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SOURCE OF INFORMATION

SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
UPDATED TILL : 03-JUL-2025

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

PERSONS: DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY

S.No. PERSON ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
361
History of entity/person RAKESH RAJENDRA BHOJGADHIYA

(PAN:AKRPB5208J)  
  TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(2) AND 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MAGMA FINCORP LTD. (NOW KNOWN AS POONAWALLA FINCORP LTD.)

COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MAGMA FINCORP LTD. (NOW KNOWN AS POONAWALLA FINCORP LTD.)  
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-SEP-2021 UNTIL FURTHER ORDERS

DIRECTED TO IMPOUND BANK ACCOUNTS

DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT

DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 15-SEP-2021 UNTIL FURTHER ORDERS

DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY

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 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 IMPOUND UNLAWFUL GAIN RS.11,82,76,861 ALONG WITH OTHER ENTITIES/PERSONS

15-SEP-2021
SEBI VIDE ITS ORDER DATED 28/03/2022 A) DIRECTED TO RESTRAINED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES DIRECTLY OR INDIRECTLY IN ANY MANNER, WHATSOEVER UNTIL FURTHER ORDERS AND DIRECTIONS ISSUED VIDE ITS INTERIM ORDER STAND MODIFIED TO THE EXTENT OF ALLOWING CREDIT AND DEBIT OF SECURITIES IN THE ACCOUNTS B) CLARIFIED THAT RESTRAINT RELATED TO BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES IN RESPECT OF PFL (MAGMA) WOULD NOT PROHIBIT THE CREDIT OF SHARES TO RECEIVED ON ACCOUNT OF STOCK OPTION, BONUS ETC. ISSUED BY THE COMPANY C) CLARIFIED THAT THE FUNDS DEPOSITED BY ENTITIES IN INTEREST BEARING ESCROW ACCOUNT WILL REMAIN IN SAID ACCOUNT WITH LIEN IN FAVOUR OF SEBI UNTIL FURTHER ORDERS

SEBI VIDE ITS ORDER DATED 22/06/2023 REVOKED THE DIRECTIONS ISSUED VIDE ITS EX-PARTE AD-INTERIM ORDER DATED 15/09/2021 AND CONFIRMATORY ORDER DATED 28/03/2022  
362
History of entity/person RAMIT CHAUDHRI

(PAN:ADXPC7706P)  
  INDULGED IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION AND COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(E) OF SEBI ACT, 1992 AND REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF INFOSYS 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 31-JAN-2025 TO 30-JAN-2026

DIRECTED TO IMPOUND BANK ACCOUNTS

DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT

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 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 BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 31-JAN-2025 TO 30-JAN-2026

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 REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES

27-SEP-2021
SAT: SAT VIDE ITS ORDER DATED 27/10/2021 DISPOSED OFF THE APPEAL WITH THE DIRECTION THAT IT WOULD BE OPEN TO APPELLANT TO FILE REPLY ALONG WITH STAY VACATING APPLICATION WITHIN TWO WEEKS FROM DATE OF THIS ORDER

SEBI VIDE ITS ORDER DATED 13/12/2021 CONFIRMED DIRECTIONS ISSUED VIDE ITS EX-PARTE AD-INTERIM ORDER DATED 27/09/2021 SUBJECT TO MODIFICATION: A) NOT APPLY TO INVESTMENT IN MUTUAL FUNDS AND B) ALLOWED CREDIT OF SECURITIES AND CREDIT & DEBIT OF MUTUAL FUND UNITS IN THE ACCOUNTS  
363
History of entity/person REKHA KURANI

(PAN:AQCPK5061H)

(Along with : VIRESH GANGARAM JOSHI,
PRIJESH ARUNKUMAR KURANI)  
  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   PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES (INCLUDING UNITS OF MUTUAL FUNDS) DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 28-FEB-2023 UNTIL FURTHER ORDERS

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 DEPOSITORIES 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.1,40,36,645 ALONG WITH OTHER ENTITIES/PERSONS

28-FEB-2023
 
364
History of entity/person REKHA KURANI

(PAN:AQCPK5061H)

(Along with : PRIJESH ARUNKUMAR KURANI,
VIKAS GARG,
SANDEEP KUMAR SRIVASTAVA)  
  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF V MARC INDIA LTD.   DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2024 UNTIL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-FEB-2024 UNTIL FURTHER ORDERS

DIRECTED TO DISGORGE RS.87,74,400 ALONG WITH OTHER ENTITIES/PERSONS

DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI

DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY

ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF COMPLYING WITH THIS ORDER

DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT

28-FEB-2024
SEBI VIDE ITS ORDER DATED 26/07/2024 CONFIRMED DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 28/02/2024 BY MODIFYING TOTAL AMOUNT TO RS.6,30,79,750.00 AS MR.JAIKISHORR SINGHAL HAS DEPOSITED ALLEGED ILLEGAL GAINS MADE BY HIM AND FUNDS DEPOSITED BY THE ENTITIES IN ESCROW ACCOUNT OR SAVINGS ACCOUNT AS DIRECTED IN THE INTERIM ORDER TO REMAIN IN SAID ACCOUNT WITH LIEN IN FAVOUR OF SEBI UNTIL FURTHER ORDERS

SAT: SAT VIDE ITS ORDER DATED 02/09/2024 DIRECTED REPLY TO BE FILED WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND REJOINDER, IF ANY, TO BE FILED WITHIN TWO WEEKS THEREAFTER  
365
History of entity/person RIDDHI KALAPI SHAH

(PAN:AAIPS0707L)  
Click here to view complete history of this specific entity/person TEJI MANDI ANALYTICS PVT.LTD.

PAN:AACCT9530H
 
OFFERED DERIVATIVES ADVISORY SERVICES

MISSTATEMENT ABOUT DEBTORS AND CREDITORS

SHORTFALL OF CLIENTS FUNDS AND SECURITIES

PAYMENTS MADE TO CLIENTS HAVING RUNNING DEBIT BALANCE

DISCREPANCIES IN MAINTENANCE OF CLIENT RECORDS  
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR TO CREATE OR INVOKE OR RELEASE ANY INTEREST OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF NSE AND BSE

DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS (INCLUDING ASSETS UNDER POSSESSION OF RECEIVER APPOINTED BY HON'BLE HIGH COURT OF BOMBAY) 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 DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS

DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY

13-NOV-2020
SAT: SAT VIDE ITS ORDER DATED 27/04/2021 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER

SAT: SAT VIDE ITS ORDER DATED 03/08/2021 DISPOSED OFF THE APPLICATION. ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 30/11/2020. DIRECTED RESPONDENT TO ISSUE SHOW CAUSE NOTICE TO APPELLANT AND PROCEED FROM THERE ONWARDS  
366
History of entity/person RISHABH JAIN

(PAN:AFKPJ6640Q)  
  ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION   DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 21-JUL-2020 TO 20-JUL-2023

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-JUL-2020 TO 20-JUL-2023

DIRECTED TO CEASE & DESIST FROM ACTING AS AN INVESTMENT ADVISOR AND/OR ALTERNATIVE INVESTMENT FUND AND CEASE TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER UNREGISTERED ACTIVITIES IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 21-JUL-2020 TO 20-JUL-2023

DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO THOSE SCHEMES / ACTIVITIES (INVESTMENT ADVISER AND ALTERNATIVE INVESTMENT FUND, AND/OR RESEARCH ANALYST) OR ANY UNREGISTERED ACTIVITIES FROM 21-JUL-2020 TO 20-JUL-2023

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 DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS

DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY

DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT NOT TRANSFERRED SECURITIES HELD JOINTLY OR SEVERALLY

DIRECTED TO REFUND MONEY TO THE INVESTORS

DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY

DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER

RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM

RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 21-JUL-2020 TO 20-JUL-2023

20-MAR-2019
SEBI VIDE ITS ORDER DATED 21/07/2020 DIRECTED TO A) JOINTLY AND SEVERALLY REFUND THE MONEY RECEIVED FROM CLIENTS/INVESTORS AS FEES/PROFIT SHARING/COMPENSATION B) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING MODALITIES FOR REFUND C) REPAYMENTS TO THE CLIENTS/INVESTORS SHALL BE EFFECTED ONLY THROUGH BANK DEMAND DRAFT OR PAY ORDER D) PREVENTED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES IN DEMAT AND PHYSICAL FORM EXCEPT FOR SOLE PURPOSE OF MAKING THE REFUNDS AS DIRECTED FURTHER BANKS ARE ALLOWED DEBIT ONLY FOR PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS E) FILE REPORT OF SUCH COMPLETION OF WITH SEBI DULY CERTIFIED FROM INDEPENDENT CHARTERED ACCOUNTANTS LICENSED BY INSTITUTE OF CHARTERED ACCOUNTS OF INDIA F) DEBARRED FROM ACCESSING SECURITIES MARKET DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER FOR 3 (THREE) YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS G) RESTRAINED FROM ASSOCIATING WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC, OR ANY INTERMEDIARY REGISTERED WITH SEBI IN THE CAPACITY OF DIRECTOR/PROMOTER/SENIOR MANAGEMENT FOR 3 (THREE) YEARS FROM THE DATE OF COMPLETION OF REFUNDS TO INVESTORS H) NOT TO UNDERTAKE, EITHER DIRECTLY OR INDIRECTLY, INVESTMENT ADVISORY SERVICES OR ANY ACTIVITY IN THE SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI

SAT: SAT VIDE ITS ORDER DATED 10/05/2021 CONDONED THE DELAY IN FILING OF APPEAL. ALLOWED RESPONDENT THREE WEEKS TIME TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER  
367
History of entity/person ROMIKA

(PAN:DSZPR7910C)

(Along with : RAJNEESH KUMAR,
ASHISH PANALAL SHAH,
KIRTIDAN K.GADHAVI)  
  AIDED AND ABETTED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUPERIOR FINLEASE LTD.

INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUPERIOR FINLEASE LTD.  
DIRECTED TO DISGORGE RS.16,16,000 ALONG WITH OTHER ENTITIES/PERSONS

DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT

DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY

DIRECTED DEPOSITORIES THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI

DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 22-MAY-2024 TO 21-MAY-2029

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 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

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-MAY-2024 TO 21-MAY-2029

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-MAY-2024 TO 21-MAY-2029

DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)

25-JAN-2023
SEBI VIDE ITS ORDER DATED 22/05/2024 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 FIVE YEARS FROM DATE OF THIS ORDER B) DISGORGE RS.16.16 LAC ALONG WITH SIMPLE INTEREST @ 12% P.A. CALCULATED FROM 14/09/2021 TILL DATE OF ACTUAL PAYMENT /IMPOUNDING AND AMOUNT TO BE REMITTED TO IPEF WITHIN FORTY FIVE DAYS FROM DATE OF RECEIPT OF THIS ORDER

SEBI VIDE ITS NOTICE DATED 22/11/2024 DIRECTED TO PAY RS.17,30,120.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE  
368
History of entity/person ROOP LAL AGGARWAL

(PAN:ABIPA6590N)  
  MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS   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 11-OCT-2019 TO 28-JUN-2023

DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 11-OCT-2019 TO 28-JUN-2023

DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR TO CREATE OR INVOKE OR RELEASE ANY INTEREST OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF NSE AND BSE

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 UTILIZE ASSETS OF THE ENTITIES ONLY FOR THE PURPOSE OF PAYMENT OF MONEY AND/OR DELIVERY OF SECURITIES, AS THE CASE MAY BE, TO CLIENTS/INVESTORS UNDER THE SUPERVISION OF CONCERNED STOCK EXCHANGE(S)

DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS

DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY

DIRECTED EXCHANGES AND/OR CLEARING CORPORATIONS AND/OR DEPOSITORIES TO APPOINT FORENSIC AUDITOR TO TRACK MISUSE OF CLIENT'S FUNDS/SECURITIES AND TO IDENTIFY NET ASSETS/LIABILITIES

DIRECTED EXCHANGES TO DEAL WITH COMPLAINTS/CLAIMS OF CLIENTS AGAINST MEMBER AND RETURN AMOUNT OF CLIENT FUND AND SECURITIES TO CLIENTS

11-OCT-2019
SEBI VIDE ITS ORDER DATED 24/01/2020 REVOKED DIRECTIONS ISSUED VIDE ITS EX-PARTE AD-INTERIM ORDER DATED 11/10/2019  
369
History of entity/person RUPAL BHAVIN SHAH

(PAN:AUWPS1058E)

(Along with : VIRESH GANGARAM JOSHI,
SUMIT DESAI,
PRIJESH ARUNKUMAR KURANI,
PRANAV VORA,
VAIBHAV S.PANDYA)  
  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   PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES (INCLUDING UNITS OF MUTUAL FUNDS) DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 28-FEB-2023 UNTIL FURTHER ORDERS

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 DEPOSITORIES 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

28-FEB-2023
 
370
History of entity/person SACHIN BAKUL DAGLI

(PAN:AIQPD7495J)  
  INDULGED IN FRONT RUNNING THE TRADES OF PNB METLIFE INDIA INSURANCE CO. AND INSTITUTIONAL CLIENTS OF INVESTEC AND MADE UNLAWFUL PROFITS 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 DHANMATA REALTY PVT.LTD. AND OTHERS   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 SHALL BE MADE WITHOUT PERMISSION OF SEBI

DIRECTED BANKS AND DEPOSITORIES 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 CEASE & 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
 
371
History of entity/person SANDEEP JINDAL

(PAN:AETPJ4553L)  
  MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS   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 11-OCT-2019 TO 28-JUN-2023

DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 11-OCT-2019 TO 28-JUN-2023

DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR TO CREATE OR INVOKE OR RELEASE ANY INTEREST OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF NSE AND BSE

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 UTILIZE ASSETS OF THE ENTITIES ONLY FOR THE PURPOSE OF PAYMENT OF MONEY AND/OR DELIVERY OF SECURITIES, AS THE CASE MAY BE, TO CLIENTS/INVESTORS UNDER THE SUPERVISION OF CONCERNED STOCK EXCHANGE(S)

DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS

DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY

DIRECTED EXCHANGES AND/OR CLEARING CORPORATIONS AND/OR DEPOSITORIES TO APPOINT FORENSIC AUDITOR TO TRACK MISUSE OF CLIENT'S FUNDS/SECURITIES AND TO IDENTIFY NET ASSETS/LIABILITIES

DIRECTED EXCHANGES TO DEAL WITH COMPLAINTS/CLAIMS OF CLIENTS AGAINST MEMBER AND RETURN AMOUNT OF CLIENT FUND AND SECURITIES TO CLIENTS

11-OCT-2019
SEBI VIDE ITS ORDER DATED 24/01/2020 CONFIRMED DIRECTIONS ISSUED VIDE ITS EX-PARTE AD-INTERIM ORDER DATED 11/10/2019

SEBI VIDE ITS ORDER DATED 28/06/2023 VACATED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 11/10/2019 AND CONFIRMATORY ORDER DATED 24/01/2020  
372
History of entity/person SANDEEP KUMAR SRIVASTAVA

(PAN:BBPPS9858B)

(Along with : JAI KISHORR SINGHAL,
PRIJESH ARUNKUMAR KURANI,
VIKAS GARG)  
  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF V MARC INDIA LTD.   DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2024 UNTIL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-FEB-2024 UNTIL FURTHER ORDERS

DIRECTED TO DISGORGE RS.7,82,553 ALONG WITH OTHER ENTITIES/PERSONS

DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI

DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY

ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF COMPLYING WITH THIS ORDER

DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT

28-FEB-2024
SEBI VIDE ITS ORDER DATED 26/07/2024 CONFIRMED DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 28/02/2024 BY MODIFYING TOTAL AMOUNT TO RS.6,30,79,750.00 AS MR.JAIKISHORR SINGHAL HAS DEPOSITED ALLEGED ILLEGAL GAINS MADE BY HIM AND FUNDS DEPOSITED BY THE ENTITIES IN ESCROW ACCOUNT OR SAVINGS ACCOUNT AS DIRECTED IN THE INTERIM ORDER TO REMAIN IN SAID ACCOUNT WITH LIEN IN FAVOUR OF SEBI UNTIL FURTHER ORDERS

SAT: SAT VIDE ITS ORDER DATED 02/09/2024 DIRECTED REPLY TO BE FILED WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND REJOINDER, IF ANY, TO BE FILED WITHIN TWO WEEKS THEREAFTER  
373
History of entity/person SANDEEP KUMAR SRIVASTAVA

(PAN:BBPPS9858B)

(Along with : REKHA KURANI,
PRIJESH ARUNKUMAR KURANI,
VIKAS GARG)  
  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF V MARC INDIA LTD.   DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2024 UNTIL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-FEB-2024 UNTIL FURTHER ORDERS

DIRECTED TO DISGORGE RS.87,74,400 ALONG WITH OTHER ENTITIES/PERSONS

DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI

DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY

ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF COMPLYING WITH THIS ORDER

DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT

28-FEB-2024
SEBI VIDE ITS ORDER DATED 26/07/2024 CONFIRMED DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 28/02/2024 BY MODIFYING TOTAL AMOUNT TO RS.6,30,79,750.00 AS MR.JAIKISHORR SINGHAL HAS DEPOSITED ALLEGED ILLEGAL GAINS MADE BY HIM AND FUNDS DEPOSITED BY THE ENTITIES IN ESCROW ACCOUNT OR SAVINGS ACCOUNT AS DIRECTED IN THE INTERIM ORDER TO REMAIN IN SAID ACCOUNT WITH LIEN IN FAVOUR OF SEBI UNTIL FURTHER ORDERS

SAT: SAT VIDE ITS ORDER DATED 02/09/2024 DIRECTED REPLY TO BE FILED WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND REJOINDER, IF ANY, TO BE FILED WITHIN TWO WEEKS THEREAFTER  
374
History of entity/person SANDEEP KUMAR SRIVASTAVA

(PAN:BBPPS9858B)

(Along with : SUDHIR GUPTA,
PRIJESH ARUNKUMAR KURANI,
VIKAS GARG)  
  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF V MARC INDIA LTD.   DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2024 UNTIL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-FEB-2024 UNTIL FURTHER ORDERS

DIRECTED TO DISGORGE RS.1,89,53,850 ALONG WITH OTHER ENTITIES/PERSONS

DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI

DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY

ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF COMPLYING WITH THIS ORDER

DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT

28-FEB-2024
SEBI VIDE ITS ORDER DATED 26/07/2024 CONFIRMED DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 28/02/2024 BY MODIFYING TOTAL AMOUNT TO RS.6,30,79,750.00 AS MR.JAIKISHORR SINGHAL HAS DEPOSITED ALLEGED ILLEGAL GAINS MADE BY HIM AND FUNDS DEPOSITED BY THE ENTITIES IN ESCROW ACCOUNT OR SAVINGS ACCOUNT AS DIRECTED IN THE INTERIM ORDER TO REMAIN IN SAID ACCOUNT WITH LIEN IN FAVOUR OF SEBI UNTIL FURTHER ORDERS

SAT: SAT VIDE ITS ORDER DATED 02/09/2024 DIRECTED REPLY TO BE FILED WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND REJOINDER, IF ANY, TO BE FILED WITHIN TWO WEEKS THEREAFTER  
375
History of entity/person SANDEEP KUMAR SRIVASTAVA

(PAN:BBPPS9858B)

(Along with : SURBHI AGGARWAL,
PRIJESH ARUNKUMAR KURANI,
VIKAS GARG)  
  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF V MARC INDIA LTD.   DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2024 UNTIL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-FEB-2024 UNTIL FURTHER ORDERS

DIRECTED TO DISGORGE RS.3,53,51,500 ALONG WITH OTHER ENTITIES/PERSONS

DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI

DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY

ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF COMPLYING WITH THIS ORDER

DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT

28-FEB-2024
SEBI VIDE ITS ORDER DATED 26/07/2024 CONFIRMED DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 28/02/2024 BY MODIFYING TOTAL AMOUNT TO RS.6,30,79,750.00 AS MR.JAIKISHORR SINGHAL HAS DEPOSITED ALLEGED ILLEGAL GAINS MADE BY HIM AND FUNDS DEPOSITED BY THE ENTITIES IN ESCROW ACCOUNT OR SAVINGS ACCOUNT AS DIRECTED IN THE INTERIM ORDER TO REMAIN IN SAID ACCOUNT WITH LIEN IN FAVOUR OF SEBI UNTIL FURTHER ORDERS

SAT: SAT VIDE ITS ORDER DATED 02/09/2024 DIRECTED REPLY TO BE FILED WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND REJOINDER, IF ANY, TO BE FILED WITHIN TWO WEEKS THEREAFTER  
376
History of entity/person SANDEEP SHAMBHARKAR

(PAN:AZDPS3139C)  
  INDULGED IN FRONT RUNNING THE TRADES OF PNB METLIFE INDIA INSURANCE CO. AND INSTITUTIONAL CLIENTS OF INVESTEC AND MADE UNLAWFUL PROFITS 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 DHANMATA REALTY PVT.LTD. AND OTHERS   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 SHALL BE MADE WITHOUT PERMISSION OF SEBI

DIRECTED BANKS AND DEPOSITORIES 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 CEASE & 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
 
377
History of entity/person SANDESH KHANDELWAL

(DIN:02661150
PAN:ANGPK7447L)  
Click here to view complete history of this specific entity/person RAGHUKUL SHARES INDIA PVT.LTD.

CIN:U67120RJ2009PTC029155
PAN:AAECR3716R
 
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS

DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES

DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES

DID NOT MAINTAIN BOOKS OF ACCOUNT AND OTHER DOCUMENTS

DID NOT MAINTAIN NETWORTH AND DEPOSIT REQUIREMENTS

MADE FIXED PAYMENTS/RETURNS TO CLIENTS

DID NOT OBTAIN PRIOR APPROVAL FROM STOCK EXCHANGE FOR CHANGE IN CONTROL AND APPOINTMENT OF DIRECTOR VIOLATING SEBI CIRCULAR CIR/MIRSD/14/2011 DATED 02/08/2011 AND CIR/MIRSD/2/2011 DATED 03/06/2011

DID NOT REPORT COMPLETE AND CORRECT DATA TO EXCHANGE ON TIME VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/MIRSD2/CIR/P/2016/95 DATED 26/09/2016  
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-JUN-2019 TO 27-JUN-2024

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUN-2019 TO 27-JUN-2024

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 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 DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS

DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY

DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS

28-JUN-2019
SEBI VIDE ITS ORDER DATED 31/05/2023 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY AND ASSOCIATING WITH THE SECURITIES MARKET IN ANY MANNER FOR FIVE YEARS FROM DATE OF INTERIM ORDER B) DURING PERIOD OF RESTRAINT EXISTING HOLDING, INCLUDING UNITS OF MUTUAL FUNDS SHALL REMAIN FROZEN

SEBI VIDE ITS ORDER DATED 14/06/2024 DIRECTED THAT RESTRAINED IMPOSED FROM ACCESSING SECURITIES MARKET VIDE FINAL ORDER DATED 31/05/2023, RELAXED FOR LIMITED PURPOSE OF PERMITTING TRANSMISSION OF SECURITIES HELD BY HIS FATHER, LATE MR.DEV PRAKASH GUPTA TO HIS ACCOUNT. CLARIFIED THAT ONLY CREDITS TO BE PERMITTED  
378
History of entity/person SANJAY KUMAR PATHAK

(PAN:AMIPP8453C)

(Along with : RAJNEESH KUMAR,
ASHISH PANALAL SHAH,
KIRTIDAN K.GADHAVI)  
  AIDED AND ABETTED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUPERIOR FINLEASE LTD.

INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUPERIOR FINLEASE LTD.  
DIRECTED TO DISGORGE RS.1,52,000 ALONG WITH OTHER ENTITIES/PERSONS

DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT

DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY

DIRECTED DEPOSITORIES THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI

DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 22-MAY-2024 TO 21-MAY-2029

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 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

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-MAY-2024 TO 21-MAY-2029

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-MAY-2024 TO 21-MAY-2029

DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)

25-JAN-2023
SEBI VIDE ITS ORDER DATED 22/05/2024 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 FIVE YEARS FROM DATE OF THIS ORDER B) DISGORGE RS.1.52 LAC ALONG WITH SIMPLE INTEREST @ 12% P.A. CALCULATED FROM 14/09/2021 TILL DATE OF ACTUAL PAYMENT /IMPOUNDING AND AMOUNT TO BE REMITTED TO IPEF WITHIN FORTY FIVE DAYS FROM DATE OF RECEIPT OF THIS ORDER

SEBI VIDE ITS NOTICE DATED 09/12/2024 DIRECTED TO PAY RS.2,13,800.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE  
379
History of entity/person SANTOSH BRIJRAJ SINGH

(PAN:BFTPS9871L)  
  INDULGED IN FRONT RUNNING TRADING ACTIVITIES OF DEALER OF INDIA INFOLINE GROUP AND OTHER CONNECTED ENTITIES VIOLATING SECTIONS 12A (A) TO (C) & (E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003   DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-OCT-2020 TILL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-OCT-2020 TILL FURTHER ORDERS

DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 01-OCT-2020 TILL FURTHER ORDERS

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 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 FREEZE BANK ACCOUNTS

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 BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY

DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 01-OCT-2020 TILL FURTHER ORDERS

01-OCT-2020
SEBI VIDE ITS ORDER DATED 31/08/2021 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 01/10/2021  
380
History of entity/person SANTOSH SINGH KARKI

(PAN:AHMPK4222D)

(Along with : RAJNEESH KUMAR,
ASHISH PANALAL SHAH,
KIRTIDAN K.GADHAVI)  
  AIDED AND ABETTED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUPERIOR FINLEASE LTD.

INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUPERIOR FINLEASE LTD.  
DIRECTED TO DISGORGE RS.2,77,000 ALONG WITH OTHER ENTITIES/PERSONS

DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT

DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY

DIRECTED DEPOSITORIES THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI

DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 22-MAY-2024 TO 21-MAY-2029

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 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

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-MAY-2024 TO 21-MAY-2029

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-MAY-2024 TO 21-MAY-2029

DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)

25-JAN-2023
SEBI VIDE ITS ORDER DATED 24/08/2023 MODIFIED ITS DIRECTIONS ISSUED VIDE INTERIM ORDER DATED 25/01/2023 BY DEFREEZING BANK ACCOUNT OF MR.SANTOSH KUMAR KARKI

SEBI VIDE ITS ORDER DATED 22/05/2024 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 FIVE YEARS FROM DATE OF THIS ORDER B) DISGORGE RS.2.77 LAC ALONG WITH SIMPLE INTEREST @ 12% P.A. CALCULATED FROM 14/09/2021 TILL DATE OF ACTUAL PAYMENT /IMPOUNDING AND AMOUNT TO BE REMITTED TO IPEF WITHIN FORTY FIVE DAYS FROM DATE OF RECEIPT OF THIS ORDER  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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