DATE OF THIS ORDER SUBJECT TO THE CONDITION THAT APPELLANTS DEPOSIT RS.1 CRORE IN ESCROW ACCOUNT WITHIN SEVEN DAYS FROM DATE OF THIS ORDER. FURTHER, DIRECTED SEBI TO ENSURE ALL NECESSARY STEPS ARE TAKEN, INCLUDING ISSUING INSTRUCTION TO NSDL TO DEFREEZE DEMAT ACCOUNT OF APPELLANT AND ALLOW FRESH PLEDGE TO BE CREATED IN FAVOUR OF SBICAP TRUSTEE CO.LTD.
SAT: SAT VIDE ITS ORDER DATED 18/06/2024 CONDONED THE DELAY OF 36 DAYS IN FILING OF REPLY AND GRANTED THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 12/11/2024 APPELLANT SOUGHT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 29/04/2025 GRANTED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 2003 |
|
|
V.R.NARASIMHAN
(PAN:AACPN2071J)
|
|
|
|
NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE
CIN:U67120MH1992PLC069769
PAN:AAACN1797L
|
|
ALLEGED FAILURE TO TAKE REMEDIAL MEASURES TO PREVENT / DISCOURAGE ANY
POSSIBLE BYPASS OF TRADING ACCESS POINT (TAP)
ALLEGED FAILURE IN BRING INTO THE NOTICE OF NSES STANDING COMMITTEE THE COMPLAINT DATED 20/11/2013 AND DEFICIENCIES OF TRADING ACCESS POINT (TAP) SYSTEM
ALLEGED DELAY IN APPOINTMENT OF CHIEF INFORMATION SECURITY OFFICER BY NSE, NON-IMPLEMENTATION OF ENCRYPTION FEATURE IN TRADING ACCESS POINT (TAP) ETC. VIOLATING PROVISIONS OF SEBI CIRCULAR DATED 06/07/2015
ALLEGED FAILURE IN DESIGNATE CHIEF TECHNOLOGY OFFICER (CTO) AS KEY MANAGEMENT PERSONNEL (KMP) BY NSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,43,05,30,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
04-OCT-2024
|
|
| 2004 |
|
|
V.R.VENKATESH
(PAN:AAKPV9947M)
|
|
|
|
CG POWER & INDUSTRIAL SOLUTIONS LTD.
PAN:AAACC3840K
|
|
INDULGED IN MIS-STATEMENT OF ACCOUNTS AND DIVERSION OF FUNDS FROM LISTED COMPANY AND/OR ITS SUBSIDIARIES/ASSOCIATES VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D) AND 4(2)(F) & (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CG POWER & INDUSTRIAL SOLUTIONS LTD.
DID NOT MAKE DISCLOSURE OF INFORMATION VIOLATING OF REGULATIONS 4(2)(F)(I)-(II), 4(2)(F)(III)(3) AND (6) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF CG POWER & INDUSTRIAL SOLUTIONS LTD.
DID NOT ADHERE TO CODE OF CONDUCT OF BOARD OF DIRECTORS AND SENIOR MANAGEMENT ON ANNUAL BASIS VIOLATING OF REGULATION 26(3) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF CG POWER & INDUSTRIAL SOLUTIONS LTD.
DID NOT SUBMIT FINANCIAL RESULT VIOLATING REGULATION 33(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF CG POWER & INDUSTRIAL SOLUTIONS 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 17-SEP-2019 TO 16-MAR-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
RESTRAINED FROM ASSOCIATING WITH ANY INTERMEDIARY REGISTERED WITH SEBI OR ANY LISTED ENTITY OR ITS MATERIAL UNLISTED SUBSIDIARY FROM 17-SEP-2019 TO 16-MAR-2023
PERMITTED BSE AND NSE TO ALLOW SQUARE OFF EXISTING OPEN POSITIONS IN FUTURES & OPTIONS SEGMENT, IF ANY, IMMEDIATELY AND DIRECTED CONCERNED STOCK EXCHANGES TO ENSURE THAT NO FRESH POSITIONS ARE CREATED
IMPOSED PENALTY RS.1,00,00,000
17-SEP-2019
|
SAT: APPEAL DISMISSED
SAT: SAT: SAT VIDE ITS ORDER DATED 18/02/2020 ALLOWED THE APPLICATION AND DIRECTED SEBI TO PASS CONFIRMATORY ORDER ON OR BEFORE 10/03/2010
SEBI VIDE ITS ORDER DATED 11/03/2020 DIRECTED TO A) RESTRAIN FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES IN ANY MANNER WHATSOEVER, EITHER DIRECTLY OR INDIRECTLY, TILL FURTHER ORDERS. PERMITTED TO LIQUIDATE UPTO 25% OF VALUE OF SECURITIES HELD BY THEM AS ON DATE OF INTERIM ORDER B) RESTRAINED FROM BEING ASSOCIATED WITH ANY INTERMEDIARY REGISTERED WITH SEBI OR ANY LISTED ENTITY OR ITS MATERIAL UNLISTED SUBSIDIARY, IN ANY MANNER WHATSOEVER,TILL FURTHER ORDERS C) NOT TO TAKE FRESH POSITIONS OR INCREASE THEIR OPEN POSITIONS OR EXECUTE TRADES IN F&O SEGMENT, TILL FURTHER ORDERS
SEBI VIDE ITS ORDER DATED 04/10/2022 DIRECTED TO RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER, FOR THREE YEARS AND SIX MONTHS FROM DATE OF COMING INTO FORCE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 30/11/2022 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 23/01/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 27/02/2023 CONDONED THE DELAY IN FILING OF REJOINDER REPLY BY RESPONDENT. EFFECT AND OPERATION OF IMPUGNED ORDER TO REMAIN STAYED AND APPELLANT TO DEPOSITS 50% OF PENALTY AMOUNT WITHIN THREE WEEKS FROM DATE OF THIS ORDER. IF AMOUNT DEPOSITED, BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF THE APPEAL
|
| 2005 |
|
|
V.SHANKAR
(PAN:AAZPS3984J)
|
|
|
|
DECCAN CHRONICLE HOLDINGS LTD.
CIN:L22122TG2002PLC040110
PAN:AABCD6737D
|
|
MADE PUBLIC ANNOUNCEMENT FOR BUY BACK OF ITS EQUITY SHARES WITHOUT HAVING ADEQUATE FREE RESERVES MISLED INVESTORS/SHAREHOLDERS ABOUT PERCEIVED VALUATION/STRONG FINANCIAL POSITION OF COMPANY VIOLATING SECTIONS 68 AND 77A OF COMPANIES ACT, 1956 AND SECTION 12(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
CARRIED OUT BUYBACK OF ITS EQUITY SHARES MORE THAN 25% OF ITS TOTAL PAID UP CAPITAL LIMIT DURING FY.2011-12 VIOLATING SECTIONS 68 AND 77A OF COMPANIES ACT, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
|
IMPOSED PENALTY RS.10,00,000
22-MAR-2022
|
SAT: SAT VIDE ITS ORDER DATED 16/06/2022 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. STAYED THE EFFECT AND OPERATION OF IMPUGNED ORDER
SAT: SAT VIDE ITS ORDER DATED 01/08/2022 ALLOWED APPELLANT THREE WEEKS TO FILE
SAT: SAT VIDE ITS ORDER DATED 05/08/2022 GRANTED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 24/08/2022 ALLOWED APPELLANT FURTHER TWO WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 05/09/2022 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 01/11/2022 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 22/03/2022
SAT: SAT VIDE ITS ORDER DATED 05/05/2025 ALLOWED THE APPEAL AND SET AISDE IMPUGNED ORDER DATED 22/03/2022. NO COSTS
|
| 2006 |
|
|
V.SHANKAR
(PAN:AAZPS3984J)
|
|
|
|
DECCAN CHRONICLE HOLDINGS LTD.
CIN:L22122TG2002PLC040110
PAN:AABCD6737D
|
|
MADE PUBLIC ANNOUNCEMENT FOR BUY BACK OF ITS EQUITY SHARES WITHOUT HAVING ADEQUATE FREE RESERVES MISLED INVESTORS/SHAREHOLDERS ABOUT PERCEIVED VALUATION/STRONG FINANCIAL POSITION OF COMPANY VIOLATING SECTIONS 68 AND 77A OF COMPANIES ACT, 1956 AND SECTION 12(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
|
DIRECTED NOT TO DIRECTLY OR INDIRECTLY PROVIDE COMPANY SECRETARIAL SERVICES TO ANY LISTED COMPANY OR OFFER SERVICES PERTAINING TO COMPLIANCE OF OBLIGATIONS OF LISTED COMPANIES AND INTERMEDIARIES REGISTERED WITH SEBI FROM 31-DEC-2019 TO 30-DEC-2020
DIRECTED LISTED COMPANIES AND INTERMEDIARIES REGISTERED WITH SEBI TO NOT TO ENGAGE FOR COMPANY SECRETARIAL SERVICES OR ANY AUDIT FIRM ASSOCIATED FROM 31-DEC-2019 TO 30-DEC-2020
31-DEC-2019
|
SAT: SAT VIDE ITS ORDER DATED 19/01/2021 DISMISSED THE APPLICATION FOR CONDONATION OF DELAY OF 380 DAYS IN FILING OF APPEAL. APPEAL DISMISSED
|
| 2007 |
|
|
V.SUBRAMONIAN
(PAN:AANPS8061L)
|
|
|
|
G.V.FILMS LTD.
CIN:L92490MH1989PLC238780
PAN:AAACG2118C
|
|
SIGNED ACCOUNT CHARGES AGREEMENT WHICH PROVIDED GDR PROCEEDS TO BE KEPT AS A SECURITY TOWARDS LOAN AVAILED BY WHITEVIEW FOR SUBSCRIPTION OF GDR VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF G.V.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-JUN-2019 TO 24-JUN-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-JUN-2019 TO 24-JUN-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
25-JUN-2019
|
|
| 2008 |
|
|
V.SUBRAMONIAN
(PAN:AANPS8061L)
|
|
|
|
G.V.FILMS LTD.
CIN:L92490MH1989PLC238780
PAN:AAACG2118C
|
|
INDULGED IN APPROVAL OF BOARD RESOLUTION SUBMITTED TO EURAM BANK VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF GV FILMS LTD.
|
IMPOSED PENALTY RS.5,00,000
29-JAN-2020
|
SAT: SAT VIDE ITS ORDER DATED 09/10/2020 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY TO RS.5 LACS FROM RS.15 LACS
SAT: SAT VIDE ITS ORDER DATED 17/12/2020 CONDONED THE DELAY OF 192 DAYS IN FILING OF APPEAL ON PAYMENT OF RS 25,000.00 AND ALLOWED THREE WEEKS TIME TO RESPONDENT TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
|
| 2009 |
|
|
VAIBHAV S.PANDYA
(PAN:APPPP9112C)
(Along with : BHAVIN ARVIND SHAH,
VIRESH GANGARAM JOSHI,
SUMIT DESAI,
PRIJESH ARUNKUMAR KURANI,
PRANAV PRAFULCHANDRA VORA)
|
|
|
INDULGED IN FRONT RUNNING TRADING ACTIVITIES VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF AXIS MUTUAL FUND
|
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 24-JUL-2026 TO 23-JUL-2029
DIRECTED AMOUNTS DEPOSITED IN ESCROW ACCOUNT AND SHARES RETAINED IN DEMAT ACCOUNT BE NOT WITHDRAWN WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
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
DIRECTED TO DISGORGE RS.1,98,38,703 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
28-FEB-2023
|
SAT: SAT VIDE ITS ORDER DATED 27/03/2026 PARTLY ALLOWED THE APPEAL AND TIME EXTENDED FOR THREE MONTHS FROM DATE OF THIS ORDER TO PASS FINAL ORDER
SEBI VIDE ITS ORDER DATED 24/07/2026 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER, FOR THREE YEARS FROM DATE OF INTERIM ORDER I.E.28/02/2023 B) MONEY IMPOUNDED IN COMPLIANCE WITH DIRECTIONS OF INTERIM ORDER CUM SCN DATED 28/02/2023, WHICH HAS BEEN ALREADY PAID AND/OR REALIZED TO BE TREATED AS DISGORGEMENT AMOUNT AND SAME TO TRANSFERRED TO IPEF WITH SIMPLE INTEREST @12% P.A. FROM THE END OF INVESTIGATION PERIOD UNTIL DEPOSIT OF UNLAWFUL GAINS PURSUANT TO INTERIM ORDER CUM SCN AND AMOUNT TO BE REMITTED TO IPEF
|
| 2010 |
|
|
VAIBHAV S.PANDYA
(PAN:APPPP9112C)
(Along with : VIRESH GANGARAM JOSHI,
SUMIT DESAI,
PRIJESH ARUNKUMAR KURANI,
PRANAV PRAFULCHANDRA VORA,
KRUNAL KHAMAR,
KAMLESH ARJUNDAS DHANRAJANI)
|
|
|
|
OLGA TRADING PVT.LTD.
PAN:AACCO8900C
|
|
INDULGED IN FRONT RUNNING TRADING ACTIVITIES VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF AXIS MUTUAL FUND
|
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 24-JUL-2026 TO 23-JUL-2029
DIRECTED AMOUNTS DEPOSITED IN ESCROW ACCOUNT AND SHARES RETAINED IN DEMAT ACCOUNT BE NOT WITHDRAWN WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
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
DIRECTED TO DISGORGE RS.3,01,08,854 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
28-FEB-2023
|
SAT: SAT VIDE ITS ORDER DATED 27/03/2026 PARTLY ALLOWED THE APPEAL AND TIME EXTENDED FOR THREE MONTHS FROM DATE OF THIS ORDER TO PASS FINAL ORDER
SEBI VIDE ITS ORDER DATED 24/07/2026 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER, FOR THREE YEARS FROM DATE OF INTERIM ORDER I.E.28/02/2023 B) MONEY IMPOUNDED IN COMPLIANCE WITH DIRECTIONS OF INTERIM ORDER CUM SCN DATED 28/02/2023, WHICH HAS BEEN ALREADY PAID AND/OR REALIZED TO BE TREATED AS DISGORGEMENT AMOUNT AND SAME TO TRANSFERRED TO IPEF WITH SIMPLE INTEREST @12% P.A. FROM THE END OF INVESTIGATION PERIOD UNTIL DEPOSIT OF UNLAWFUL GAINS PURSUANT TO INTERIM ORDER CUM SCN AND AMOUNT TO BE REMITTED TO IPEF
|
| 2011 |
|
|
VAIBHAV S.PANDYA
(PAN:APPPP9112C)
(Along with : VIRESH GANGARAM JOSHI,
SUMIT DESAI,
PRIJESH ARUNKUMAR KURANI,
SURESH KANMAL JAJOO,
VIMLA S.JAJOO,
ANKIT JAJOO,
SHEEPRA SUMEET KABRA)
|
|
|
|
VISA CAPITAL PARTNERS
PAN:AAGFV6839A
|
|
INDULGED IN FRONT RUNNING TRADING ACTIVITIES VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF AXIS MUTUAL FUND
|
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 24-JUL-2026 TO 23-JUL-2029
DIRECTED AMOUNTS DEPOSITED IN ESCROW ACCOUNT AND SHARES RETAINED IN DEMAT ACCOUNT BE NOT WITHDRAWN WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
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
DIRECTED TO DISGORGE RS.14,07,03,341 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
28-FEB-2023
|
SAT: SAT VIDE ITS ORDER DATED 27/03/2026 PARTLY ALLOWED THE APPEAL AND TIME EXTENDED FOR THREE MONTHS FROM DATE OF THIS ORDER TO PASS FINAL ORDER
SEBI VIDE ITS ORDER DATED 24/07/2026 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER, FOR THREE YEARS FROM DATE OF INTERIM ORDER I.E.28/02/2023 B) MONEY IMPOUNDED IN COMPLIANCE WITH DIRECTIONS OF INTERIM ORDER CUM SCN DATED 28/02/2023, WHICH HAS BEEN ALREADY PAID AND/OR REALIZED TO BE TREATED AS DISGORGEMENT AMOUNT AND SAME TO TRANSFERRED TO IPEF WITH SIMPLE INTEREST @12% P.A. FROM THE END OF INVESTIGATION PERIOD UNTIL DEPOSIT OF UNLAWFUL GAINS PURSUANT TO INTERIM ORDER CUM SCN AND AMOUNT TO BE REMITTED TO IPEF
|
| 2012 |
|
|
VAIBHAV S.PANDYA
(PAN:APPPP9112C)
(Along with : NISHIL SURENDRABHAI MARFATIA,
VIRESH GANGARAM JOSHI,
SUMIT DESAI,
PRIJESH ARUNKUMAR KURANI,
PRANAV PRAFULCHANDRA VORA)
|
|
|
INDULGED IN FRONT RUNNING TRADING ACTIVITIES VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF AXIS MUTUAL FUND
|
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 24-JUL-2026 TO 23-JUL-2029
DIRECTED AMOUNTS DEPOSITED IN ESCROW ACCOUNT AND SHARES RETAINED IN DEMAT ACCOUNT BE NOT WITHDRAWN WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
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
DIRECTED TO DISGORGE RS.3,08,28,714 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
28-FEB-2023
|
SAT: SAT VIDE ITS ORDER DATED 27/03/2026 PARTLY ALLOWED THE APPEAL AND TIME EXTENDED FOR THREE MONTHS FROM DATE OF THIS ORDER TO PASS FINAL ORDER
SEBI VIDE ITS ORDER DATED 24/07/2026 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER, FOR THREE YEARS FROM DATE OF INTERIM ORDER I.E.28/02/2023 B) MONEY IMPOUNDED IN COMPLIANCE WITH DIRECTIONS OF INTERIM ORDER CUM SCN DATED 28/02/2023, WHICH HAS BEEN ALREADY PAID AND/OR REALIZED TO BE TREATED AS DISGORGEMENT AMOUNT AND SAME TO TRANSFERRED TO IPEF WITH SIMPLE INTEREST @12% P.A. FROM THE END OF INVESTIGATION PERIOD UNTIL DEPOSIT OF UNLAWFUL GAINS PURSUANT TO INTERIM ORDER CUM SCN AND AMOUNT TO BE REMITTED TO IPEF
|
| 2013 |
|
|
VAIBHAV S.PANDYA
(PAN:APPPP9112C)
|
|
|
INDULGED IN FRONT RUNNING TRADING ACTIVITIES VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF AXIS MUTUAL FUND
|
IMPOSED PENALTY RS.5,00,000
24-JUL-2026
|
|
| 2014 |
|
|
VAIBHAV S.PANDYA
(PAN:APPPP9112C)
(Along with : RUPAL BHAVIN SHAH,
VIRESH GANGARAM JOSHI,
SUMIT DESAI,
PRIJESH ARUNKUMAR KURANI,
PRANAV PRAFULCHANDRA VORA)
|
|
|
INDULGED IN FRONT RUNNING TRADING ACTIVITIES VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF AXIS MUTUAL FUND
|
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 24-JUL-2026 TO 23-JUL-2029
DIRECTED AMOUNTS DEPOSITED IN ESCROW ACCOUNT AND SHARES RETAINED IN DEMAT ACCOUNT BE NOT WITHDRAWN WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
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
DIRECTED TO DISGORGE RS.1,41,85,266 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
28-FEB-2023
|
SAT: SAT VIDE ITS ORDER DATED 27/03/2026 PARTLY ALLOWED THE APPEAL AND TIME EXTENDED FOR THREE MONTHS FROM DATE OF THIS ORDER TO PASS FINAL ORDER
SEBI VIDE ITS ORDER DATED 24/07/2026 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER, FOR THREE YEARS FROM DATE OF INTERIM ORDER I.E.28/02/2023 B) MONEY IMPOUNDED IN COMPLIANCE WITH DIRECTIONS OF INTERIM ORDER CUM SCN DATED 28/02/2023, WHICH HAS BEEN ALREADY PAID AND/OR REALIZED TO BE TREATED AS DISGORGEMENT AMOUNT AND SAME TO TRANSFERRED TO IPEF WITH SIMPLE INTEREST @12% P.A. FROM THE END OF INVESTIGATION PERIOD UNTIL DEPOSIT OF UNLAWFUL GAINS PURSUANT TO INTERIM ORDER CUM SCN AND AMOUNT TO BE REMITTED TO IPEF
|
| 2015 |
|
|
VAISHALI P.KHOKHARIYA
(PAN:APQPK5082F)
|
|
|
MISLED INVESTORS BY FUNDING ITS OWN PREFERENTIAL ISSUE TO THE EXTENT OF RS.34.5 LAC VIOLATING REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF TILAK FINANCE LTD. (NOW TILAK VENTURES LTD.)
|
IMPOSED PENALTY RS.70,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-JUL-2021
|
|
| 2016 |
|
|
VALLIAMMAL MURUGAN M.THEVAR
(PAN:AAGPT5653G)
|
|
|
INDULGED IN SIPHONING OFF RS.64.43 CRORES (APPROX) FROM IPO PROCEEDS VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF SUDAR INDUSTRIES LTD.
|
IMPOSED PENALTY RS.8,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-MAY-2022
|
SAT: SAT VIDE ITS ORDER DATED 26/04/2024 ALLOWED SEBI THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 18/06/2024 CONDONED THE DELAY OF 31 DAYS IN FILING OF REPLY
SAT: SAT VIDE ITS ORDER DATED 09/07/2024 GRANTED TWO WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 04/09/2024 GRANTED APPELLANT TWO WEEKS TO FILE MEMORANDUM OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 27/11/2024 GRANTED APPELLANT TWO WEEKS TO FILE REJOINDER
|
| 2017 |
|
|
VANDANA BHARRGAVA
(PAN:AIHPB8701C)
(Along with : SUBRATA ROY SAHARA,
ASHOK ROY CHOUDHARY,
RAVI SHANKER DUBEY)
|
|
|
|
SAHARA INDIA REAL ESTATE CORP.LTD.
PAN:AAJCS7265F
|
|
RAISED MONEY BY ISSUING OPTIONALLY FULLY CONVERTIBLE DEBENTURES (OFCDS) WITHOUT FOLLOWING VARIOUS PROCEDURES VIOLATING CLAUSES 2.1.1, 2.1.4, 2.1.5, 2.2, 2.5, 2.8, 4.11, 4.14, 5.3.1, 5.6.2, 6 TO 6.15, 8.8.1, 8.17, 10 TO 10.6 AND 10.9 OF DIP GUIDELINES READ WITH REGULATIONS 4(2), 5(1), 5(7), 6, 7, 16(1), 20(1), 25, 26, 36, 37, 46 AND 57 OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF SAHARA INDIA REAL ESTATE CORP.LTD. AND SAHARA HOUSING INVESTMENT CORP.LTD.
MADE UNTRUE STATEMENTS AND MIS-STATEMENTS IN RED HERRING PROSPECTUS (RHP) BY MISLEAD/INDUCE TO INVESTORS INTO SUBSCRIBING TO OPTIONALLY FULLY CONVERTIBLE DEBENTURES (OFCDS) VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SAHARA INDIA REAL ESTATE CORP.LTD. AND SAHARA HOUSING INVESTMENT CORP.LTD.
DID NOT PROVIDE INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON IN MATTER OF SAHARA INDIA REAL ESTATE CORP.LTD. AND SAHARA HOUSING INVESTMENT CORP.LTD.
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.6,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-JUN-2022
|
SEBI VIDE ITS NOTICE DATED 07/12/2022 DIRECTED TO PAY RS.6,42,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 26/12/2022 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 ORDER DATED 28/03/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6098 OF 2022 DATED 07/12/2022
SEBI VIDE ITS NOTICE DATED 06/04/2023 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 26/12/2022
|
| 2018 |
|
|
VANDANA BHARRGAVA
(PAN:AIHPB8701C)
(Along with : SUBRATA ROY SAHARA,
ASHOK ROY CHOUDHARY,
RAVI SHANKER DUBEY)
|
|
|
|
SAHARA HOUSING INVESTMENT CORP.LTD.
PAN:AAJCS4101J
|
|
RAISED MONEY THROUGH PUBLIC ISSUE OF SECURITIES BY ISSUING OPTIONALLY FULLY CONVERTIBLE DEBENTURES (OFCDS) WITHOUT FOLLOWING VARIOUS PROCEDURES VIOLATING REGULATIONS 4(2), 5(1), 5(7), 6, 7, 16(1), 20(1), 25, 26, 36, 37, 46 AND 57 OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF SAHARA INDIA REAL ESTATE CORP.LTD. AND SAHARA HOUSING INVESTMENT CORP.LTD.
MADE UNTRUE STATEMENTS AND MIS-STATEMENTS IN RED HERRING PROSPECTUS (RHP) BY MISLEAD/INDUCE TO INVESTORS INTO SUBSCRIBING TO OPTIONALLY FULLY CONVERTIBLE DEBENTURES (OFCDS) VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SAHARA INDIA REAL ESTATE CORP.LTD. AND SAHARA HOUSING INVESTMENT CORP.LTD.
DID NOT PROVIDE INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON IN MATTER OF SAHARA INDIA REAL ESTATE CORP.LTD. AND SAHARA HOUSING INVESTMENT CORP.LTD.
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.6,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-JUN-2022
|
SEBI VIDE ITS NOTICE DATED 12/01/2023 DIRECTED TO PAY RS.6,48,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 01/02/2023 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
SEBI VIDE ITS ORDER DATED 06/04/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6210 OF 2023 DATED 12/01/2023
SEBI VIDE ITS NOTICE DATED 06/04/2023 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 01/02/2023
|
| 2019 |
|
|
VANDANA SINHA
(PAN:ASUPS6193E)
(Along with : SANJEEV KUMAR SINHA,
AMITA SINHA)
|
|
|
|
AADYA COMMODITIES PVT.LTD.
PAN:AAHCA2094C
|
|
|
AMRAPALI AADYA TRADING & INVESTMENT PVT.LTD.
PAN:AAECA3909P
|
|
DID NOT SUBMIT INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
MISUSED PLEDGING OF CLIENT’S SECURITIES
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
DID NOT REDRESS INVESTOR COMPLAINTS
FALSIFIED TRIAL BALANCE, BANK BOOKS AND CONCEALED THE INFORMATION RELATED TO PLEDGING OF SECURITIES, CASH WITHDRAWAL AND FUND MOVEMENT RELATED TO ENTITIES VIOLATING SECTIONS 12(A) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2) (P) OF SEBI (PFUTP) REGULATIONS, 2003
|
IMPOSED PENALTY RS.25,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-APR-2022
|
SAT: SAT VIDE ITS ORDER DATED 12/10/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 17/11/2022 ALLOWED THREE WEEKS TO FILE REPLY
SAT: SAT VIDE ITS ORDER DATED 06/01/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 09/02/2023 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 23/03/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 01/05/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANTS FURTHER THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 16/08/2023 DIRECTED TO PAY RS.29,25,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 16/10/2023 CONDONED THE DELAY IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 13/12/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED THE EXEMPTION APPLICATION
SEBI VIDE ITS ORDER DATED 28/02/2024 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 04/04/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.31,25,01,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 2020 |
|
|
VANITA KALPESH OSWAL
(PAN:ADEPJ7018C)
|
|
|
PARTICIPATED IN FRAUDULENT DEVICE, SCHEME OR ARTIFICIAL AT VARIOUS STAGES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D), 4(1) AND 4(2)(A) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RIDDHI SIDDHI GLUCO BIOLS LTD.
FRAUDULENTLY TRADED TO MAKE DELISTING OFFER SUCCESSFUL VIOLATING REGULATIONS 4(5)(A) TO 4(5)(C) OF SEBI (DELISTING OF EQUITY SHARES) REGULATIONS, 2009 IN MATTER RIDDHI SIDDHI GLUCO BIOLS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-MAR-2026 TO 08-JUN-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-MAR-2026 TO 08-JUN-2026
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 09-MAR-2026 TO 08-JUN-2026
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
11-AUG-2021
|
SAT: SAT VIDE ITS ORDER DATED 28/10/2021 DIRECTED APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS FROM DATE OF THIS ORDER. EFFECT AND OPERATION OF THE IMPUGNED ORDER STAYED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 07/04/2022 GRANTED APPELLANT THREE WEEKS & NO MORE TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 09/03/2026 PARTLY ALLOWED THE APPEAL BY REDUCING DEBARMENT PERIOD TO THREE MONTHS FROM TWO YEAR
|
| 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 101 of 108
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