| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
PALLAVI SHARDUL SHROFF
(PAN:AQPPS7388Q)
|
|
|
|
ONE 97 COMMUNICATIONS LTD.
PAN:AAACO4007A
|
|
ALLEGED SIGN OFFER DOCUMENTS CONTAINING INCORRECT STATEMENT AND INCOMPLETE DISCLOSURES W.R.T. COMPANY BEING PROFESSIONALLY MANAGED COMPANY HAVING NO IDENTIFIABLE PROMOTER WHEREAS COMPANY HAVING PROMOTER I.E. MR.VIJAY SHEKHAR SHARMA VIOLATING REGULATIONS 245(1) AND 245(2) OF SEBI (ICDR) REGULATIONS, 2018 IN MATTER OF ONE97 COMMUNICATIONS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.42,90,000 VIDE CONSENT ORDER)
17-JAN-2025
|
|
| 22 |
|
|
PARTHASARATHY SRIKANTH
(PAN:AAQPS9253H)
|
|
|
|
STHITHI INSURANCE SERVICES PVT.LTD.
PAN:AAKCS6316E
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT VIOLATING SECTION 12A(F) OF SEBI ACT, 1992 AND REQUIRED UNDER REGULATION 3(2) OF SAST REGULATIONS, 2011 IN MATTER OF ZYLOG SYSTEMS LTD.
MISLED PUBLIC REGARDING THE ACTUAL SHARES BY THE PROMOTERS VIOLATING SECTIONS 12(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(D), 4(2)(F) AND 4(2)(R) OF PFUTP REGULATIONS, 2003 IN MATTER OF ZYLOG SYSTEMS LTD.
DID NOT MAKE DISCLOSURE OF OFF-MARKET TRADES OF MORE THAN 25,000 SHARES AND RS.5 LACS TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ZYLOG SYSTEMS LTD.
DID NOT MAKE CORRECT DISCLOSURE IN RHP REGARDING RELATIONSHIPS BETWEEN NOTICES VIOLATING CLAUSE 6.15.2 OF DIP GUIDELINES READ WITH SEBI (ICDR) REGULATIONS, 2009 AND (ICDR) REGULATIONS, 2018 IN MATTER OF ZYLOG SYSTEMS LTD.
|
IMPOSED PENALTY RS.5,00,000
24-NOV-2020
|
SAT: SAT VIDE ITS ORDER DATED 25/06/2021 ALLOWED APPELLANT THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 21/04/2023 DIRECTED APPELLANT TO FILE WRITTEN NOTE WITHIN THREE WEEKS FROM DATE OF THIS ORDER
|
| 23 |
|
|
PARTHASARATHY SRIKANTH
(PAN:AAQPS9253H)
(Along with : SOMAYAJI PADMANABHAN SRIHARI)
|
|
|
|
STHITHI INSURANCE SERVICES PVT.LTD.
PAN:AAKCS6316E
|
|
DID NOT MAKE CORRECT DISCLOSURE IN RHP REGARDING RELATIONSHIPS BETWEEN NOTICES VIOLATING CLAUSE 6.15.2 OF DIP DIRECTIVES/INSTRUCTIONS/GUIDELINES READ WITH SEBI (ICDR) REGULATIONS, 2009 AND (ICDR) REGULATIONS, 2018 IN MATTER OF ZYLOG SYSTEMS LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
24-NOV-2020
|
SAT: SAT VIDE ITS ORDER DATED 25/06/2021 ALLOWED APPELLANT THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 21/04/2023 DIRECTED APPELLANT TO FILE WRITTEN NOTE WITHIN THREE WEEKS FROM DATE OF THIS ORDER
|
| 24 |
|
|
RACHNA VITHAL PATEL
(PAN:AABPP7846E)
|
|
|
MOBILIZED RS.29.84 CRORE THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 284 INVESTORS VIOLATING SECTIONS 56(1), 56(3), 60 AND 73 OF THE COMPANIES ACT, 1956 IN MATTER OF AAKRUTI NIRMITI LTD.
MOBILIZED RS.29.84 CRORE THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 284 INVESTORS VIOLATING CLAUSES 2.1.1, 2.1.4, 2.2,4.11, 4.14, 5.3.1, 5.4.1, 5.6.2, 8.8.1, 5.6A AND 6.0 TO 6.15 OF SEBI (DIP) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000 READ WITH SEBI (ICDR) REGULATIONS, 2018 IN MATTER OF AAKRUTI NIRMITI LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-MAY-2021 TO 02-NOV-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-MAY-2021 TO 02-NOV-2021
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 03-MAY-2021 TO 02-NOV-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
03-MAY-2021
|
SAT: SAT VIDE ITS ORDER DATED 29/09/2021 CONDONED THE DELAY IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 18/11/2021 CONDONED THE DELAY OF 80 DAYS IN FILING OF APPEAL
|
| 25 |
|
|
RAJINDER MITTAL
(PAN:AARPM9226F)
|
|
|
|
BCL INDUSTRIES LTD.
CIN:AAACB5510B
PAN:AAACB5510B
|
|
ALLEGED FAILURE TO DISCLOSE MANOJ FINVEST PVT.LTD. AS PART OF PROMOTER GROUP VIOLATING REGULATION 31(4) OF SEBI (LODR) REGULATIONS, 2015 READ WITH REGULATIONS 2(1)(PP)(IV)(B) OF SEBI (ICDR) REGULATIONS, 2018 IN MATTER OF BCL INDUSTRIES LTD.
ALLEGED FAILURE TO COVER MANOJ FINVEST PVT.LTD. UNDER CODE OF CONDUCT OF BCL INDUSTRIES LTD. TO REGULATE, MONITOR AND REPORT TRADING BY DESIGNATED PERSONS AND IMMEDIATE RELATIVES OF DESIGNATED PERSONS VIOLATING REGULATION 9(4) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BCL INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.28,60,000 VIDE CONSENT ORDER)
06-MAR-2025
|
|
| 26 |
|
|
RAMILA VINESH PATEL
(PAN:AAMPP0580E)
|
|
|
MOBILIZED RS.29.84 CRORE THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 284 INVESTORS VIOLATING SECTIONS 56(1), 56(3), 60 AND 73 OF THE COMPANIES ACT, 1956 IN MATTER OF AAKRUTI NIRMITI LTD.
MOBILIZED RS.29.84 CRORE THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 284 INVESTORS VIOLATING CLAUSES 2.1.1, 2.1.4, 2.2,4.11, 4.14, 5.3.1, 5.4.1, 5.6.2, 8.8.1, 5.6A AND 6.0 TO 6.15 OF SEBI (DIP) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000 READ WITH SEBI (ICDR) REGULATIONS, 2018 IN MATTER OF AAKRUTI NIRMITI LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-MAY-2021 TO 02-NOV-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-MAY-2021 TO 02-NOV-2021
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 03-MAY-2021 TO 02-NOV-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
03-MAY-2021
|
SAT: SAT VIDE ITS ORDER DATED 29/09/2021 CONDONED THE DELAY IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 18/11/2021 CONDONED THE DELAY OF 80 DAYS IN FILING OF APPEAL
|
| 27 |
|
|
RAMNIWAS R.DHOOT
(PAN:AAEPD1210H)
|
|
|
INDULGED IN ISSUANCE OF WARRANTS/SHARES ON BASIS OF PREFERENTIAL ALLOTMENT WITHOUT RECEIPT OF CONSIDERATION VIOLATING SECTION 12A (A) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF MANGALAM DRUGS & ORGANICS LTD.
INDULGED IN ISSUANCE OF WARRANTS/SHARES ON BASIS OF PREFERENTIAL ALLOTMENT WITHOUT RECEIPT OF CONSIDERATION VIOLATING REGULATIONS 77(2) AND 77(3) OF SEBI (ICDR) REGULATIONS, 2009 READ WITH REGULATION 169(2) OF SEBI (ICDR) REGULATIONS, 2018 IN MATTER OF MANGALAM DRUGS & ORGANICS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-SEP-2020
IMPOSED PENALTY RS.6,00,000
22-SEP-2020
|
SAT: SAT VIDE ITS ORDER DATED 10/12/2020 DIRECTED RESPONDENT THREE WEEKS TIME TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 27/06/2022 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 22/09/2020
|
| 28 |
|
|
RAVI CHANDRA ADUSUMALLI
(PAN:AIHPA6082D)
|
|
|
|
ONE 97 COMMUNICATIONS LTD.
PAN:AAACO4007A
|
|
ALLEGED FAILURE IN DISCHARGING DUTIES WITH UNBIASED AND INDEPENDENT APPROACH WHILE DECISION-MAKING W.R.T. MATTERS INVOLVING BENEFITS TO MR.VIJAY SHEKHAR SHARMA (MD & CEO, PAYTM) AND HIS RELATIVES VIOLATING REGULATION 4(2) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ONE97 COMMUNICATIONS LTD.
ALLEGED INDULGENCE IN APPROVAL AND SIGNING OFFER DOCUMENTS BY DIRECTORS CONTAINING INCORRECT STATEMENTS AND INCOMPLETE DISCLOSURES VIOLATING REGULATIONS 245(1) AND 245(2) OF SEBI (ICDR) REGULATIONS, 2018 IN MATTER OF ONE97 COMMUNICATIONS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.42,90,000 VIDE CONSENT ORDER)
17-JAN-2025
|
|
| 29 |
|
|
REKHA MAHESH PATEL
(PAN:ARVPP6965H)
|
|
|
MOBILIZED RS.29.84 CRORE THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 284 INVESTORS VIOLATING SECTIONS 56(1), 56(3), 60 AND 73 OF THE COMPANIES ACT, 1956 IN MATTER OF AAKRUTI NIRMITI LTD.
MOBILIZED RS.29.84 CRORE THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 284 INVESTORS VIOLATING CLAUSES 2.1.1, 2.1.4, 2.2,4.11, 4.14, 5.3.1, 5.4.1, 5.6.2, 8.8.1, 5.6A AND 6.0 TO 6.15 OF SEBI (DIP) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000 READ WITH SEBI (ICDR) REGULATIONS, 2018 IN MATTER OF AAKRUTI NIRMITI LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-MAY-2021 TO 02-NOV-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-MAY-2021 TO 02-NOV-2021
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 03-MAY-2021 TO 02-NOV-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
03-MAY-2021
|
SAT: SAT VIDE ITS ORDER DATED 29/09/2021 CONDONED THE DELAY IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 18/11/2021 CONDONED THE DELAY OF 80 DAYS IN FILING OF APPEAL
|
| 30 |
|
|
SAMIR BAID
(PAN:AEIPB5692K
DIN:00243521)
|
|
|
|
GCM SECURITIES LTD.
CIN:L67120WB1995PLC071337
PAN:AABCG1469K
|
|
MOBILISED RS.19.14 CRORE THROUGH ISSUANCE OF PREFERENTIAL ALLOTMENT OF EQUITY SHARES TO 251 INVESTORS VIOLATING SECTIONS 56(1), 56(3), 60, 62, 67(1) TO 67(3) AND 73(1) TO 73(3) OF THE COMPANIES ACT, 1956 AND REGULATIONS 4 TO 7, 25, 26, 36, 37, 46, 47, 57 AND 59 OF SEBI (ICDR) REGULATIONS, 2009 READ WITH REGULATION 301 OF SEBI (ICDR) REGULATIONS, 2018 IN MATTER OF GCM SECURITIES LTD.
|
DIRECTED TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI
27-SEP-2022
|
|
| 31 |
|
|
SHAILENDRA JHALLAWAR
(PAN:ACCPJ5105E)
|
|
|
MOBILIZED RS.29.84 CRORE THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 284 INVESTORS VIOLATING SECTIONS 56(1), 56(3), 60 AND 73 OF THE COMPANIES ACT, 1956 IN MATTER OF AAKRUTI NIRMITI LTD.
MOBILIZED RS.29.84 CRORE THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 284 INVESTORS VIOLATING CLAUSES 2.1.1, 2.1.4, 2.2,4.11, 4.14, 5.3.1, 5.4.1, 5.6.2, 8.8.1, 5.6A AND 6.0 TO 6.15 OF SEBI (DIP) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000 READ WITH SEBI (ICDR) REGULATIONS, 2018 IN MATTER OF AAKRUTI NIRMITI LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-MAY-2021 TO 02-NOV-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-MAY-2021 TO 02-NOV-2021
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 03-MAY-2021 TO 02-NOV-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
03-MAY-2021
|
SAT: SAT VIDE ITS ORDER DATED 29/09/2021 CONDONED THE DELAY IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 18/11/2021 CONDONED THE DELAY OF 80 DAYS IN FILING OF APPEAL
|
| 32 |
|
|
SHARAD JHUNJHUNWALA
(DIN:00032879
PAN:ACVPJ0763C)
|
|
|
|
TRINITY TRADELINK LTD.
CIN:L11103MH1985PLC035826
PAN:AAFCS8117C
|
|
MOBILIZED RS.25.99 CRORES THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 978 INVESTORS VIOLATING REGULATIONS 4(2)(D), 4(2)(E) 5(1), 5(2), 5(5), 5(7), 6(1), 7, 26(1), 26(2), 32(1), 36, 37, 46(1), 47(1), 49(1), 57(1), 58(1), 58(2) AND 63 OF SEBI (ICDR) REGULATIONS, 2009 READ WITH REGULATION 301 OF SEBI (ICDR) REGULATIONS, 2018 IN MATTER OF TRINITY TRADELINK LTD. (EARLIER KNOWN AS OMNITECH PETROLEUM LTD.)
|
IMPOSED PENALTY RS.1,00,000
19-OCT-2022
|
SEBI VIDE ITS NOTICE DATED 15/05/2023 DIRECTED TO PAY RS.1,09,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 30/05/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6540 OF 2023 DATED 15/05/2023
|
| 33 |
|
|
SOMAYAJI PADMANABHAN SRIHARI
(PAN:AFJPS1694C)
(Along with : PARTHASARATHY SRIKANTH)
|
|
|
|
STHITHI INSURANCE SERVICES PVT.LTD.
PAN:AAKCS6316E
|
|
DID NOT MAKE CORRECT DISCLOSURE IN RHP REGARDING RELATIONSHIPS BETWEEN NOTICES VIOLATING CLAUSE 6.15.2 OF DIP DIRECTIVES/INSTRUCTIONS/GUIDELINES READ WITH SEBI (ICDR) REGULATIONS, 2009 AND (ICDR) REGULATIONS, 2018 IN MATTER OF ZYLOG SYSTEMS LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
24-NOV-2020
|
SAT: SAT VIDE ITS ORDER DATED 25/06/2021 ALLOWED APPELLANT THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 21/04/2023 DIRECTED APPELLANT TO FILE WRITTEN NOTE WITHIN THREE WEEKS FROM DATE OF THIS ORDER
|
| 34 |
|
|
SUBHASH ATMARAM SHARMA
(PAN:AXCPS8189D)
|
|
|
|
RESURGERE MINES & MINERALS INDIA LTD.
CIN:L74140MH1987PLC172412
PAN:AAACE0111B
|
|
INDULGED IN SIPHONING OFF IPO PROCEEDS AND MADE WRONG AND MISLEADING DISCLOSURE IN IPO PROSPECTUS VIOLATING OF SECTIONS 12(A) TO (C) READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 42(2)(A), (B), (F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RESURGER MINES & MINERALS INDIA LTD.
INDULGED IN SIPHONING OFF IPO PROCEEDS AND MADE WRONG AND MISLEADING DISCLOSURE IN IPO PROSPECTUS VIOLATING SEBI DIP DIRECTIVES/INSTRUCTIONS/GUIDELINES READ WITH SEBI (ICDR) REGULATIONS, 2009 READ WITH REGULATION 301(2) OF SEBI (ICDR) REGULATIONS, 2018 IN MATTER OF RESURGER MINES & MINERALS INDIA LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-SEP-2020 TO 24-SEP-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-SEP-2020 TO 24-SEP-2023
RESTRAINED AND FURTHER PROHIBITED FROM HOLDING AND OCCUPYING ANY MANAGERIAL POST OR BEING ASSOCIATED DIRECTLY OR INDIRECTLY WITH ANY LISTED PUBLIC COMPANY AND/OR ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM 25-SEP-2020 TO 24-SEP-2023
DIRECTED TO INFORM AND UPDATE SEBI WITHIN SEVEN DAYS OF CESSATION/LIFTING/REVOCATION OF MORATORIUM BY NCLT
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
25-SEP-2020
|
|
| 35 |
|
|
SUKUMAR DAS
(PAN:AEJPD0435R
DIN:00760908)
|
|
|
|
TRINITY TRADELINK LTD.
CIN:L11103MH1985PLC035826
PAN:AAFCS8117C
|
|
MOBILIZED RS.25.99 CRORES THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 978 INVESTORS VIOLATING REGULATIONS 4(2)(D), 4(2)(E) 5(1), 5(2), 5(5), 5(7), 6(1), 7, 26(1), 26(2), 32(1), 36, 37, 46(1), 47(1), 49(1), 57(1), 58(1), 58(2) AND 63 OF SEBI (ICDR) REGULATIONS, 2009 READ WITH REGULATION 301 OF SEBI (ICDR) REGULATIONS, 2018 IN MATTER OF TRINITY TRADELINK LTD. (EARLIER KNOWN AS OMNITECH PETROLEUM LTD.)
|
IMPOSED PENALTY RS.1,00,000
19-OCT-2022
|
|
| 36 |
|
|
SUNIL NAIK
(PAN:AAHPN7603D)
|
|
|
MOBILIZED RS.29.84 CRORE THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 284 INVESTORS VIOLATING SECTIONS 56(1), 56(3), 60 AND 73 OF THE COMPANIES ACT, 1956 IN MATTER OF AAKRUTI NIRMITI LTD.
MOBILIZED RS.29.84 CRORE THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 284 INVESTORS VIOLATING CLAUSES 2.1.1, 2.1.4, 2.2,4.11, 4.14, 5.3.1, 5.4.1, 5.6.2, 8.8.1, 5.6A AND 6.0 TO 6.15 OF SEBI (DIP) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000 READ WITH SEBI (ICDR) REGULATIONS, 2018 IN MATTER OF AAKRUTI NIRMITI LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-MAY-2021 TO 02-NOV-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-MAY-2021 TO 02-NOV-2021
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 03-MAY-2021 TO 02-NOV-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
03-MAY-2021
|
SAT: SAT VIDE ITS ORDER DATED 29/09/2021 CONDONED THE DELAY IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 18/11/2021 CONDONED THE DELAY OF 80 DAYS IN FILING OF APPEAL
|
| 37 |
|
|
VIJAY SHEKHAR SHARMA
(PAN:AOAPS4075F)
|
|
|
|
ONE 97 COMMUNICATIONS LTD.
PAN:AAACO4007A
|
|
ALLEGED VIOLATION OF REGULATION REGULATION 2(1)(I)(III) OF SEBI (SBEB) REGULATIONS, 2021 IN MATTER OF EMPLOYEES STOCK OPTIONS (ESOPS) OF ONE97 COMMUNICATIONS LTD.
ALLEGED VIOLATION OF REGULATIONS 245(1) AND 245(2) OF SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018 IN MATTER OF GRANTING OF EMPLOYEES STOCK OPTIONS (ESOPS) OF ONE97 COMMUNICATIONS LTD.
ALLEGED VIOLATION OF REGULATION 2(1)(OO) OF SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018 IN MATTER OF GRANTING OF EMPLOYEES STOCK OPTIONS (ESOPS) OF ONE97 COMMUNICATIONS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,11,15,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED TO CANCEL 2,10,00,000 ESOPS GRANTED/VESTED AND NON-EXERCISED)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE PROHIBITED FROM ACCEPTING ANY FRESH ESOPS FROM ANY LISTED COMPANY) FROM 08-MAY-2025 TO 07-MAY-2028
08-MAY-2025
|
|
| 38 |
|
|
VIKRANT KAYAN
(DIN:00761044
PAN:AFJPK8437M)
|
|
|
|
TRINITY TRADELINK LTD.
CIN:L11103MH1985PLC035826
PAN:AAFCS8117C
|
|
MOBILIZED RS.25.99 CRORES THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 978 INVESTORS VIOLATING REGULATIONS 4(2)(D), 4(2)(E) 5(1), 5(2), 5(5), 5(7), 6(1), 7, 26(1), 26(2), 32(1), 36, 37, 46(1), 47(1), 49(1), 57(1), 58(1), 58(2) AND 63 OF SEBI (ICDR) REGULATIONS, 2009 READ WITH REGULATION 301 OF SEBI (ICDR) REGULATIONS, 2018 IN MATTER OF TRINITY TRADELINK LTD. (EARLIER KNOWN AS OMNITECH PETROLEUM LTD.)
|
IMPOSED PENALTY RS.1,00,000
19-OCT-2022
|
SEBI VIDE ITS NOTICE DATED 11/05/2023 DIRECTED TO PAY RS.1,09,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 30/05/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6534 OF 2023 DATED 11/05/2023
|
| 39 |
|
|
VISHVADEEP HARILAL PATEL
(PAN:APUPP6789G)
|
|
|
MOBILIZED RS.29.84 CRORE THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 284 INVESTORS VIOLATING SECTIONS 56(1), 56(3), 60 AND 73 OF THE COMPANIES ACT, 1956 IN MATTER OF AAKRUTI NIRMITI LTD.
MOBILIZED RS.29.84 CRORE THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 284 INVESTORS VIOLATING CLAUSES 2.1.1, 2.1.4, 2.2,4.11, 4.14, 5.3.1, 5.4.1, 5.6.2, 8.8.1, 5.6A AND 6.0 TO 6.15 OF SEBI (DIP) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000 READ WITH SEBI (ICDR) REGULATIONS, 2018 IN MATTER OF AAKRUTI NIRMITI LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-MAY-2021 TO 02-NOV-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-MAY-2021 TO 02-NOV-2021
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 03-MAY-2021 TO 02-NOV-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
03-MAY-2021
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SAT: SAT VIDE ITS ORDER DATED 29/09/2021 CONDONED THE DELAY IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 18/11/2021 CONDONED THE DELAY OF 80 DAYS IN FILING OF APPEAL
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VITHAL S.PATEL
(PAN:AABPP0399Q)
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AAKRUTI NIRMITI LTD.
PAN:AAGCA3529F
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MOBILIZED RS.29.84 CRORE THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 284 INVESTORS VIOLATING SECTIONS 56(1), 56(3), 60 AND 73 OF THE COMPANIES ACT, 1956 IN MATTER OF AAKRUTI NIRMITI LTD.
MOBILIZED RS.29.84 CRORE THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 284 INVESTORS VIOLATING CLAUSES 2.1.1, 2.1.4, 2.2,4.11, 4.14, 5.3.1, 5.4.1, 5.6.2, 8.8.1, 5.6A AND 6.0 TO 6.15 OF SEBI (DIP) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000 READ WITH SEBI (ICDR) REGULATIONS, 2018 IN MATTER OF AAKRUTI NIRMITI LTD.
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DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-MAY-2021 TO 02-MAY-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-MAY-2021 TO 02-MAY-2022
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 03-MAY-2021 TO 02-MAY-2022
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 SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
03-MAY-2021
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SAT: SAT VIDE ITS ORDER DATED 29/09/2021 CONDONED THE DELAY IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 18/11/2021 CONDONED THE DELAY OF 80 DAYS IN FILING OF APPEAL
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