| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 481 |
|
SMITABEN N.SHAH
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
D TO DISGORGE RS.58,85,939
30-DEC-2009~
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 17/01/2007 SET ASIDE. DIRECTED SEBI TO REFUND THE AMOUNT IMPOUNDED FROM APPELLANTS TOGETHER WITH INTEREST ACCRUED THEREON TILL THE DATE AMOUNTS WERE REMMITTED TO CONSOLIDATED FUND OF INDIA WITH PARTIES TO BEAR THEIR OWN COSTS
DIRECTED VIDE ORDER DATED 30/12/2009 1) IMPOUND RS.58,85,939 AS UNLAWFUL GAINS OUT OF ENTIRE AMOUNT WITHHELD BY NSE AND BSE VIDE ORDER DATED 17/01/2007 AND RESTRAINED FROM BUYING,SELLING OR DEALING IN SECURITES MARKET IN ANY MANNER OR ACCESSING SECURITIES MARKET,DIRECTLY OR INDIRECTLY FOR A PERIOD OF THREE YEARS FROM DATE OF THIS ORDER.2) BSE AND NSE TO REMIT UNLAWFUL GAINS WITHHELD BY THEM ALONGWITH INTEREST ACCRUED THEREON TO SEBI WITHIN 15 DAYS FROM DATE OF THIS ORDER
|
| 482 |
|
|
SONAL N.DADIA
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.2,40,000 VIDE CONSENT ORDER)
05-JUN-2008~
|
ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.240000 AGAINST NOTIONAL UNDUE GAIN AND RS.100000 AGAINST SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 05/06/2008
|
| 483 |
|
|
SONAL U.VORA
(PAN:AAWPV2754Q)
|
|
|
|
DEEP INFRASTRUCTURE PVT.LTD.
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.43,16,205, (DISGORGEMENT AMOUNT RS.11,78,46,946,INTEREST RS.2,36,61,550 ALONG WITH OTHER ENTITIES/PERSONS) VIDE CONSENT ORDER)
20-APR-2009~
|
AD INTERIM EX-PARTE ORDER DATED 17/01/2007 DISPOSED OFF, AS APPLICANT AGREED TO TRANSFER WITH OTHER APPLICANTS AN AMOUNT OF RS.11,78,46,946.00 WITHHELD BY BSE, AS PER SEBI ORDER DATED 17/01/2007, TOGETHER WITH INTEREST AND PAY RS.43,16,205.00 TOWARDS SETTLEMENT CHARGES SEPERATELY, AS PER CONSENT ORDER DATED 20/04/2009
|
| 484 |
|
|
SONAL UDAYBHAI
|
|
|
|
DEEP INFRASTRUCTURE PVT.LTD.
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
|
| 485 |
|
|
SONALBEN NIMESHKUMAR RAVAL
(PAN:AMAPR3470K)
(Along with : PINTU KACHARAJI TELI,
DILIP SITARAM WANI,
KAMLABEN DHANSINGBHAI LODHA,
PUSHPABEN DILIPKUMAR VANI,
VIJAY MAHIPATRAY TRIVEDI,
SMITABEN BHARATBHAI KHAMBHATI,
SHEELA ANJAY GUPTA,
GITABEN VAHALABHAI JADAV,
JOHNALI GULAMALI MOMIN,
MAHERA JOHNALI MOMIN,
HANSABEN JAYESHKUMAR PARMAR,
GAWMATI MATHURBHAI PARMAR,
PARULBEN MANILAL PARMAR,
HASUMATIBEN MANILAL PARMAR,
PREMLATA BHAGAVENDAS KOSHTI,
DAKSHABEN BANAVARILAL SHARMA,
ANSOYABEN RAJENDRAKUMAR SHUKAL,
CHHAYA RAKESH SABLE,
RINABEN PREMCHANDABHAI PARMAR,
GEETABEN NAROTTAMBHAI PARMAR,
SANGITABEN BHUPESHBHAI BHAVSAR,
CHANDRESH KANAIYALAL BIJAVA,
MANJULABEN CHANDRESHBHAI BIJAVA,
LEKHABEN DINESHBHAI SHAH)
|
|
|
|
PANKAJ J.SHAH (HUF)
PAN:AAIHS5790M
|
|
|
PINTU KACHARAJI TELI (HUF)
PAN:AACHT3722L
|
|
|
TRIVEDI VIJAY MAHIPATRAM (HUF)
PAN:AACHT3689L
|
|
|
VANI DILIP SITARAM (HUF)
PAN:AAHHV0378P
|
|
|
VIJAY MANGALDAS SHAH (HUF)
PAN:AAGHV9796J
|
|
INDULGED IN PROVIDING FUNDS TO OTHERS ENTITIES/PERSONS FOR CORNERING OF SHARES RESERVED FOR RETAIL INVESTORS IN IPOS OF L&T FINANCE HOLDINGS LTD., TREE HOUSE EDUCATION LTD. AND FUTURE VENTURES INDIA LTD.
|
IMPOSED PENALTY RS.20,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-AUG-2020
|
SAT: SAT VIDE ITS ORDER DATED 19/07/2021 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY TO RS.20 LAC FROM RS.35 LAC
SAT: SAT VIDE ITS ORDER DATED 05/10/2021 REJECTED MODIFICATION APPLICATION
|
| 486 |
|
|
SONALI D.VORA
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.43,58,543, (DISGORGEMENT AMOUNT RS.11,78,46,946,INTEREST RS.2,36,61,550 ALONG WITH OTHER ENTITIES/PERSONS) VIDE CONSENT ORDER)
20-APR-2009~
|
AD INTERIM EX-PARTE ORDER DATED 17/01/2007 DISPOSED OFF, AS APPLICANT AGREED TO TRANSFER WITH OTHER APPLICANTS AN AMOUNT OF RS.11,78,46,946.00 WITHHELD BY BSE, AS PER SEBI ORDER DATED 17/01/2007, TOGETHER WITH INTEREST AND PAY RS.43,58,543.00 TOWARDS SETTLEMENT CHARGES SEPERATELY, AS PER CONSENT ORDER DATED 20/04/2009
|
| 487 |
|
|
SONALIBEN DHIRENBHAI VORA
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
|
| 488 |
|
|
SUNITA RATAN MARDIA
|
|
|
|
DANIAL INVESTMENT PVT.LTD.
PAN:AABCD3753H
|
|
|
NISSAN COPPER LTD.
CIN:L36939DN1989PLC000377
PAN:AABCN0105B
|
|
ALLEGED INDULGENCE IN ARRANGING SUBSCRIPTION IN IPO OF NISSAN COPPER LTD.THROUGH MACHINATIONS OF SUBSCRIBERS IN QIB SEGMANT AND THEIR FINAL BUYERS AFTER LISTING OF SCRIP
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000, ADMINISTRATION CHARGES RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
24-APR-2009
|
|
| 489 |
|
|
SUNITADEVIH BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
|
| 490 |
|
|
SURENDRA RAJ BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
|
| 491 |
|
|
SURESHKUMAR P.BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
|
| 492 |
|
|
SUSHILA BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
|
| 493 |
|
|
TANMAY T.AGARWAL
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.40,36,942, INTEREST RS.8,23,849 VIDE CONSENT ORDER)
26-MAR-2009~
|
CONFIRMED AD-INTERIM ORDER DATED JAN. 17,2007
INTERIM EX-PARTE ORDER DATED 17/01/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.40,36,942.00 ALONGWITH INTEREST DUE THEREON AS SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 26/03/2009
|
| 494 |
|
|
TEJAS NITIN KANABAR
(PAN:AGWPK8493R)
|
|
|
FACILITATED IN CORNERING RETAIL PORTION OF IPOS BY OPENING DEMAT ACCOUNTS IN FICTITIOUS/BENAMI NAMES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-JUL-2013 TO 09-JUL-2016
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-JUL-2013 TO 09-JUL-2016
10-JUL-2013
|
|
| 495 |
|
|
TEJAS PATEL
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
D TO DISGORGE RS.61,16,600
30-DEC-2009~
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 17/01/2007 SET ASIDE. DIRECTED SEBI TO REFUND THE AMOUNT IMPOUNDED FROM APPELLANTS TOGETHER WITH INTEREST ACCRUED THEREON TILL THE DATE AMOUNTS WERE REMMITTED TO CONSOLIDATED FUND OF INDIA WITH PARTIES TO BEAR THEIR OWN COSTS
DIRECTED VIDE ORDER DATED 30/12/2009 1) IMPOUND RS.61,16,600 AS UNLAWFUL GAINS OUT OF ENTIRE AMOUNT WITHHELD BY NSE AND BSE VIDE ORDER DATED 17/01/2007 AND RESTRAINED FROM BUYING,SELLING OR DEALING IN SECURITES MARKET IN ANY MANNER OR ACCESSING SECURITIES MARKET,DIRECTLY OR INDIRECTLY FOR A PERIOD OF THREE YEARS FROM DATE OF THIS ORDER.2) BSE AND NSE TO REMIT UNLAWFUL GAINS WITHHELD BY THEM ALONGWITH INTEREST ACCRUED THEREON TO SEBI WITHIN 15 DAYS FROM DATE OF THIS ORDER
|
| 496 |
|
|
UDAY H.VORA
(PAN:AAMPV2972L)
|
|
|
|
H.NYALCHAND FINANCIAL SERVICES LTD.
(Member : NSE/ASE)
|
|
|
PARK LIGHT INVESTMENT PVT.LTD.
(Member : BSE)
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.43,80,578, (DISGORGEMENT AMOUNT RS.11,78,46,946,INTEREST RS.2,36,61,550 ALONG WITH OTHER ENTITIES/PERSONS) VIDE CONSENT ORDER)
20-APR-2009~
|
AD INTERIM EX-PARTE ORDER DATED 17/01/2007 DISPOSED OFF, AS APPLICANT AGREED TO TRANSFER WITH OTHER APPLICANTS AN AMOUNT OF RS.11,78,46,946.00 WITHHELD BY BSE, AS PER SEBI ORDER DATED 17/01/2007, TOGETHER WITH INTEREST AND PAY RS.43,80,578.00 TOWARDS SETTLEMENT CHARGES SEPERATELY, AS PER CONSENT ORDER DATED 20/04/2009
|
| 497 |
|
|
UMANG R.SHAH
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
SETTLEMENT ( SETTLEMENT CHARGES RS.45,469, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.2,27,345 VIDE CONSENT ORDER)
20-APR-2009~
|
AD INTERIM EX-PARTE ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.2,27,345, TOWARDS DISGORGEMENT AND RS.45,469 TOWARDS SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 20/04/2009
|
| 498 |
|
|
USHA BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
|
| 499 |
|
|
VARUN Y.BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
|
IMPOSED PENALTY RS.2,60,000 ALONG WITH OTHER ENTITIES/PERSONS
29-MAY-2009
|
INCLUDED IN SEBI LIST DATED 30/06/2010, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 500 |
|
|
VARUN Y.BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
|
IMPOSED PENALTY RS.2,60,000 ALONG WITH OTHER ENTITIES/PERSONS
29-MAY-2009
|
INCLUDED IN SEBI LIST DATED 30/06/2010, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 25 of 29
|
