| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
A S ADVERTISERS
(PAN:AAFFA2190Q)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
18-SEP-2019
|
|
| 22 |
|
|
A S B N COMMODITIES & FINESERVE PVT.LTD.
(PAN:AAJCA2178D)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SHANTANU SHEOREY AQUAKULT 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 01-JUN-2021 TO 31-AUG-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
01-JUN-2021
|
|
| 23 |
|
|
A TO Z STEELS PVT.LTD.
(PAN:AAACA2331D)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF PIPAVAV DEFENCE & OFFSHORE ENGINEERING LTD., PARSVNATH DEVELOPERS LTD., TULIP TELECOM LTD. AND GLODYNE TECHNOSERVE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-AUG-2012 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-AUG-2012 TILL FURTHER ORDERS
03-AUG-2012
|
SEBI VIDE ITS ORDER DATED 19/12/2012 REVOKED ITS DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 03/08/2012
|
| 24 |
|
|
A V COMMODITIES
(PAN:AAZFA4007G)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND/OR SELF TRADES IN MATTER OF INDEX OPTIONS CONTRACTS OF NIFTY
|
IMPOSED PENALTY RS.5,00,000
30-AUG-2024
|
SAT: SAT VIDE ITS ORDER DATED 18/10/2024 ALLOWED RESPONDENT FOUR WEEKS TO FILE REPLY AND REJOINDER BE FILED WITHIN TWO WEEKS THEREAFTER. STAYED THE RECOVERY SUBJECT TO DEPOSIT OF RS.2 LAC WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 18/12/2024 GRANTED APPELLANT FOUR WEEKS TO FILE REJOINDER
|
| 25 |
|
|
A.B.FISCAL SERVICES PVT.LTD.
(PAN:AACCA2345R)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 26 |
|
|
A.B.PLASTICS PVT.LTD.
(PAN:AAECA1048F)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 27 |
|
|
A.H.HOLDINGS PVT.LTD.
|
|
|
|
HARISH KUMAR
|
|
INDULGED IN CREATING FALSE AND MISLEADING APPEARANCE OF TRADING IN SHARES OF ELECTROLUX KELVINATOR LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
20-AUG-2008
|
|
| 28 |
|
|
A.K.AGARWAL (HUF)
(PAN:AAFHA0499A)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
21-AUG-2023
|
SEBI VIDE ITS NOTICE DATED 04/09/2024 DIRECTED TO PAY RS.5,71,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 16/01/2025 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
|
| 29 |
|
|
A.K.G.SECURITIES & CONSULTANCY LTD.
(PAN:AAACA7549K)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH IRREGULAR TRANSACTIONS IN SCRIP OF BIOCON LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-MAY-2021 TO 04-MAY-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-MAY-2021 TO 04-MAY-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
DIRECTED TO DISGORGE RS.1,28,000
05-MAY-2021
|
SAT: SAT VIDE ITS ORDER DATED 13/05/2021 ALLOWED THE URGENCY APPLICATION AND DIRECTED TO RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM THE DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. MATTER TO LISTED FOR ADMISSION AND FINAL DISPOSAL ON 12/07/2021. FURTHER STAYED EFFECT AND OPERATION OF IMPUGNED ORDER REMAIN STAYED AND APPELLANT DEPOSIT THE PENALTY AND DISGORGEMENT AMOUNT OF RS.12 LAC WITHIN A WEEK FROM THE DATE OF THIS ORDER AND ALSO DEPOSIT A SUM OF RS.1 CRORE SECURITY TO SEBI WITHIN THE SAME PERIOD
SAT: SAT VIDE ITS ORDER DATED 12/07/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 30 |
|
|
A.K.G.SECURITIES & CONSULTANCY LTD.
(PAN:AAACA7549K)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF TRADES IN SCRIP OF ONELIFE CAPITAL ADVISORS LTD.
|
IMPOSED PENALTY RS.10,00,000
30-JUN-2014
|
SAT: SAT VIDE ITS ORDER DATED 22/03/2016 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 30/06/2014 AND RESTORED THE MATTER TO FILE OF WTM TO PASS FRESH ORDER ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
|
| 31 |
|
|
A.K.G.SECURITIES & CONSULTANCY LTD.
(PAN:AAACA7549K)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME AND PRICE MANIPULATION THROUGH SELF TRADES IN SCRIP OF BHARATIYA GLOBAL INFOMEDIA LTD.
|
IMPOSED PENALTY RS.5,00,000
13-JAN-2015
|
SAT: SAT VIDE ITS ORDER DATED 10/02/2017 QUASHED AND SET ASIDED IMPUGNED ORDER AND REMANDED TO SEBI TO PASS FRESH ORDER ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
|
| 32 |
|
|
A.K.G.SECURITIES & CONSULTANCY LTD.
(PAN:AAACA7549K)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH IRREGULAR TRANSACTIONS IN SCRIP OF BIOCON LTD.
|
IMPOSED PENALTY RS.10,00,000
05-MAY-2021
|
SAT: SAT VIDE ITS ORDER DATED 13/05/2021 ALLOWED THE URGENCY APPLICATION AND DIRECTED TO RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM THE DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. MATTER TO LISTED FOR ADMISSION AND FINAL DISPOSAL ON 12/07/2021. FURTHER STAYED EFFECT AND OPERATION OF IMPUGNED ORDER REMAIN STAYED AND APPELLANT DEPOSIT THE PENALTY AND DISGORGEMENT AMOUNT OF RS.12 LAC WITHIN A WEEK FROM THE DATE OF THIS ORDER AND ALSO DEPOSIT A SUM OF RS.1 CRORE SECURITY TO SEBI WITHIN THE SAME PERIOD
SAT: SAT VIDE ITS ORDER DATED 12/07/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 33 |
|
|
A.K.INVESTMENTS
(PAN:AANFA6009Q)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 34 |
|
|
A.K.INVESTMENTS
(PAN:AANFA6009Q)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.7,00,000
31-JAN-2019
|
SEBI VIDE ITS NOTICE DATED 01/01/2020 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1. ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) BY WHATEVER NAME CALLED INCLUDING LOCKERS 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 14/03/2023 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 01/01/2020
|
| 35 |
|
|
A.K.JAIN (HUF)
(PAN:AADHA7322L)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KAILASH AUTO FINANCE LTD.
MISUSED STOCK EXCHANGE SYSTEM TO GENERATE FICTITIOUS LONG-TERM CAPITAL GAINS (LTCG) TO CONVERT UNACCOUNTED INCOME INTO ACCOUNTED ONE WITH NO PAYMENT OF TAXES AS LTCG IS TAX EXEMPT IN MATTER OF KAILASH AUTO FINANCE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-MAR-2016 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-MAR-2016 TILL FURTHER ORDERS
29-MAR-2016
|
SEBI VIDE ITS ORDER DATED 15/06/2016 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 29/03/2016
SEBI VIDE ITS ORDER DATED 21/09/2017 REVOKED ITS DIRECTIONS ISSUED VIDE ITS CONFIRMATORY ORDERS DATED 15/06/2016, 30/09/2016, 21/10/2016, 27/10/2016 AND 13/07/2017
|
| 36 |
|
|
A.K.KHANDELWAL (HUF)
(PAN:AAEHA7853D)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 37 |
|
|
A.K.ROONGTA (HUF)
(PAN:AABHA9528A)
|
|
|
|
ANIL SATYANARAYAN ROONGTA
PAN:ABBPR3992G
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF MISHKA FINANCE & TRADING LTD.
|
IMPOSED PENALTY RS.50,000 ALONG WITH OTHER ENTITIES/PERSONS
29-JUL-2022
|
SAT: SAT VIDE ITS ORDER DATED 14/02/2023 DISMISSED THE APPEAL
SEBI VIDE ITS NOTICE DATED 24/12/2024 DIRECTED TO PAY RS.66,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 38 |
|
|
A.K.ROONGTA (HUF)
(PAN:AABHA9528A)
|
|
|
|
ANIL SATYANARAYAN ROONGTA
PAN:ABBPR3992G
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF MISHKA FINANCE & TRADING 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-APR-2015 TO 02-DEC-2020
17-APR-2015
|
SEBI VIDE ITS ORDER DATED 26/08/2016 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 17/04/2015 EXCEPT THAT NOTICEES CAN: A) ENTER INTO DELIVERY BASED TRANSACTIONS IN CASH SEGMENT IN SECURITIES COVERED IN NSE NIFTY 500 INDEX SCRIPS AND / OR S&P BSE 500 SCRIPS B) SUBSCRIBE TO UNITS OF MUTUAL FUNDS INCLUDING THROUGH SIP AND REDEEM THE UNITS OF MUTUAL FUNDS SO SUBSCRIBED C) DEAL IN DEBT/GOVERNMENT SECURITIES D) INVEST IN ETF E) AVAIL THE BENEFITS OF CORPORATE ACTIONS LIKE RIGHTS ISSUE, BONUS ISSUE, STOCK SPLIT, DIVIDEND, ETC. F) TENDER THE SHARES LYING IN THEIR DEMAT ACCOUNT IN ANY OPEN OFFER/DELISTING OFFER UNDER THE RELEVANT REGULATIONS OF SEBI. SEBI ALLOWED THEM FURTHER RELAXATIONS/RELIEFS A) THEY ARE PERMITTED TO SELL THE SECURITIES LYING IN THEIR DEMAT ACCOUNTS AS ON THE DATE OF THE INTERIM ORDER, OTHER THAN THE SHARES OF THE COMPANIES WHICH ARE SUSPENDED FROM TRADING BY THE CONCERNED STOCK EXCHANGE, IN ORDERLY MANNER UNDER THE SUPERVISION OF THE STOCK EXCHANGES SO AS NOT TO DISTURB THE MARKET EQUILIBRIUM AND DEPOSIT THE SALE PROCEEDS IN INTEREST BEARING ESCROW ACCOUNT WITH A NATIONALIZED BANK B) THEY MAY DEAL WITH OR UTILIZE THE SALE PROCEEDS LYING IN THE ESCROW ACCOUNT UNDER THE SUPERVISION OF THE CONCERNED STOCK EXCHANGE
SAT: SAT VIDE ITS ORDER DATED 15/12/2017 CONDONED THE DELAY IN FILING OF MISC. APPLICATION. APPEAL DISMISSED AS WITHHDRAWN. NO COSTS
|
| 39 |
|
|
A.K.SHARMA & SONS
(PAN:AACHA4794F)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 40 |
|
|
A.M.JOHARI & CO.
|
|
|
INDULGED IN FICTITIOUS/CIRCULAR AND MANIPULATIVE TRANSACTIONS IN SCRIP OF CYBERSPACE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-MAR-2008 TO 02-MAR-2013
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-MAR-2008 TO 02-MAR-2013
03-MAR-2008
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 2 of 594
|
