| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
PALLAVI URVISH VORA
|
|
|
INDULGED IN HIGH TRADING ACTIVITIES IN OTHERWISE ILLIQUID SCRIP OF DYNACONS SYSTEMS & SOLUTIONS LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
16-DEC-2005
|
|
| 22 |
|
|
PIYUSH JAIN
(PAN:ATCPJ2297H)
|
|
|
|
WEALTHMAX SOLUTION INVESTMENT ADVISER
PAN:ATCPJ2297H
|
|
DID NOT INFORM REGARDING CHANGE OF REGISTERED OFFICE
RECEIVED FEES WITHOUT EXECUTING ANY AGREEMENT WITH CLIENTS
DID NOT MAINTAIN BASIC DETAILS, RECORDS AND DISCREPANCIES I.E.COPY OF AGREEMENT, KYC DOCUMENTS, INVOICES, RISK PROFILING, EMAIL COMMUNICATION AND CALL RECORDING ETC.
DID NOT CO-OPERATE AND NOT SUBMITTED DOCUMENTS DURING INSPECTION
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
23-OCT-2024
|
|
| 23 |
|
|
R.P.SHARMA
|
|
|
|
TAURAS PORTFOLIOS LTD.
|
|
MANIPULATED PRICE IN SCRIP OF INFORMATION TECHNOLOGIES (INDIA) LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
31-MAR-2004
|
|
| 24 |
|
|
RAM DIMBLE
|
|
|
|
PRABODH ARTHA SANCHAY PVT.LTD.
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE IN SCRIP OF CYBERSPACE LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
13-MAY-2003
|
|
| 25 |
|
|
RAMESH CHAND JINDAL
|
|
|
|
VIKAS WSP LTD.
CIN:L24139HR1988PLC030300
PAN:AAACV7816Q
|
|
DID NOT MAKE CORRECT DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BSE & DELHI STOCK EXCHANGE IN RESPECT OF HOLDINGS OF PROMOTERS OR PERSONS(S) HAVING CONTROL OVER COMPANY AS ON 31ST MARCH AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
09-SEP-2004
|
|
| 26 |
|
|
RITURAJ SHARMA
(PAN:DEMPS5345H)
|
|
|
|
FARM SILO TECH LLP (AKA.GROWPITAL)
PAN:AAHFF4274C
|
|
|
YOTTA AGRO VENTURES PVT.LTD.
CIN:U01100RJ2020PTC068679
PAN:AABCY2263K
|
|
|
ZF PROJECT 1 LLP
PAN:AACFZ9734C
|
|
|
ZF PROJECT 2 LLP
PAN:AACFZ9766E
|
|
|
ZF PROJECT 3 LLP
PAN:AACFZ9913H
|
|
OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
OFFERED FIXED TAX-FREE PROFITS IN THE RANGE OF 11 TO 14% THROUGH INVESTMENTS IN AGRICULTURE SECTOR
|
DIRECTED TO CEASE & DESIST FROM FLOATING ANY COLLECTIVE INVESTMENT SCHEMES (CIS), DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER
DIRECTED TO CEASE TO SOLICIT OR UNDERTAKE SUCH ACTIVITY AS COLLECTIVE INVESTMENT SCHEMES (CIS), IN ANY MANNER WHATSOEVER
DIRECTED NOT TO COLLECT MONEY FROM NEW INVESTORS OR ANY ADDITIONAL SUM OF MONEY FROM EXISTING INVESTORS UNDER ITS EXISTING SCHEMES
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 29-JAN-2024 UNTIL FURTHER ORDERS
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 IMMEDIATELY WITHDRAW AND REMOVE ALL WEBSITES, ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, COMMUNICATIONS ETC. IN RELATION TO UNREGISTERED CIS ACTIVITIES OR ANY OTHER UNREGISTERED ACTIVITY IN SECURITIES MARKET
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-JAN-2024 UNTIL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-JAN-2024 UNTIL FURTHER ORDERS
DIRECTED TO SUBMIT DETAILS OF PARTNERS/INVESTORS (CONTACT NUMBER, ADDRESS AND DATE OF ENROLLMENT) WHO HAVE CONTRIBUTED TO ZF PROJECT LLPS (NOW OR IN THE PAST) THROUGH GROWPITAL OR ANY OTHER PLATFORM AND TO SUBMIT DETAILS OF CONTRIBUTIONS RECEIVED FROM EACH SUCH PARTNER/INVESTOR
DIRECTED NOT TO ACCEPT ANY PAYMENTS MADE THROUGH GROWPITAL OR ON BEHALF OF GROWPITAL
DIRECTED BANKS, DEPOSITORIES, REGISTRAR AND TRANSFER AGENTS TO FREEZE BANK ACCOUNTS, DEMAT ACCOUNTS BELONGING TO ENTITIES AND NOT TO ALLOW TRANSFER OR REDEMPTION OF SECURITIES OF THE ENTITIES
29-JAN-2024
|
SEBI VIDE ITS ORDER DATED 26/04/2024 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 29/01/2024 SUBJECT TO THE MODIFICATION OF UNFROZEN BANK ACCOUNTS, UNTIL FURTHER ORDERS
SAT: SAT VIDE ITS ORDER DATED 16/04/2024 CONDONED THE DELAY IN FILING OF APPEAL. DIRECTED SEBI TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND FURTHER, DIRECTED APPELLANTS TO FILE REJOINDER WITHIN THREE WEEKS THEREAFTER
|
| 27 |
|
|
S.DUTTA ROY
|
|
|
|
ANANYA TRADERS PVT.LTD.
|
|
DID NOT EXERCISE DUE SKILL AND DILIGENCE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
09-JAN-2009
|
|
| 28 |
|
|
S.G.DHANUKA
|
|
|
|
EXV FINVEST LTD.
|
|
DID NOT EXERCISE DUE SKILL AND DILIGENCE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
09-JAN-2009
|
|
| 29 |
|
|
S.N.SINGH
|
|
|
|
EXV FINVEST LTD.
|
|
DID NOT EXERCISE DUE SKILL AND DILIGENCE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
09-JAN-2009
|
|
| 30 |
|
|
S.SENGUPTA
|
|
|
|
ANANYA TRADERS PVT.LTD.
|
|
DID NOT EXERCISE DUE SKILL AND DILIGENCE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
09-JAN-2009
|
|
| 31 |
|
|
SAMEER PANDE
(PAN:AMAPP3518Q)
|
|
|
|
NIFTYPRO TRADING RESEARCH
PAN:AMAPP3518Q
|
|
USED WORDS BEST AND ACCURATE ON ITS WEBSITE PROHIBITED AS PER SEBI CIRCULAR
DISPLAYED MISLEADING AND/OR DECEPTIVE TESTIMONIALS ON ITS WEBSITE
DID NOT MENTION ITS PAST PERFORMANCE ON ITS WEBSITE
MISLED CLIENTS BY MAKING ASSURED PROFIT COMMITMENT
MADE SPECIFIC CLAIMS OF EXPECTED RETURNS TO POTENTIAL CLIENTS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
14-MAY-2025
|
|
| 32 |
|
|
SANJIV MAHAJAN
|
|
|
|
NEWAGE FINSEC PVT.LTD.
|
|
INDULGED IN PRICE MANIPULATION AND CREATION OF ARTIFICIAL MARKET IN SCRIP OF TACTFULL INVESTMENTS LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
02-SEP-2003
|
|
| 33 |
|
|
SAURABH NANAVATI
|
|
|
|
RELIGARE ASSET MANAGEMENT CO.LTD.
|
|
DISPLAY AND VOICE-OVER STANDARD WARNING IN AUDIO VISUAL OF ADVERTISEMENT OF NFO WAS NOT AS PER STANDARDS AND IT WAS OF LESS THAN FIVE SECONDS AS REQUIRED UNDER REGULATION 77 OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
09-FEB-2010
|
|
| 34 |
|
|
SITA DEVI JINDAL
|
|
|
|
VIKAS WSP LTD.
CIN:L24139HR1988PLC030300
PAN:AAACV7816Q
|
|
DID NOT MAKE CORRECT DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BSE & DELHI STOCK EXCHANGE IN RESPECT OF HOLDINGS OF PROMOTERS OR PERSONS(S) HAVING CONTROL OVER COMPANY AS ON 31ST MARCH AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
09-SEP-2004
|
|
| 35 |
|
|
SONIA JINDAL
|
|
|
|
VIKAS WSP LTD.
CIN:L24139HR1988PLC030300
PAN:AAACV7816Q
|
|
DID NOT MAKE CORRECT DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BSE & DELHI STOCK EXCHANGE IN RESPECT OF HOLDINGS OF PROMOTERS OR PERSONS(S) HAVING CONTROL OVER COMPANY AS ON 31ST MARCH AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
09-SEP-2004
|
|
| 36 |
|
|
SUSHIL JINDAL
|
|
|
|
VIKAS WSP LTD.
CIN:L24139HR1988PLC030300
PAN:AAACV7816Q
|
|
DID NOT MAKE CORRECT DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BSE & DELHI STOCK EXCHANGE IN RESPECT OF HOLDINGS OF PROMOTERS OR PERSONS(S) HAVING CONTROL OVER COMPANY AS ON 31ST MARCH AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
09-SEP-2004
|
|
| 37 |
|
|
URVISH RAMESHCHANDRA VORA
|
|
|
INDULGED IN HIGH TRADING ACTIVITIES IN OTHERWISE ILLIQUID SCRIP OF DYNACONS SYSTEMS & SOLUTIONS LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
16-DEC-2005
|
|
| 38 |
|
|
V.K.AGARWAL
|
|
|
|
TAURAS PORTFOLIOS LTD.
|
|
MANIPULATED PRICE IN SCRIP OF INFORMATION TECHNOLOGIES (INDIA) LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
31-MAR-2004
|
|
| 39 |
|
|
VINOD C.SHAH
|
|
|
MANIPULATED PRICE IN SCRIP OF KREB BIOCHEMICALS LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
06-JUL-2004
|
|
| 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 2 of 2
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