| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
AAKESH CHOPRA
(PAN:AENPC7889Q)
(Along with : KIRTI SALVI,
ANIL KOTHARI,
AMBRISH BARSATI PAL)
|
|
|
|
MPF SYSTEMS LTD.
PAN:AADCM7896A
|
|
DID NOT FOLLOW PRINCIPLES OF CORPORATE GOVERNANCE TO PROTECT RIGHTS OF MINOR SHAREHOLDERS VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT. READ WITH REGULATIONS 3(A) TO 3(D) & 4(1), 4(2)(F) & (R) OF PFUTP REGULATIONS, 2003
DID NOT CLEAR STATUS REGARDING NUMBER OF INDEPENDENT DIRECTOR DURING INVESTIGATION PERIOD VIOLATING REGULATION 17 OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE PROVISION OF INDEPENDENT DIRECTOR IN AUDIT COMMITTEE IN ANNUAL REPORT OF 2014 VIOLATING REGULATION 18(1) (B) OF SEBI (LODR) REGULATIONS, 2015
MISREPRESENTED ACCOUNTING STANDARD AND FINANCIAL DISCLOSURE VIOLATING REGULATION 33(2) (A) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-FEB-2020
|
SEBI VIDE ITS ORDER DATED 22/12/2020 ENHANCED PENALTY AMOUNT FROM RS.4.00 LACS TO RS.6.00 LACS AND DIRECTED TO PAY WITHIN FORTY FIVE DAYS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 16/03/2021 ALLOWED TWO WEEKS TIME TO FILE APPROPRIATE APPLICATION ALONG WITH AFFIDAVIT FOR CONDONING THE DELAY
|
| 22 |
|
|
AAKESH CHOPRA
(PAN:AENPC7889Q)
(Along with : KIRTI SALVI,
AMBRISH BARSATI PAL)
|
|
|
|
MPF SYSTEMS LTD.
PAN:AADCM7896A
|
|
DID NOT DEMONSTRATE ANY STEP TO RECOVER SUNDRY DEBTS AND ALSO FAILED TO FILE ANY DOCUMENT TO SUBSTANTIATE THEIR SUBMISSION TO RECTIFY ERROR MADE BY EARLIER MANAGEMENT VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) & 4(1), 4(2)(F) & (R) OF PFUTP REGULATIONS, 2003
ACCEPTED LOANS & ADVANCES FROM DIRECTORS (INCLUDING INDEPENDENT DIRECTORS) WITHOUT SPECIFYING THE TERMS OF REPAYMENT AND PAYING/CHARGING ANY INTEREST
DID NOT ADHERE TO SEBI REGULATIONS APPROVING LOAN TRANSACTIONS BETWEEN COMPANY AND DIRECTORS VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT. READ WITH REGULATIONS 3(A) TO 3(D) & 4(1), 4(2)(F) & (R) OF PFUTP REGULATIONS, 2003
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-FEB-2020
|
SEBI VIDE ITS ORDER DATED 22/12/2020 ENHANCED PENALTY AMOUNT FROM RS.6.00 LACS TO RS.10.00 LACS AND DIRECTED TO PAY WITHIN FORTY FIVE DAYS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 16/03/2021 ALLOWED TWO WEEKS TIME TO FILE APPROPRIATE APPLICATION ALONG WITH AFFIDAVIT FOR CONDONING THE DELAY
|
| 23 |
|
|
AAKESH CHOPRA
(PAN:AENPC7889Q)
(Along with : KIRTI SALVI,
ANIL KOTHARI,
AMBRISH BARSATI PAL)
|
|
|
|
MPF SYSTEMS LTD.
PAN:AADCM7896A
|
|
DID NOT FOLLOW PRINCIPLES OF CORPORATE GOVERNANCE TO PROTECT RIGHTS OF MINOR SHAREHOLDERS VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT. READ WITH REGULATIONS 3(A) TO 3(D) & 4(1), 4(2)(F) & (R) OF PFUTP REGULATIONS, 2003
DID NOT CLEAR STATUS REGARDING NUMBER OF INDEPENDENT DIRECTOR DURING INVESTIGATION PERIOD VIOLATING REGULATION 17 OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE PROVISION OF INDEPENDENT DIRECTOR IN AUDIT COMMITTEE IN ANNUAL REPORT OF 2014 VIOLATING REGULATION 18(1) (B) OF SEBI (LODR) REGULATIONS, 2015
MISREPRESENTED ACCOUNTING STANDARD AND FINANCIAL DISCLOSURE VIOLATING REGULATION 33(2) (A) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-FEB-2020
|
SEBI VIDE ITS ORDER DATED 22/12/2020 ENHANCED PENALTY AMOUNT FROM RS.4.00 LACS TO RS.6.00 LACS AND DIRECTED TO PAY WITHIN FORTY FIVE DAYS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 16/03/2021 ALLOWED TWO WEEKS TIME TO FILE APPROPRIATE APPLICATION ALONG WITH AFFIDAVIT FOR CONDONING THE DELAY
|
| 24 |
|
|
ABBAS KHAN CHAND KHAN
(PAN:AMFPK1852P)
|
|
|
INDULGED IN FUNDING IN FRAUDULENT MANNER THROUGH ITS SUBSIDIARIES/ASSOCIATED/CONNECTED ENTITIES, SUBSCRIPTION TO PREFERENTIAL ALLOTMENT OF WARRANTS AND CONVERSION OF WARRANTS INTO EQUITY SHARES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF HASTI FINANCE LTD.
|
IMPOSED PENALTY RS.15,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-JUL-2022
|
SEBI VIDE ITS NOTICE DATED 11/11/2022 DIRECTED TO PAY RS.15,,76,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 15/02/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6127 OF 2022 DATED 15/02/2023
|
| 25 |
|
|
ABDUL HAKIM KHAN
(PAN:AHAPK0293Q)
|
|
|
|
FINALYSIS CREDIT & GUARANTEE CO.LTD.
PAN:AABCF9494P
|
|
DEVISED A SCHEME TO DEFRAUD ORIGINAL PUBLIC SHAREHOLDERS BY ISSUING FORGED CONSOLIDATED SHARE CERTIFICATES AND THEREAFTER FRAUDULENTLY SOLD THESE CONSOLIDATED SHARE CERTIFICATES TO PURCHASERS BROUGHT BY BIPIN DIVECHA VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) & 4(2)(H) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF FINALYSIS CREDIT & GURANTEE CO.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 05-MAY-2020 TO 04-MAY-2023
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 05-MAY-2020 TO 04-MAY-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
05-MAY-2020
|
|
| 26 |
|
|
ABDUL ZAMEER HAKIM KHAN
(PAN:ASXPK2911K)
|
|
|
|
FINALYSIS CREDIT & GUARANTEE CO.LTD.
PAN:AABCF9494P
|
|
DEVISED A SCHEME TO DEFRAUD ORIGINAL PUBLIC SHAREHOLDERS BY ISSUING FORGED CONSOLIDATED SHARE CERTIFICATES AND THEREAFTER FRAUDULENTLY SOLD THESE CONSOLIDATED SHARE CERTIFICATES TO PURCHASERS BROUGHT BY BIPIN DIVECHA VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) & 4(2)(H) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF FINALYSIS CREDIT & GURANTEE CO.LTD.
|
IMPOSED PENALTY RS.5,00,000
30-JUN-2020
|
SAT: SAT VIDE ITS ORDER DATED 29/06/2021 CONDONED THE DELAY IN FILING OF APPEAL.IN THE MEANWHILE, RESPONDENT MAY FILE THE REPLY
SAT: SAT VIDE ITS ORDER DATED 01/10/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 27 |
|
|
ABDUL ZAMEER HAKIM KHAN
(PAN:ASXPK2911K)
|
|
|
|
FINALYSIS CREDIT & GUARANTEE CO.LTD.
PAN:AABCF9494P
|
|
DEVISED A SCHEME TO DEFRAUD ORIGINAL PUBLIC SHAREHOLDERS BY ISSUING FORGED CONSOLIDATED SHARE CERTIFICATES AND THEREAFTER FRAUDULENTLY SOLD THESE CONSOLIDATED SHARE CERTIFICATES TO PURCHASERS BROUGHT BY BIPIN DIVECHA VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) & 4(2)(H) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF FINALYSIS CREDIT & GURANTEE CO.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 05-MAY-2020 TO 04-MAY-2023
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 05-MAY-2020 TO 04-MAY-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
05-MAY-2020
|
|
| 28 |
|
|
ABHAY DATTATRAY JAVLEKAR
(PAN:ACVPJ4679B)
|
|
|
PERMITTED AND AUTHORISED NOTICEE MR ARVIND BABULA GOYAL TO OPERATE BANKING AND TRADING CUM DEMAT ACCOUNTS VIOLATING SECTIONS 12A(B) AND (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A), 3(C), 3(D), 4(1) AND 4(2)(H) 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 16-MAR-2021 TO 15-FEB-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
16-MAR-2021
|
SAT: SAT VIDE ITS ORDER DATED 05/05/2021 ALLOWED RESPONDENT TO FILE A REPLY TO THE APPLICATION FOR CONDONATION OF AS WELL AS TO MEMORANDUM OF THE APPEAL DURING THE SAME PERIOD
SAT: SAT VIDE ITS ORDER DATED 17/05/2021 CONDONED THE DELAY IN FILING OF APPEAL. ALLOWED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
|
| 29 |
|
|
ABHAY DATTATRAY JAVLEKAR
(PAN:ACVPJ4679B)
|
|
|
INDULGED IN FRAUDULENT TRANSACTIONS AND DEMATERIALIZATION OF SHARES OF DORMANT ACCOUNTS USING FORGED DOCUMENTS
|
IMPOSED PENALTY RS.30,00,000
28-SEP-2022
|
SAT: SAT VIDE ITS ORDER DATED 13/12/2022 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY
SAT: SAT VIDE ITS ORDER DATED 09/01/2023 ALLOWED RESPONDENT FURTHER TWO WEEKS TO FILE REPLY AND REJOINDER TO BE FILED WITHIN TWO WEEKS THEREAFTER
|
| 30 |
|
|
ABHAY JAIN
(PAN:AAEPJ3124C)
|
|
|
|
MAGNUM VENTURES LTD.
PAN:AAACM6054H
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF MAGNUM VENTURES LTD.VIOLATING REGULATIONS 4(1), 4(2)(E), 4(2)(F)(II)(7), 4(2)(F)(II)(8), 4(2)(F)(III)(3), 33(1)(A), 33(1)(C), 33(3)(C)(II), 33(3)(D), 33(3)(I), 34(2)(A), 34(3) AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27(2) OF SEBI ACT, 1992 IN MATTER OF MAGNUM VENTURES LTD.
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF MAGNUM VENTURES LTD. VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF MAGNUM VENTURES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-MAY-2023 TO 30-MAY-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAY-2023 TO 30-MAY-2024
IMPOSED PENALTY RS.6,00,000
31-MAY-2023
|
|
| 31 |
|
|
ABHIJEET NANDKUMAR JAIN
(PAN:AAJPF0833B)
|
|
|
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 UNTIL FURTHER ORDERS
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 07-AUG-2020 UNTIL FURTHER ORDERS
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 UNTIL FURTHER ORDERS
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 UNTIL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 07-AUG-2020 UNTIL FURTHER ORDERS
DIRECTED TO DISGORGE
07-AUG-2020
|
SAT: SAT VIDE ITS ORDER DATED 07/06/2023 CONDONED THE DELAY IN FILING OF APPEAL. IN THE MEANWHILE, RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER. STAYED IMPUGNED ORDER AND DIRECTED APPELLANT TO DEPOSIT BALANCE DISGORGEMENT AMOUNT AND PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 32 |
|
|
ABHIJIT PRABHAKAR DESAI
(PAN:AEKPD9806M)
|
|
|
|
BIRLA PACIFIC MEDSPA LTD.
CIN:L85100MH2008PLC184689
PAN:AADCB5167F
|
|
INDULGED IN SIPHONING OFF/DIVERSION OF IPO PROCEEDS VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(A), (D) AND (E) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF BIRLA PACIFIC MEDSPA LTD.
DID NOT MAKE DISCLOSURES OF DEVIATION IN USE OF IPO PROCEEDS ALONG WITH FINANCIAL RESULTS AS PER THE OBJECTS STATED IN THE PROSPECTUS TO STOCK EXCHANGES VIOLATING CLAUSE 43A OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF BIRLA PACIFIC MEDSPA LTD.
INDULGED IN MIS-UTILIZATION OF IPO PROCEEDS AS PER THE OBJECTS STATED IN THE PROSPECTUS VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(E), (F) AND (K) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF BIRLA PACIFIC MEDSPA LTD.
|
IMPOSED PENALTY RS.32,00,000
28-SEP-2022
|
|
| 33 |
|
|
ABHISHEK AGARWAL
(PAN:AIDPA1545K)
|
|
|
DID NOT MAKE DISCLOSURE OF INTER-SE CONNECTION AMONGST THEM WHILE TRADING ON MENTHA OIL FUTURES ON EXCHANGE VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT. AND REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 READ WITH SEBI CIRCULAR NO.CDMRD.DMP/CIR/2016/96 DATED 27/09/2016 AND SEBI/HO/DCDMRD/DMP/CIR/P/2017/84 DATED 25/07/2017
|
IMPOSED PENALTY RS.6,00,000
31-MAR-2023
|
SAT: SAT VIDE ITS ORDER DATED 08/09/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 34 |
|
|
ABHISHEK AGARWAL
(PAN:AIDPA1545K)
|
|
|
AIDED AND ABETTED SCHEME AND ARTIFICE UTILIZED BY NEFM GROUP FOR TRADING IN MENTHA OIL CONTRACTS THROUGH A NUMBER OF ENTITIES WHO TRADED IN MENTHA OIL FUTURES AS CLIENT OF RCS VIOLATING REGULATION 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2019 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-FEB-2019 TILL FURTHER ORDERS
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
28-FEB-2019
|
SAT: SAT VIDE ITS ORDER DATED 12/03/2019 ALLOWED THE APPEAL.NO COST
SEBI VIDE ITS ORDER DATED 06/12/2019 REVOKED ITS DIRECTIONS ISSUED VIDE ITS EX-PARTE INTERIM ORDER DATED 28/02/2019
|
| 35 |
|
|
ABHISHEK CHHAPARIA
(PAN:AFQPC8540N)
|
|
|
INDULGED IN FRONT RUNNING TRADING ACTIVITIES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DEUTSCHE MUTUAL FUND (NOW KNOWN AS DHFL PRAMERICA MUTUAL FUND)
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
21-OCT-2022
|
|
| 36 |
|
|
ABHISHEK DHIRENDRA SINGH
(PAN:BGZPS2752R)
|
|
|
|
MANPASAND BEVERAGES LTD.
CIN:L15549GJ2010PLC063283
PAN:AAHCM1210E
|
|
MISREPRESENTED/MISSTATED/MANIPULATED FINANCIALS STATEMENTS AND MISUSED OF BOOKS OF ACCOUNTS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATION 3(B) TO 3(D), 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF MANPASAND BEVERAGES LTD.
MISREPRESENTED/MISSTATED/MANIPULATED FINANCIALS STATEMENTS AND MISUSED OF BOOKS OF ACCOUNTS VIOLATING REGULATION 4(1)(C) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF MANPASAND BEVERAGES LTD.
ISSUED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF MANPASAND BEVERAGES LTD.
MISREPRESENTED/MISSTATED/MANIPULATED FINANCIALS STATEMENTS AND MISUSED OF BOOKS VIOLATING REGULATION 33 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF MANPASAND BEVERAGES LTD.
MISREPRESENTED/MISSTATED/MANIPULATED FINANCIALS STATEMENTS AND MISUSED OF BOOKS OF ACCOUNTS VIOLATING REGULATION 4(2)(F)(I)(2), 4(2)(F)(II)(2), 4(2)(F)(II)(7) AND 4(2)(F)(III)(7) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF MANPASAND BEVERAGES LTD.
DID NOT FURNISH INFORMATION AND DID NOT COOPERATE WITH FORENSIC AUDITOR IN MATTER OF MANPASAND BEVERAGES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-APR-2024 TO 29-APR-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-APR-2024 TO 29-APR-2027
IMPOSED PENALTY RS.17,00,000
30-APR-2024
|
SAT: SAT VIDE ITS ORDER DATED 21/05/2024 STAYED INTERIM DIRECTION AT PARAGRAPH NO.69(B) OF IMPUGNED ORDER SUBJECT TO APPELLANTS BEING PERMITTED TO KEY MANAGEMENT PERSONNEL (KMP). PARAGRAPH NOS.69(D) OF IMPUGNED ORDER REMAIN STAYED SUBJECT TO DEPOSIT 50% OF PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 37 |
|
|
ABHISHEK DHIRENDRA SINGH
(PAN:BGZPS2752R)
|
|
|
|
MANPASAND BEVERAGES LTD.
CIN:L15549GJ2010PLC063283
PAN:AAHCM1210E
|
|
MISREPRESENTED/MISSTATED/MANIPULATED FINANCIALS STATEMENTS AND MISUSED OF BOOKS OF ACCOUNTS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATION 3(B) TO 3(D), 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF MANPASAND BEVERAGES LTD.
MISREPRESENTED/MISSTATED/MANIPULATED FINANCIALS STATEMENTS AND MISUSED OF BOOKS OF ACCOUNTS VIOLATING REGULATION 4(1)(C) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF MANPASAND BEVERAGES LTD.
ISSUED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF MANPASAND BEVERAGES LTD.
MISREPRESENTED/MISSTATED/MANIPULATED FINANCIALS STATEMENTS AND MISUSED OF BOOKS VIOLATING REGULATION 33 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF MANPASAND BEVERAGES LTD.
MISREPRESENTED/MISSTATED/MANIPULATED FINANCIALS STATEMENTS AND MISUSED OF BOOKS OF ACCOUNTS VIOLATING REGULATION 4(2)(F)(I)(2), 4(2)(F)(II)(2), 4(2)(F)(II)(7) AND 4(2)(F)(III)(7) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF MANPASAND BEVERAGES LTD.
DID NOT FURNISH INFORMATION AND DID NOT COOPERATE WITH FORENSIC AUDITOR IN MATTER OF MANPASAND BEVERAGES LTD.
|
RESTRAINED FROM HOLDING ANY POSITION OF DIRECTOR OR KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY OR ANY INTERMEDIARY REGISTERED WITH SEBI AND FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY OR PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM 30-APR-2024 TO 29-APR-2029
30-APR-2024
|
SAT: SAT VIDE ITS ORDER DATED 21/05/2024 STAYED INTERIM DIRECTION AT PARAGRAPH NO.69(B) OF IMPUGNED ORDER SUBJECT TO APPELLANTS BEING PERMITTED TO KEY MANAGEMENT PERSONNEL (KMP). PARAGRAPH NOS.69(D) OF IMPUGNED ORDER REMAIN STAYED SUBJECT TO DEPOSIT 50% OF PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 38 |
|
|
ABHISHEK MISHRA
(PAN:APHPM6773J)
|
|
|
DID NOT MAKE DISCLOSURE OF INTER-SE CONNECTION AMONGST THEM WHILE TRADING ON MENTHA OIL FUTURES ON EXCHANGE VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT. AND REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 READ WITH SEBI CIRCULAR NO.CDMRD.DMP/CIR/2016/96 DATED 27/09/2016 AND SEBI/HO/DCDMRD/DMP/CIR/P/2017/84 DATED 25/07/2017
|
IMPOSED PENALTY RS.6,00,000
31-MAR-2023
|
|
| 39 |
|
|
ABHISHEK MISHRA
(PAN:APHPM6773J)
|
|
|
AIDED AND ABETTED SCHEME AND ARTIFICE UTILIZED BY NEFM GROUP FOR TRADING IN MENTHA OIL CONTRACTS THROUGH A NUMBER OF ENTITIES WHO TRADED IN MENTHA OIL FUTURES AS CLIENT OF RCS VIOLATING REGULATION 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2019 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-FEB-2019 TILL FURTHER ORDERS
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
28-FEB-2019
|
SAT: SAT VIDE ITS ORDER DATED 30/04/2019 QUASHED THE IMPUGNED ORDER SO FAR IT RELATED TO THE APPLELLANT
SEBI VIDE ITS ORDER DATED 06/12/2019 REVOKED ITS DIRECTIONS ISSUED VIDE ITS EX-PARTE INTERIM ORDER DATED 28/02/2019
|
| 40 |
|
|
ABNISH KUMAR SUDHANSHU
(PAN:AXQPS1237C)
|
|
|
|
AMRAPALI AADYA TRADING & INVESTMENT PVT.LTD.
PAN:AAECA3909P
|
|
|
AMRAPALI AADYA TRADING & INVESTMENT PVT.LTD.
PAN:AAECA3909P
(Depository Participants : CDSL,Member : NSE/BSE/MCX/MSEI)
|
|
DID NOT SUBMIT INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
MISUSED PLEDGING OF CLIENT’S SECURITIES
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
DID NOT REDRESS INVESTOR COMPLAINTS
FALSIFIED TRIAL BALANCE, BANK BOOKS AND CONCEALED THE INFORMATION RELATED TO PLEDGING OF SECURITIES, CASH WITHDRAWAL AND FUND MOVEMENT RELATED TO ENTITIES VIOLATING SECTIONS 12(A) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2) (P) OF SEBI (PFUTP) REGULATIONS, 2003
|
IMPOSED PENALTY RS.15,00,000
28-APR-2022
|
SAT: SAT VIDE ITS ORDER DATED 17/11/2022 ALLOWED THREE WEEKS TO FILE REPLY
SAT: SAT VIDE ITS ORDER DATED 06/01/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 2 of 105
|
