| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
AANCHAL JINDAL
(PAN:AIHPJ4158R)
|
|
|
DELAY IN DELIVERY OF SECURITIES WITHOUT GIVING ANY COGENT EXPLANATION OR REASON VIOLATING SECTIONS 13, 16 AND 18 OF SC(R)A READ WITH SEBI NOTIFICATION G.S.R.219(E) DATED 02/03/2000 & SEBI NOTIFICATION NO.LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2010 IN MATTER OF DELTA LEASING & FINANCE LTD.
|
IMPOSED PENALTY RS.1,00,000
29-JUL-2021
|
SEBI VIDE ITS NOTICE DATED 11/08/2022 DIRECTED TO PAY RS.1,15,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 22/11/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.5331 OF 2022 DATED 11/08/2022
|
| 42 |
|
|
AANCHAL JINDAL
(PAN:AIHPJ4158R)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF PAWANSUT HOLDINGS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF PAWANSUT HOLDINGS LTD.
|
IMPOSED PENALTY RS.3,00,000
30-AUG-2019
|
SEBI VIDE ITS NOTICE DATED 04/03/2020 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 30/07/2020 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 04/03/2020
SAT: SAT VIDE ITS ORDER DATED 27/08/2021 CONDONED THE DELAY IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 31/08/2021 PARTLY ALLOWED THE APPEAL BY REDUCING THE PENALTY AMOUNT TO RS.3 LAC FROM RS.10.50 LAC TO BE PAID WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SEBI VIDE ITS ORDER DATED 18/11/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.2754 OF 2020 DATED 13/01/2020
|
| 43 |
|
|
AANCHAL JINDAL
(PAN:AIHPJ4158R)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF FOCUS INDUSTRAIAL RESOURCES LTD.
|
IMPOSED PENALTY RS.1,00,000
22-SEP-2020
|
SAT: SAT VIDE ITS ORDER DATED 01/07/2021 CONDONED THE DELAY OF 82 DAYS IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 10/08/2021 APPELLANTS FILE THE REJOINDER WITHIN THREE WEEKS FROM DATE OF THIS ORDER
|
| 44 |
|
|
AANCHAL SURI
(PAN:BSPPS4121N)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 10 AND 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MOREPEN LABORATORIES LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
23-MAR-2018
|
|
| 45 |
|
|
AARTI GOEL
(PAN:AAEPA0922D)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH MATCHED AND/OR SELF TRADES IN SCRIPS OF AREVA T&D INDIA LTD., TATA TELE MAHARASHTRA LTD. AND MAHANAGAR TELEPHONE NIGAM LTD.
|
IMPOSED PENALTY RS.55,00,000
24-APR-2015
|
SAT: SAT VIDE ITS ORDER DATED 23/04/2019 REJECTED APPLICATION FOR CONDONATION OF DELAY AND DISMISSED THE APPEAL
SEBI VIDE ITS NOTICE DATED 30/07/2019 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS 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 16/08/2019 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 30/07/2019
|
| 46 |
|
|
AARTI RAJKUMAR BASANTANI
|
|
|
ISSUED FALSE AND MISLEADING CORPORATE ANNOUNCEMENTS RELATED TO ISSUANCE OF EQUITY SHARES THROUGH PREFERENTIAL ALLOTMENT, ISSUANCE OF REDEEMABLE PREFERENCE SHARES, INTERIM DIVIDEND AND BONUS SHARES IN MATTER OF ADAM COMSOF LTD.
|
IMPOSED PENALTY RS.5,00,000
19-MAR-2010
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SAT: SAT VIDE ITS ORDER DATED 12/03/2018 CONDONED THE DELAY OF 130 DAYS IN FILING OF APPEAL. APPEAL ALLOWED, QUASHED AND SET ASIDED IMPUGNED ORDER DATED 19/03/2010. NO COSTS
|
| 47 |
|
|
AARTI SHETH
(PAN:AAGPS3762H)
|
|
|
DID NOT OBTAIN PRE-CLEARANCE OF TRADES FROM COMPANY VIOLATING CLAUSE 6 OF MINIMUM STANDARDS FOR CODE OF CONDUCT TO REGULATE, MONITOR AND REPORT TRADING BY INSIDERS AS SPECIFIED IN SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF TARA JEWELS LTD.
|
IMPOSED PENALTY RS.1,00,000
24-MAY-2021
|
SAT: SAY: SAT VIDE ITS ORDER DATED 10/08/2021 GRANTED RESPONDENT THREE WEEKS TIME TO FILE REPLY AND APPELLANTS TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 18/10/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 14/02/2022 DIRECTED TO FILE AFFIRMED COPY OF REJOINDER WITHIN A WEEK FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 19/04/2022 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 24/05/2021
|
| 48 |
|
|
AARTI SHETH
(PAN:AAGPS3762H)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) & (E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF TARA JEWELS LTD.
|
IMPOSED PENALTY RS.10,00,000
24-MAY-2021
|
SAT: SAT VIDE ITS ORDER DATED 10/08/2021 GRANTED RESPONDENT THREE WEEKS TIME TO FILE REPLY AND APPELLANTS TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 18/10/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 14/02/2022 DIRECTED TO FILE AFFIRMED COPY OF REJOINDER WITHIN A WEEK FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 19/04/2022 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 24/05/2021
|
| 49 |
|
|
AARTI SHETH
(PAN:AAGPS3762H)
(Along with : RAJEEV VASANT SHETH,
DIVYA SHETH)
|
|
|
|
DIVYA JEWELS INTERNATIONAL PVT.LTD.
PAN:AABCD2248K
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF TARA JEWELS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF TARA JEWELS LTD.
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
25-MAR-2021
|
|
| 50 |
|
|
AARTI SINGAL
|
|
|
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-MAY-2004
|
SAT: APPEAL ALLOWED
|
| 51 |
|
|
AARTI SINGAL
(PAN:AEFPS6299L)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF GRANDMA TRADING & AGENCIES LTD.
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
06-DEC-2022
|
|
| 52 |
|
|
AARTI SINGAL
(PAN:AEFPS6299L)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PIT) REGULATIONS, 2015 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SHREEKRISHNA BIOTECH LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF SHREEKRISHNA BIOTECH LTD.
|
IMPOSED PENALTY RS.1,00,000
20-DEC-2022
|
|
| 53 |
|
|
AARTI SINGAL
(PAN:AEFPS6299L)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF SUPERSPACE INFRASTRUCTURE LTD. (EARLIER KNOWN AS SURABHI CHEMICALS & INVESTMENT LTD.)
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-MAR-2022
|
|
| 54 |
|
|
AARTI SINGAL
(PAN:AEFPS6299L)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF GLOBAL INFRATECH LTD.
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-SEP-2022
|
|
| 55 |
|
|
AARTI THAPAR
(PAN:ADHPT3782A)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND SEBI AS REQUIRED UNDER REGULATIONS 10(5), 10(6) & 10(7) OF SAST REGULATIONS, 2011 IN MATTER OF NORTHLINK FISCAL & CAPITAL SERVICES LTD.
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
13-SEP-2023
|
|
| 56 |
|
|
AASHISH AGGARWAL
|
|
|
USED PRIOR INFORMATION REGARDING PROSPECTIVE TRADES OF MR.OM ARORA, DIRECTOR OF QUANTUM SECURITIES PVT.LTD. TO TRADE AHEAD OF TRADES OF MR.ARORA
|
IMPOSED PENALTY RS.2,00,000
28-SEP-2011
|
INCLUDED IN SEBI LIST DATED 31/12/2013, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 57 |
|
|
AASHISH JHUNJHUNWALA
(DIN:00351451
PAN:ACPPJ2618E)
|
|
|
DID NOT PAY DISGORGEMENT AMOUNT AND INTEREST THEREOF AS DIRECTED BY SEBI VIDE ITS ORDER DATED 04/08/2015 IN MATTER OF TRADING ON BASIS OF UNPUBLISHED PRICE SENSITIVE INFORMATION IN SCRIP OF RAMSARUP INDUSTRIES LTD.
|
IMPOSED PENALTY RS.5,00,000
29-NOV-2018
|
|
| 58 |
|
|
AASHISH KUMAR GOENKA
(PAN:BOCPG5241L)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.6,00,000
22-JAN-2026
|
SEBI VIDE ITS NOTICE DATED 21/05/2026 DIRECTED TO PAY RS.6,31,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 59 |
|
|
AASHRI TANDON
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH CIRCULAR TRADES IN SCRIP OF VANDANA KNITWEAR LTD.
|
IMPOSED PENALTY RS.1,50,000
31-AUG-2018
|
|
| 60 |
|
|
AASHU DAKH
(PAN:BXLPD7924B)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
30-OCT-2024
|
SEBI VIDE ITS NOTICE DATED 21/01/2025 DIRECTED TO PAY RS.5,21,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 19/02/2025 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 25/03/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.5,31,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
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| Page 3 of 591
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