| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
AASTHI AGARWALA
(PAN:AMHPA8940L)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 3(I) AND 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF GOBIND SUGAR MILLS LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GOBIND SUGAR MILLS LTD.
ALLEGED DELAY IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GOBIND SUGAR MILLS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
08-APR-2013
|
|
| 22 |
|
|
ABBAS A.SHAIKH
(PAN:AGGPS2273K)
(Along with : HABIBUNISHA DHANANI,
KAYUM DHANANI,
GULSHAN I.MEMON,
SHAMIM DHANANI,
SHAJI NAIR,
SUBHASH PANDIT,
ABDUL RAZAK DHANANI,
SADIKA MD.I.MEMON,
MANSOOR I.MEMON,
ANISHA DHANANI,
RAJESH C.MODI,
AKITABANU MD.ISMAIL MEMON,
AKSHAY S.UDAR,
UDAY DHANANI,
ROHINI S.UDAR,
SHIRIN H.MEMON,
MUNAWAR GARBADAWALA,
SHYAMLAL BHASKAR PANDIT,
NOORMOHMAD VOHRA,
REKHA R.PANDIT,
RABIA RAZAK DHANANI,
PRADEEP B.MENON,
NASIM R.DHANANI,
SUCHITRA DHANANI)
|
|
|
|
ARIES HOTELS PVT.LTD.
PAN:AABCA6743N
|
|
|
BHARAT EQUITY SERVICES LTD.
PAN:AAACB7732M
|
|
|
EXCELLENT ESTATE DEVELOPERS PVT.LTD.
PAN:AAACE4152G
|
|
|
LIBERTY CONSTRUCTION & LEASING PVT.LTD.
PAN:AAACL3233H
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 11(1) AND 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SAYAJI HOTELS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SAYAJI HOTELS LTD.
|
IMPOSED PENALTY RS.3,10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-MAR-2018
|
SAT: SAT VIDE ITS ORDER DATED 20/10/2019 SEBI GRANTED APPROVAL IN TERMS OF REGULATION 24(2) OF SETTLEMENT REGULATIONS. NO COSTS
|
| 23 |
|
|
ABDUL QUDDUS KHAN
(PAN:AFJPK2769J)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHERS ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 10/09/2012 REVOKED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/07/2009 AND CONFIRMATORY ORDER DATED 30/10/2009 WITH IMMEDIATE EFFECT
|
| 24 |
|
|
ABDUL RAZAK DHANANI
(PAN:ABWPD8290J)
(Along with : HABIBUNISHA DHANANI,
KAYUM DHANANI,
GULSHAN I.MEMON,
SHAMIM DHANANI,
SHAJI NAIR,
SUBHASH PANDIT,
ABBAS A.SHAIKH,
SADIKA MD.I.MEMON,
MANSOOR I.MEMON,
ANISHA DHANANI,
RAJESH C.MODI,
AKITABANU MD.ISMAIL MEMON,
AKSHAY S.UDAR,
UDAY DHANANI,
ROHINI S.UDAR,
SHIRIN H.MEMON,
MUNAWAR GARBADAWALA,
SHYAMLAL BHASKAR PANDIT,
NOORMOHMAD VOHRA,
REKHA R.PANDIT,
RABIA RAZAK DHANANI,
PRADEEP B.MENON,
NASIM R.DHANANI,
SUCHITRA DHANANI)
|
|
|
|
ARIES HOTELS PVT.LTD.
PAN:AABCA6743N
|
|
|
BHARAT EQUITY SERVICES LTD.
PAN:AAACB7732M
|
|
|
EXCELLENT ESTATE DEVELOPERS PVT.LTD.
PAN:AAACE4152G
|
|
|
LIBERTY CONSTRUCTION & LEASING PVT.LTD.
PAN:AAACL3233H
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 11(1) AND 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SAYAJI HOTELS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SAYAJI HOTELS LTD.
|
IMPOSED PENALTY RS.3,10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-MAR-2018
|
SAT: SAT VIDE ITS ORDER DATED 20/10/2019 SEBI GRANTED APPROVAL IN TERMS OF REGULATION 24(2) OF SETTLEMENT REGULATIONS. NO COSTS
|
| 25 |
|
|
ABHA BAGRODIA
|
|
|
|
SIRUGUPPA SUGARS & CHEMICALS LTD.
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND SEBI AS REQUIRED UNDER REGULATIONS 3(3),3(4) AND 3(5) OF SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
06-MAY-2008
|
|
| 26 |
|
|
ABHA DALMIA
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SHAREHOLDING INCREASED FROM 62.56% TO 75% PURSUANT TO BUY BACK OFFER OF OCL INDIA LTD.
|
REJECTED APPLICATION FILED FOR GRANT OF EXEMPTION FROM TAKEOVER REGULATIONS, 1997
19-JUL-2011
|
SAT: APPEAL ALLOWED AND ORDER DATED 28/01/2010 SET ASIDE AND PRAYERS (I), (III) AND (IV) IN PARA 6 OF THE MEMORANDUM OF APPEAL GRANTED. ORDER DATED 19/07/2011 BECOME INFRUCTUOUS. PARTIES SHALL BEAR THEIR OWN COSTS
|
| 27 |
|
|
ABHAY BAHETI
(PAN:ADEPB2646N)
(Along with : GHANSHYAM DAS KANKANI,
AVINASH KANKANI,
MADHU LATA KANKANI,
UMESH KANKANI)
|
|
|
|
DWARIKA INVESTMENTS PVT.LTD.
PAN:AAACD9731A
|
|
|
KORAPUT INVESTMENTS PVT.LTD.
PAN:AABCK2228A
|
|
|
SPARTON LEASING & FINANACE LTD.
PAN:AAACS3597F
|
|
|
WESTERN INDIA CEMENTS LTD.
PAN:AAACW2577K
|
|
DID NOT MENTION IN SPA THAT IN CASE OF NON-COMPLIANCE OF ANY PROVISION OF REGULATION 22 (16) OF SEBI TAKEOVER CODE, 1997, AGREEMENT FOR SUCH SALE SHALL NOT BE ACTED UPON BY SELLER OR ACQUIRER IN MATTER OF TIRRIHANNAH CO.LTD.
|
IMPOSED PENALTY RS.2,50,000 ALONG WITH OTHER ENTITIES/PERSONS
19-DEC-2018
|
|
| 28 |
|
|
ABHAY BAHETI
(PAN:ADEPB2646N)
(Along with : GHANSHYAM DAS KANKANI,
AVINASH KANKANI,
MADHU LATA KANKANI,
UMESH KANKANI)
|
|
|
|
DWARIKA INVESTMENTS PVT.LTD.
PAN:AAACD9731A
|
|
|
KORAPUT INVESTMENTS PVT.LTD.
PAN:AABCK2228A
|
|
|
SPARTON LEASING & FINANACE LTD.
PAN:AAACS3597F
|
|
|
WESTERN INDIA CEMENTS LTD.
PAN:AAACW2577K
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF TIRRIHANNAH CO.LTD.
|
IMPOSED PENALTY RS.4,00,000 ALONG WITH OTHER ENTITIES/PERSONS
19-DEC-2018
|
|
| 29 |
|
|
ABHAY BAHETI
(PAN:ADEPB2646N)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 10, 11(2) AND 12 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF TIRRIHANNAH CO.LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
08-FEB-2018
|
|
| 30 |
|
|
ABHAY DATTATRAY JAVLEKAR
(PAN:ACVPJ4679B)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF INCAP FINANCIAL SERVICES LTD.
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 10 AND 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF INCAP FINANCIAL SERVICES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(1) AND 13(3) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF INCAP FINANCIAL SERVICES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, SELF-TRADES, REVERSAL OF TRADES AND OFF-MARKET TRANSACTIONS IN SCRIP OF INCAP FINANCIAL SERVICES LTD.
DID NOT SUBMIT DOCUMENTARY PROOF OF PAYMENT MADE OR RECEIPT OF CONSIDERATION BY COUNTERPARTY VIOLATING SECTION 16 OF SCRA, 1956 READ WITH SEBI NOTIFICATION NO.G.S.R.219 (E) DATED 02/03/2000 AND SECTIONS 13 AND 18 OF SCRA READ WITH SECTIONS 2(I) OF SCRA ACT, 1956 IN MATTER OF INCAP FINANCIAL SERVICES LTD.
|
IMPOSED PENALTY RS.18,50,000
20-APR-2020
|
SEBI VIDE ITS NOTICE DATED 08/06/2021 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1.ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) BY WHATEVER NAME CALLED INCLUDING LOCKERS 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
SEBI VIDE ITS ORDER DATED 10/05/2022 DIRECTED ALL THE BANKS TO REMIT RS.23,32,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.ABHAY DATTATRAY JAVLEKAR TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 31 |
|
|
ABHAY DHUMAL
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING AS REQUIRED UNDER REGULATIONS 7(1) AND 7(2) OF SEBI TAKEOVER CODE, 1997
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
08-DEC-2006
|
|
| 32 |
|
|
ABHAY SHASTRI
|
|
|
CONSOLIDATED HOLDINGS WITHOUT MAKING MANDATORY PUBLIC ANNOUNCEMENT AND PUBLIC OFFER OF WASHINGTON SOFTWARE LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JUL-2008
|
|
| 33 |
|
|
ABHAY SHASTRI
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF SHARES OF WASHINGTON SOFTWARES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-MAR-2010 TO 28-APR-2010
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-MAR-2010 TO 28-APR-2010
29-MAR-2010
|
|
| 34 |
|
|
ABHEY RAM DAHIYA
(PAN:ABVPD0924C)
|
|
|
|
A.R.DAHIYA & ASSOCIATES
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT IN ACCORDANCE WITH THE PROVISIONS OF SEBI TAKEOVER CODE, 1997 BY THE ACQUIRER ON 24.4.1999 IN THE CASE OF POLO HOTELS LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
01-AUG-2003
|
SAT: APPEAL FAILED AND DISMISSED
SAT: SAT VIDE ITS ORDER DATED 29/08/2017 GRANTED EXTENSION OF TIME FOR A FURTHER PERIOD OF FOUR WEEKS FOR COMPLIANCE OF SEBI ORDER DATED 01/08/2003 SUBJECT TO PAYMENT OF COSTS QUANTIFIED AT RS.50,000 TO BE PAID BY THE APPELLANT TO SEBI WITHIN A PERIOD OF TWO WEEKS FROM THE DATE OF THIS ORDER
|
| 35 |
|
|
ABHIJEET PATODIA
(PAN:AOBPP1752P)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF W W TECHNOLOGY HOLDINGS LTD.
|
IMPOSED PENALTY RS.2,50,000
31-JUL-2014
|
SAT: SAT VIDE ITS ORDER DATED 08/03/2016 ALLOWED APPEAL TO BE WITHDRAWN. PERMITTED APPELLANTS TO PAY PENALTY WITHIN A PERIOD OF THREE MONTHS FROM THE DATE OF THIS ORDER. NO COSTS
|
| 36 |
|
|
ABHIJEET PATODIA
(PAN:AOBPP1752P)
(Along with : PRASHANT DEORAH,
ANIL PATODIA,
POONAM PATODIA,
KISHORILAL PATODIA)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF W W TECHNOLOGY HOLDINGS LTD.
|
IMPOSED PENALTY RS.50,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JUL-2014
|
SAT: SAT VIDE ITS ORDER DATED 08/03/2016 ALLOWED APPEAL TO BE WITHDRAWN. PERMITTED APPELLANTS TO PAY PENALTY WITHIN A PERIOD OF THREE MONTHS FROM THE DATE OF THIS ORDER. NO COSTS
|
| 37 |
|
|
ABHIJIT CHATTERJEE
|
|
|
|
CRUICKSHANK & CO.LTD.
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 38 |
|
|
ABHIJIT RAJENDRA BORA
(PAN:AAUPB1605N)
|
|
|
DID NOT MAKE DISCLOSURES OF INVOCATION OF PLEDGE OF SHARES TO COMPANY AS REQUIRED UNDER REGULATIONS 8A(2) AND 8A(3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF TWILIGHT LITAKA PHARMA LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF TWILIGHT LITAKA PHARMA LTD.
|
IMPOSED PENALTY RS.1,00,000
29-DEC-2022
|
|
| 39 |
|
|
ABHISHEK CHITLANGIA
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO SEBI AS REQUIRED UNDER REGULATION 3(3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 11,97,425 (32.87%) EQUITY SHARES OF SARDA PLYWOOD INDUSTRIES LTD.
|
IMPOSED PENALTY RS.10,000 ALONG WITH OTHER ENTITIES/PERSONS
20-OCT-2008
|
|
| 40 |
|
|
ABHISHEK DALMIA
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO SEBI AS REQUIRED UNDER REGULATION 3(4) READ WITH 3(5) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 279324 (63.48%) SHARES OF ANNIVERSARY INVESTMENTS & AGENCIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,000, ADMINISTRATION CHARGES RS.25,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
18-AUG-2008
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 2 of 151
|
