| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 461 |
|
SURENDRA BABU SINGH
|
|
|
|
DAMANIA CAPITAL MARKETS LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-JUL-2015 TILL RESOLVES ALL PENDING INVESTOR GRIEVANCES
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-JUL-2015 TILL RESOLVES ALL PENDING INVESTOR GRIEVANCES
17-JUL-2015
|
|
| 462 |
|
|
SURENDRA GAMA YADAV
(PAN:AAIPY0498C)
(Along with : ASHOK DESWANI,
SUNIL MANSINGHANI,
KANCHAN MANSINGHANI)
|
|
|
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
DIRECTED TO DISGORGE RS.24,11,28,108 ALONG WITH OTHER ENTITIES/PERSONS
02-JUN-2026
|
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
SEBI VIDE ITS NOTICE DATED 02/06/2026 DIRECTED TO PAY RS.24,11,28,108.15 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 463 |
|
|
SURENDRA P.PATEL
|
|
|
|
INDO-AMERICAN OPTICS LTD.
CIN:U26109GJ1991PLC015349
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-OCT-2003 TO 09-OCT-2008
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-OCT-2003 TO 09-OCT-2008
10-OCT-2003
|
|
| 464 |
|
|
SURESH BHAGWAT PRASAD GUPTA
|
|
|
|
ENKAY TEXOFOOD INDUSTRIES LTD.
PAN:AAACE0833A
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-OCT-2003 TO 09-OCT-2008
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-OCT-2003 TO 09-OCT-2008
10-OCT-2003
|
|
| 465 |
|
|
SURESH KANTI SHUKLA
|
|
|
|
OJAS TECHNOCHEM PRODUCTS LTD.
|
|
DID NOT TRANSFER SHARE CERTIFICATES WITHIN STIPULATED TIME
DID NOT REDRESS INVESTOR COMPLAINTS
|
LAUNCHED CRIMINAL PROSECUTION
03-APR-2001
|
|
| 466 |
|
|
SURESH P.MADHAV
|
|
|
|
INDO BIOTECH HERBAL REMEDIES LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-OCT-2003 TO 09-OCT-2008
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-OCT-2003 TO 09-OCT-2008
10-OCT-2003
|
SAT: IMPUGNED ORDER SET ASIDE WITH NO ORDER AS TO COSTS
|
| 467 |
|
|
SURESH P.MADHAV
|
|
|
|
INDO BIOTECH HERBAL REMEDIES LTD.
|
|
DID NOT RESPOND TO SHOW CAUSE NOTICE REGARDING REDRESSAL OF INVESTORS GRIEVANCES
|
DIRECTED TO REDRESS INVESTOR GRIEVANCES
14-OCT-2002
|
SAT: IMPUGNED ORDER SET ASIDE WITH NO ORDER AS TO COSTS
|
| 468 |
|
|
SURESH SACHDEV
|
|
|
|
INFORMATION TECHNOLOGIES (INDIA) LTD.
CIN:U65910UP1994PLC017049
PAN:AAACI1891E
|
|
DID NOT REDRESS INVESTOR GRIEVANCES DESPITE BEING DIRECTED BY SEBI
|
IMPOSED PENALTY RS.1,00,00,000
06-MAY-2005
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 469 |
|
|
SURESH TULSIDAS KILACHAND
(DIN:02610275
PAN:AOHPK6967R)
|
|
|
|
SYNTHETICS & CHEMICALS LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 21-SEP-2017 TILL RESOLVE ALL INVESTOR GRIEVANCE PENDING
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-SEP-2017 TILL RESOLVE ALL INVESTOR GRIEVANCE PENDING
21-SEP-2017
|
|
| 470 |
|
|
SURYAKUMAR AVADHNARAIN JHA
|
|
|
|
ENKAY TEXOFOOD INDUSTRIES LTD.
PAN:AAACE0833A
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
IMPOSED PENALTY RS.10,00,000
23-JUN-2004
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 471 |
|
|
SUSHMA VIMALKUMAR RAVAL
(PAN:BBPPE7839K)
|
|
|
|
MILLENNIUM CYBERTECH LTD.
PAN:AABCM8712D
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-NOV-2016 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-NOV-2016 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
01-NOV-2016
|
|
| 472 |
|
|
SWADESH BHARADWAJA
|
|
|
|
MITHILA STEEL INDUSTRIES LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
LAUNCHED CRIMINAL PROSECUTION
06-APR-1998
|
|
| 473 |
|
|
SWAMINATH S.HANCHATE
|
|
|
|
INDO BIOTECH HERBAL REMEDIES LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-OCT-2003 TO 09-OCT-2008
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-OCT-2003 TO 09-OCT-2008
10-OCT-2003
|
SAT: IMPUGNED ORDER SET ASIDE WITH NO ORDER AS TO COSTS
|
| 474 |
|
|
SWAMINATH S.HANCHATE
|
|
|
|
INDO BIOTECH HERBAL REMEDIES LTD.
|
|
DID NOT RESPOND TO SHOW CAUSE NOTICE REGARDING REDRESSAL OF INVESTORS GRIEVANCES
|
DIRECTED TO REDRESS INVESTOR GRIEVANCES
14-OCT-2002
|
SAT: IMPUGNED ORDER SET ASIDE WITH NO ORDER AS TO COSTS
|
| 475 |
|
|
SWAMINATHAN MAHALINGAM
(DIN:02332928)
(Sub-Broker of ISE SECURITIES & SERVICES LTD., Member : NSE/BSE)
|
|
|
|
MEGA MILLENNIUM INVESTMENT PVT.LTD.
(Sub-Broker of ISE SECURITIES & SERVICES LTD., Member : NSE/BSE,Member : ICSE)
|
|
|
MEGA MILLENNIUM SECURITIES PVT.LTD.
PAN:AACCM2293E
|
|
COMMITTED IRREGULARITIES IN SHARE LENDING/BORROWING
DID NOT REDRESS INVESTOR COMPLAINTS
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-SEP-2007 TILL COMPLETION OF THE ENQUIRY PROCEEDINGS
DIRECTED TO FREEZE DEMAT ACCOUNTS
DIRECTED NOT TO ENGAGE IN THE ACTIVITY OF BORROWING AND LENDING OF SECURITIES WITHOUT OBTAINING REGISTRATION FROM SEBI
03-SEP-2007
|
DIRECTIONS OF PROHIBITING FROM ACCESSING SECURITIES MARKET AND FREEZING DEMAT ACCOUNTS REVOKED, OTHER DIRECTIONS WILL CONTINUE TO OPERATE. FURTHER DIRECTED TO SUBMIT COMPLIANCE REPORT TO SEBI IN RESPECT OF SALE OF SHARES LYING IN DEMAT ACCOUNT AND TRANSFER SALE PROCEED TO COMPLAINANTS NAMELY MR. T.S.NILKANTHAN & MS. LAKSHMI NILKANTHAN
|
| 476 |
|
|
SWAPNIL PRAJAPATI
(PAN:BTWPP9571K)
|
|
|
|
HIGHBROW MARKET RESEARCH PVT.LTD.
PAN:AACCH8077M
|
|
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
SOLD MULTIPLE PACKAGES TO CLIENTS WITH THREAT OF FORFEITURE AND CHARGED
UNREASONABLE AND UNDISCLOSED FEE
SOLD ADVISORY SERVICES/PRODUCTS TO CLIENTS WITHOUT ENSURING SUITABILITY OF ADVICE ACCORDING TO THEIR RISK PROFILE
SPLIT THE FEE AMONG RELATIVES OF CLIENT AND DENIED TO ACKNOWLEDGE CLIENTS EVEN AFTER RECEIVING PAYMENT AND FORCEFULLY CAPTURED CARD DETAILS
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
|
IMPOSED PENALTY RS.1,00,000
31-MAR-2023
|
SEBI VIDE ITS NOTICE DATED 20/07/2023 DIRECTED TO PAY RS.1,06,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 09/01/2024 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND FILE REJOINDER THREE WEEKS THEREAFTER. DIRECTED APPELLANTS TO DEPOSIT A CHEQUE TO THE RESPONDENT TO THE NEEDFUL AND THE ACCOUNT WILL BE DEFREEZED ONCE THE CHEQUE IS CREDITED TO SEBI’S ACCOUNT
SEBI VIDE ITS ORDER DATED 12/09/2023 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS 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 NOTICE DATED 21/02/2024 ALLOWED THE APPEAL AND DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 12/09/2023
SEBI VIDE ITS ORDER DATED 21/02/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6919 OF 2023 DATED 20/07/2023
SAT: SAT VIDE ITS ORDER DATED 21/02/2024 GRANTED ADDITIONAL THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 29/04/2024 ALLOWED THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 12/06/2024 GRANTED TWO WEEKS TO FILE REJOINDER
|
| 477 |
|
|
SWETA R.PARWANI
|
|
|
|
VATSA CORP.LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS REGARDING DELAY IN TRANSFER OF SHARES
FAILED TO PAY DIVIDENDS TO SHAREHOLDERS
|
LAUNCHED CRIMINAL PROSECUTION
19-JUN-1998
|
|
| 478 |
|
|
T.D.SADASIVAM
|
|
|
|
PENTAFOUR PRODUCTS LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
IMPOSED PENALTY RS.25,00,000
07-JUL-2003
|
INCLUDED IN SEBI LIST DATED 31/03/2011, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 479 |
|
|
T.N.ZALA
|
|
|
|
GUJARAT DEHYD FOODS LTD.
|
|
DID NOT TRANSFER SHARE CERTIFICATES WITHIN STIPULATED TIME
FAILED TO PAY DIVIDENDS TO SHAREHOLDERS
DID NOT REDRESS INVESTOR COMPLAINTS
|
LAUNCHED CRIMINAL PROSECUTION
27-SEP-2001
|
|
| 480 |
|
|
TABREZ KHAN
(PAN:BBQPK0436A)
|
|
|
|
ZOID RESEARCH
PAN:BBQPK0436A
|
|
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
USED FAKE NAMES IN DEALING WITH CLIENTS
CHARGED EXTRA MONEY FROM CLIENTS/INVESTORS
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
|
IMPOSED PENALTY RS.8,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-NOV-2020
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 24 of 27
|
