| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
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
|
|
| 22 |
|
|
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
|
|
| 23 |
|
|
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
|
|
| 24 |
|
|
SAMIR C.ARORA
|
|
|
|
ALLIANCE CAPITAL ASSET MANAGEMENT (I) PVT.LTD.
|
|
|
ALLIANCE CAPITAL MANAGEMENT L.P.
|
|
|
ALLIANCE CAPITAL MUTUAL FUND
|
|
GUILTY OF GRAVE PROFESSIONAL MISCONDUCT
INDULGED IN MARKET MANIPULATIONS
INDULGED IN INSIDER TRADING
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAR-2004 TO 30-MAR-2009
31-MAR-2004
|
SAT: IMPUGNED ORDER SET ASIDE AND APPEAL ALLOWED
|
| 25 |
|
|
SARBASHISH BASU
(PAN:BLHPB3370H)
|
|
|
|
MINANCE INVESTMENT ADVISORS PVT.LTD.
PAN:AALCM4744M
|
|
DID NOT SUBMIT MATERIAL INFORMATION TO SEBI
DID NOT ADHERE TO REQUIREMENT OF CAPITAL ADEQUACY
DID NOT APPOINT COMPLIANCE OFFICER
DID NOT FURNISH REQUISITE INFORMATION TO SEBI
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-OCT-2020 UNTIL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-OCT-2020 UNTIL FURTHER ORDERS
CEASED & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS AN INVESTMENT ADVISOR, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 20-OCT-2020 UNTIL FURTHER ORDERS
20-OCT-2020
|
SEBI VIDE ITS ORDER DATED 20/04/2021 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 20/10/2020
BSE VIDE ITS NOTICE DATED 23/05/2023 REVOKED THE DIRECTION ISSUED VIDE AD INTERIM EX-PARTE ORDER DATED 20/10/2022 AND CONFIRMATORY ORDER DATED 20/04/2021 AS PER SEBI CIRCULAR DATED 23/05/2023
|
| 26 |
|
|
SAROJ BANTHIA
|
|
|
|
HARVESTDEAL SECURITIES LTD.
|
|
COMMITTED SEVERAL IRREGULARITIES INCLUDING ACTING BEYOND THE MANDATE
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
ISSUED FICTITIOUS CONTRACT NOTES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-JUL-2003 TO 13-JUL-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-JUL-2003 TO 13-JUL-2004
24-JUN-2004
|
|
| 27 |
|
|
SUNIL MANSINGHANI
|
|
|
|
SUNCHAN SECURITIES LTD.
PAN:AAFCS8953A
(Depository Participants : CDSL,Member : BSE/NSE/OTC)
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
FAILED TO DELIVER SHARES TO CLIENTS
DID NOT MAKE PAYMENT TO CLIENTS
DEFAULTED IN MAINTENANCE OF BOOKS/DOCUMENTS
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT PRODUCE BOOKS OF ACCOUNTS TO SEBI FOR INSPECTION
SUBMITTED WRONG INFORMATION TO SEBI
DID NOT EXERCISE DUE CARE AND DILIGENCE IN CONDUCT OF ITS BUSINESS AS A BROKER
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-JAN-2009 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
DIRECTED BSE, NSE, OTCEI AND THEIR CLEARING HOUSES NOT TO RELEASE FUNDS OR SECURITIES
DIRECTED BSE, NSE, OTCEI AND THEIR CLEARING HOUSES TO SECURE ALL ASSETS INCLUDING REALIZATION OF BANK GUARANTEES
30-JAN-2009
|
AD-INTERIM EX-PARTE ORDER DATED 30/01/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 23/04/2014 1.RESTRAINED SUNCHAN SECURITIES LTD.(SUNCHAN) AND ITS DIRECTORS MR.SUNIL MANSINGHANI, MS.KANCHAN MANSINGHANI, MR.ASHOK DASWANI, MR.SURENDRA GAMA YADAV AND COMPLIANCE OFFICER MR.RIYAZ ISMAIL SHAIKH FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OR ACCESSING SECURITIES MARKET DIRECTLY OR INDIRECTLY FOR A PERIOD OF SEVEN YEARS 2.RESTRAINED ALL ITS DIRECTORS AND COMPLIANCE OFFICER FROM HOLDING POSITION OF DIRECTOR OR COMPLIANCE OFFICER IN ANY LISTED COMPANY OR BEING ASSOCIATED WITH ANY INTERMEDIARY OR ENTITY REGISTERED WITH SEBI FOR A PERIOD OF SEVEN YEARS 3.DIRECTED SUNCHAN AND ITS DIRECTORS AND COMPLIANCE OFFICER TO REPLENISH INVESTOR PROTECTION FUND (IPF) OF BSE TO THE EXTENT OF RS.1,86,93,149.00 AND IPF OF NSE TO THE EXTENT OF RS.2,58,32,823.72, I.E. AMOUNT DISBURSED FROM IPF TOWARDS CLAIMS OF INVESTORS OF SUNCHAN AS A STOCK BROKER 5.DIRECTED SUNCHAN AND ITS DIRECTORS TO COMPENSATE INVESTORS TO THE EXTENT THEIR CLAIMS WERE NOT FULLY MET OUT OF IPF OF RS.5,30,96,338.27 (RS.1,68,47,272.87 + RS.3,62,49,065.40) I.E. THE CLAIM ADMITTED LESS AMOUNT DISBURSED OUT OF IPF. SUNCHAN AND ITS DIRECTORS ARE JOINTLY AND SEVERALLY LIABLE TO MAKE THE PAYMENTS
|
| 28 |
|
|
SURENDRA KUMAR BANTHIA
|
|
|
|
FIRST CUSTODIAN FUND (INDIA) LTD.,THE
|
|
COMMITTED SEVERAL IRREGULARITIES INCLUDING ACTING BEYOND THE MANDATE
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
ISSUED FICTITIOUS CONTRACT NOTES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-JUL-2003 TO 13-JUL-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-JUL-2003 TO 13-JUL-2004
24-JUN-2004
|
|
| 29 |
|
|
SUSHIL MANTRI
|
|
|
|
FIRST CUSTODIAN FUND (INDIA) LTD.,THE
|
|
COMMITTED SEVERAL IRREGULARITIES INCLUDING ACTING BEYOND THE MANDATE
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
ISSUED FICTITIOUS CONTRACT NOTES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-JUL-2003 TO 13-JUL-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-JUL-2003 TO 13-JUL-2004
24-JUN-2004
|
|
| 30 |
|
|
V.M.SUNDARAM
|
|
|
|
DSQ SOFTWARE LTD.
PAN:AAACS5071J
|
|
DID NOT EXERCISE DUE SKILL AND DILIGENCE
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-SEP-2004 TO 08-SEP-2009
RESTRAINED FROM HOLDING ANY POSITION OF DIRECTOR/TRUSTEE OF CAPITAL MARKET RELATED INSTITUTIONS/ENTITIES/PUBLIC POSITIONS FROM 09-SEP-2004 TO 08-SEP-2009
09-SEP-2004
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PERIOD OF PROHIBITION TO DATE OF SAT 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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