| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
ACHAL INVESTMENTS LTD.
(PAN:AADCA6696C)
|
|
|
INDULGED IN MIS-UTILIZATION AND DIVERSION OF PROCEEDS OF PREFERENTIAL ISSUE OF EQUITY SHARES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003
DID NOT MAKE QUARTERLY DISCLOSURE REGARDING UTILIZATION OF PROCEEDS OF PREFERENTIAL ISSUE OF EQUITY SHARES VIOLATING SECTION 21 OF SCRA, 1956 READ WITH CLASUE 43 OF ERSTWHILE LISTING AGREEMENT READ WITH REGULATION 103 OF SEBI (LODR) REGULATIONS, 2015
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-SEP-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-SEP-2021
DIRECTED TO BRING BACK OF RS.1.38 CRORE
IMPOSED PENALTY RS.20,00,000
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
02-SEP-2021
|
SEBI VIDE ITS NOTICE DATED 10/05/2022 DIRECTED TO PAY RS.21,81,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 11/10/2022 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
|
| 22 |
|
|
ACIRA CONSULTANCY PVT.LTD.
(CIN:U74120MH2010PTC208774
PAN:AAICA9489N)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF SUPER SALES INDIA LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-APR-2022 TO 28-JUL-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-APR-2022 TO 28-JUL-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
29-APR-2022
|
|
| 23 |
|
|
ACIRA CONSULTANCY PVT.LTD.
(CIN:U74120MH2010PTC208774
PAN:AAICA9489N)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR TRADING IN SCRIP OF SESHASAYEE PAPER & BOARDS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 04-MAR-2020 TO 03-MAR-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-MAR-2020 TO 03-MAR-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
04-MAR-2020
|
SAT: SAT VIDE ITS ORDER DATED 26/06/2020 DIRECTED SEBI TO FILE REPLY WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND MATTER TO BE LISTED FOR ADMISSION AND FINAL DISPOSAL ON 22/07/2020
|
| 24 |
|
|
ACROPETAL TECHNOLOGIES LTD.
(CIN:L72900KA2001PLC028944
PAN:AADCA1623M)
|
|
|
|
RAVI KUMAR DORAISWAMY
DIN:01557904
PAN:ACNPK9304L
|
|
MISUTILIZED OF IPO PROCEEDS AND MADE FALSE & MISLEADING DISCLOSURES IN PROSECTUS VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO (D), 4(1), 4(2)(F) AND (K) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ACROPETAL TECHNOLOGIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-SEP-2019 TO 26-SEP-2029
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-SEP-2019 TO 26-SEP-2029
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
27-SEP-2019
|
|
| 25 |
|
|
ACROPETAL TECHNOLOGIES LTD.
(CIN:L72900KA2001PLC028944
PAN:AADCA1623M)
|
|
|
|
MOHAN HOSAHALLI RAMAKRISHNA
DIN:02034857
PAN:AHQPR8898G
|
|
|
RAMDAS JANARDHANA KAMATH
DIN:00035386
PAN:AAEPK8776D
|
|
|
SUBRAMANYA REDDY DANDALA KANNAYYAREDDY
DIN:02862329
PAN:AANPR6123L
|
|
MISUTILIZED OF IPO PROCEEDS AND MADE FALSE & MISLEADING DISCLOSURES IN PROSECTUS VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO (D), 4(1), 4(2)(F) AND (K) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ACROPETAL TECHNOLOGIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-SEP-2019 TO 26-SEP-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-SEP-2019 TO 26-SEP-2024
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
RESTRAINED FROM HOLDING ANY MANAGERIAL POSITION (INCLUDING DIRECTORSHIP) IN ANY LISTED COMPANY IN INDIA OR AN INTERMEDIARY REGISTERED WITH SEBI OR WITH ANY SECURITIES MARKET PARTICIPANT, IN ANY CAPACITY FROM 27-SEP-2019 TO 26-SEP-2024
27-SEP-2019
|
|
| 26 |
|
|
ACROPETAL TECHNOLOGIES LTD.
(CIN:L72900KA2001PLC028944
PAN:AADCA1623M)
|
|
|
|
JAMILI JALAIAH
PAN:ACTPJ7423K
|
|
|
S.SUDHEER
|
|
|
SHOBHA SUDHAKAR ACHARYA
PAN:AJLPA3219K
|
|
DID NOT MAKE CORRECT DISCLOSURE OF UTILLIZATION OF BRIDGE LOAN OF RS.20.00 CRORES IN IPO PROSPECTUS VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO (D), 4(1), 4(2)(F) AND (K) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ACROPETAL TECHNOLOGIES LTD.
DID NOT MAKE CORRECT DISCLOSURE OF UTILLIZATION OF BRIDGE LOAN OF RS.20.00 CRORES IN IPO PROSPECTUS VIOLATING REGULATIONS 57(1) AND 60(7)(A) OF ICDR REGULATIONS READ WITH CLAUSE (2)(IX)(B)(12) (A)(V) PART A OF SCHEDULE VIII OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF ACROPETAL TECHNOLOGIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-SEP-2019 TO 26-SEP-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-SEP-2019 TO 26-SEP-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
27-SEP-2019
|
|
| 27 |
|
|
ACROSS BROKING PVT.LTD.
(PAN:AAGCA8645J)
|
|
|
|
BHAVESH GANDHI
PAN:AKBPG4777D
|
|
|
MUKESH KUMAR KAILASHCHAND JAIN
PAN:ADFPJ8088D
|
|
|
RAHUL RAJAN DOSHI
PAN:ALCPD0859K
|
|
|
RAJESH HIMMATLAL SHAH
PAN:AAJPS9800P
|
|
|
RUTUL RAJESHBHAI SHAH
PAN:EDOPS7385P
|
|
INDULGED IN FRONT RUNNING TRADING ACTIVITIES OF DEALERS OF RELIANCE SECURITIES LTD. AND OTHER CONNECTED ENTITIES VIOLATING REGULATIONS 3(A) TO (D) AND 4(1) & 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003
|
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 TO 06-AUG-2024
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 07-AUG-2020 TO 06-AUG-2024
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 TO 06-AUG-2024
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
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 07-AUG-2020 TO 06-AUG-2024
DIRECTED TO DISGORGE RS.1,66,32,415 ALONG WITH OTHER ENTITIES/PERSONS
07-AUG-2020
|
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 30/01/2023 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER MANNER, FOR FOUR YEARS B) DISGORGED AMOUNT OF WRONGFUL GAINS RS.1,66,32,415.32 ALONG WITH INTEREST OF 12% FROM JOINTLY AND SEVERALLY
|
| 28 |
|
|
ACTON GLOBAL PVT.LTD.
(PAN:AAOCA2658K)
|
|
|
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.
|
DIRECTED TO RETAIN FUNDS/OTHER ASSETS TO THE EXTENT OF RECEIVABLES SHOWN AS OUTSTANDING TO CG POWER & INDUSTRIAL SOLUTIONS LTD.
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS/PROPERTIES/ SECURITIES
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM INVESTORS
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-SEP-2024
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
IMPOSED PENALTY RS.5,00,00,000
17-SEP-2019
|
SEBI VIDE ITS ORDER DATED 11/03/2020 DIRECTED TO A) RETAIN FUNDS/OTHER ASSETS TO EXTENT OF RECEIVABLES SHOWN AS OUTSTANDING TO CG POWER AND INDUSTRIAL SOLUTIONS LTD. AND LIABILITY B) RESTRAIN FROM DISPOSING, SELLING OR ALIENATING, IN ANY OTHER MANNER, ASSETS OR DIVERT FUNDS, TILL FURTHER ORDERS B) PERMITTED TO MAKE PAYMENTS TOWARDS DUES TO STATUTORY AUTHORITIES, INCUR EXPENSES TOWARDS PROVIDENT FUND, PENSION AND GRATUITY, INSURANCE AND SIMILAR OTHER EXPENSES C) MAKE PAYMENTS/WAGES TO EMPLOYEES/RETAINER/STAFF/ SECURITY GUARDS, ETC. AND MAKE PAYMENTS TOWARDS LEGAL EXPENSES
SEBI VIDE ITS ORDER DATED 23/02/2022 ALLOWED THE EXPENSES WITHOUT PREJUDICE TO THE DIRECTION TO THE APPLICANT TO RETAIN FUND/OTHER ASSETS, AS GIVEN IN EX-PARTE ORDER DATED 17/09/2019
|
| 29 |
|
|
ADAMINA TRADERS PVT.LTD.
(PAN:AAICA0681J)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH PLACING BUY ORDERS OF SMALL QUANTITIES TO EXECUTE TRADES WHICH HAD POSITIVE LAST TRADED PRICE (LTP) IMPACT IN SCRIP OF SECUNDERABAD HEALTHCARE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-JAN-2020 TO 07-JAN-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-JAN-2020 TO 07-JAN-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
08-JAN-2020
|
SAT: SAT VIDE ITS ORDER DATED 29/11/2021 CONDONED THE DELAY IN FILING OF APPEAL. RESERVED THE ORDER
SAT: SAT VIDE ITS ORDER DATED 15/12/2021 DISMISSED THE APPEAL
|
| 30 |
|
|
ADAMINA TRADERS PVT.LTD.
(PAN:AAICA0681J)
|
|
|
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
|
|
| 31 |
|
|
ADDO CONSTRUCTIONS PVT.LTD.
(PAN:AAICA0732C)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF-TRADES IN SCRIP OF AADHAAR VENTURES INDIA 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 30-JUL-2020 TO 29-JAN-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
30-JUL-2020
|
|
| 32 |
|
|
ADHUNIK PLANTATIONS PVT.LTD.
(PAN:AACCA8921D)
|
|
|
|
KUSUM SARAF
PAN:ALWPS8256M
DIN:02073458
|
|
|
REKHA JAJU
PAN:AACPJ3734A
DIN:02064822
|
|
|
UMA MAHENDRA BAGARIA
PAN:AAJPB7782K
DIN:00686226
|
|
OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
|
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 19-MAR-2021 TO 18-MAR-2023
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 19-MAR-2021 TO 18-MAR-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
19-MAR-2021
|
|
| 33 |
|
|
ADHUNIK PLANTATIONS PVT.LTD.
(PAN:AACCA8921D)
|
|
|
|
MAHENDRA BANAWARILAL BAGARIA
PAN:AABPB0291P
DIN:00005883
|
|
|
MOTILAL SARAF
PAN:AMPPS3565H
DIN:01685519
|
|
|
SHARADCHANDRA BHAGIRATH JAJU
PAN:ABRPJ2860M
DIN:05242941
|
|
|
VINOD KUMAR SARAF
PAN:ALRPS6933L
DIN:02081178
|
|
OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
|
DIRECTED TO ISSUE NEWSPAPER PUBLICATION IN ONE NATIONAL DAILY (ENGLISH AND HINDI) AND IN ONE LOCAL DAILY
DIRECTED TO PROVIDE 30 DAYS FROM THE DATE OF ADVERTISEMENT TO CONTRIBUTORS/INVESTORS FOR SUBMITTING ANY CLAIM/COMPLAINT
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK AND TRANSFER/DEPOSIT ENTIRE OUTSTANDING AMOUNT PAYABLE TO INVESTORS
DIRECTED TO WIND-UP SCHEME AND REFUND THE MONEY COLLECTED UNDER SCHEME TO CONTRIBUTORS/INVESTORS
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
DIRECTED TO SUBMIT REPORT IN REGARD TO WINDING UP OF CIS AND REPAYMENT OF MONIES TO SEBI IN ACCORDANCE TO CIS REGULATIONS
DIRECTED TO SUBMIT REPAYMENT REPORT TO SEBI CERTIFIED BY TWO INDEPENDENT CHARTERED ACCOUNTANTS WHO ARE IN PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 19-MAR-2021 TO 18-MAR-2025
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-MAR-2021 TO 18-MAR-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-MAR-2021 TO 18-MAR-2025
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM INVESTORS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS/PROPERTIES/ SECURITIES
19-MAR-2021
|
SAT: SAT VIDE ITS ORDER DATED 07/07/2021 CONDONED THE DELAY OF 10 DAYS IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER. FURTHER, DIRECTED TO SUSPEND RESTRAINED ORDER DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 30/07/2021 REJECTED THE APPLICATION AND ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 34 |
|
|
ADS KARO
(PAN:AFYPA4864P)
|
|
|
|
MURALI LAL AGRAWAL
PAN:AFYPA4864P
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
DIRECTED TO RETURN MONEY TO ITS CLIENTS RECEIVED AS FEES OR IN ANY OTHER FORM IN RESPECT OF UNREGISTERED INVESTMENT ADVISORY SERVICES
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO CEASE & DESIST FROM ACTING AS AN INVESTMENT ADVISOR AND/OR RESEARCH ANALYST AND CEASE TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER UNREGISTERED ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 29-AUG-2019
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-AUG-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-AUG-2019
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
29-AUG-2019
|
SAT: SAT VIDE ITS ORDER DATED 19/07/2023 CONDONED THE DELAY OF 1352 DAYS IN FILING OF APPEAL AND RESPONDENT TO FILE REPLY WITHIN A WEEK
SAT: SAT VIDE ITS ORDER DATED 09/08/2023 CONDONED THE DELAY OF 1352 DAYS IN FILING OF APPEAL AND CONDONED THE DELAY IN PAYMENT OF COST OF RS.2 LAC
|
| 35 |
|
|
AFFLUENCE FINCON SERVICE PVT.LTD.
(PAN:AAHCA7554R)
|
|
|
|
AMEE DHIREN SHAH
PAN:BMIPS9852B
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND (E) OF SEBI ACT, 1992 AND REGULATIONS 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF INFIBEAM AVENUES LTD.
|
DIRECTED TO DISGORGE RS.2,60,93,086 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO CREDIT AMOUNTS TO ESCROW ACCOUNT IN NATIONALISED BANK
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED DEPOSITORIES THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND DEPOSITORIES TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
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
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 27-APR-2021 TO 26-APR-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
24-AUG-2020
|
SAT: SAT VIDE ITS ORDER DATED 07/09/2020 DIRECTED APPELLANTS TO PROVIDE FIXED DEPOSIT OF RS.2,60,93,085.85 IN NAME OF SEBI FOR ONE YEAR WITHIN TWO SEEKS FROM DATE OF THIS ORDER
SEBI VIDE ITS ORDER DATED 27/04/2021 DIRECTED TO A) RESTRAIN FROM ACCESSING THE SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH THE SECURITIES MARKET IN ANY MANNER, WHATSOEVER, FOR A PERIOD OF ONE (1) YEAR, FROM THE DATE OF THIS ORDER B) DISGORGED AMOUNT OF RS.2,60,93,085.85 SHALL BE REMITTED TO INVESTOR PROTECTION AND EDUCATION FUND (IPEF) AS PER SAT VIDE ITS ORDER DATED 07/09/2020 C) DURING THE PERIOD OF RESTRAINT EXISTING HOLDING, INCLUDING MUTUAL FUNDS UNITS SHALL REMAIN FROZEN
|
| 36 |
|
|
AFTEK LTD.
(CIN:L57220MH1986PLC039342
PAN:AAACA4711B)
|
|
|
INDULGED IN ISSUANCE OF 13,33,100 GDRS AMOUNTING TO USD 14.99 MN. THROUGH FINANCE OBTAINED FROM BANCO EFISA, LISBON FOR SUBSCRIPTION OF GDR AND PLEDGED GDR WITH BANCO EFISA, LISBON VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3 AND 6(A) OF SEBI (PFUTP) REGULATIONS, 1995 READ WITH REGULATION 13 OF SEBI (PFUTP) REGULATIONS, 2003
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PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 17-FEB-2023 TO 16-FEB-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-FEB-2023 TO 16-FEB-2026
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
17-FEB-2023
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SAT: SAT VIDE ITS ORDER DATED 17/05/2023 RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 18/07/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
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| 37 |
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AFTEK LTD.
(CIN:L57220MH1986PLC039342
PAN:AAACA4711B)
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PROMOD VEDPAL BROOTA
PAN:AACPB9182C
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RANJIT MOHAN DHURU
PAN:AADPD1238L
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SIGNED ACCOUNT CHARGES AGREEMENT WHICH PROVIDED GDR PROCEEDS TO BE KEPT AS A SECURITY TOWARDS LOAN AVAILED BY KENDO ASSOCIATES INC. AND HIGHGROVE LTD. FOR SUBSCRIPTION OF GDR VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3 AND 6(A) OF SEBI (PFUTP) REGULATIONS, 1995 READ WITH REGULATION 13 OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF AFTEK INDUSTRIES LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-FEB-2023 TO 16-FEB-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-FEB-2023 TO 16-FEB-2024
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
17-FEB-2023
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| 38 |
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AGARWAL TRADING CO.
(PAN:AAEFA6220E)
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INDULGED IN CREATION OF FALSE OR MISLEADING APPEARANCE OF TRADING VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D), 4(1) AND 4(2)(D) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ECE INDUSTRIES LTD.
INDULGED IN CREATION OF FALSE OR MISLEADING APPEARANCE OF TRADING TO MAKE DELISTING OFFER SUCCESSFUL VIOLATING REGULATIONS 4(5)(A) TO 4(5)(C) OF SEBI (DELISTING OF EQUITY SHARES) REGULATIONS, 2009 IN MATTER OF ECE INDUSTRIES LTD.
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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 28-MAY-2021 TO 27-MAY-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
28-MAY-2021
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| 39 |
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AGGARWAL TRADERS
(PAN:AXFPR4439L)
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RAM PRAKASH
PAN:AXFPR4439L
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INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF ECO FRIENDLY FOOD PROCESSING PARK LTD., ESTEEM BIO ORGANIC FOOD PROCESSING LTD., CHANNEL NINE ENTERTAINMENT LTD. AND HPC BIOSCIENCES LTD.
MISUTILIZED IPO PROCEEDS BY TRANSFERRING THE FUNDS TO CERTAIN FUNDING GROUP ENTITIES AND MADE FALSE & MISLEADING DISCLOSURES IN PROSPECTUS VIOLATING SECTIONS 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 IPO OF ECO FRIENDLY FOOD PROCESSING PARK LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-JUN-2015 TO 22-DEC-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-JUN-2015 TO 22-DEC-2020
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
29-JUN-2015
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SEBI VIDE ITS ORDER DATED 14/06/2016 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 29/06/2015
SEBI VIDE ITS ORDER DATED 22/12/2020 DIRECTED TO A) RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER MANNER FOR TILL THE DATE OF THIS ORDER B) EXISTING HOLDING OF SECURITIES INCLUDING UNITS OF MUTUAL FUNDS TO REMAIN FREEZE
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| 40 |
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AGLOW FINANCIAL SERVICES PVT.LTD.
(PAN:AABCA0924F)
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INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF JOLLY PLASTIC INDUSTRIES LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 04-MAR-2020 TO 03-MAR-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-MAR-2020 TO 03-MAR-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
04-MAR-2020
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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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