| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
ALPHA HI-TECH FUEL LTD.
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
IMPOSED PENALTY RS.5,00,000
11-JUN-2009
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.2,00,000 FROM RS.5,00,000. NO ORDER AS TO COSTS
INCLUDED IN SEBI LIST DATED 30/09/2011, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 42 |
|
|
ALPS INDUSTRIES LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
16-DEC-2010
|
|
| 43 |
|
|
ALTAR INVESTMENT PVT.LTD.
(PAN:AAACA6687J)
(Along with : GHCL LTD.)
|
|
|
FILED FALSE AND MISLEADING REPORT ON SHAREHOLDING PATTERN WITH THE STOCK EXCHANGES
DID NOT MAKE DISCLOSURE OF SALE/TRANSFER OF SHARES OF PROMOTERS IN MATTER OF GHCL LTD.
MISLED INVESTORS BY GIVING FALSE SHAREHOLDING OF PROMOTERS OF GHCL LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-APR-2009 TILL FURTHER ORDERS
20-APR-2009
|
DIRECTIONS ISSUED VIDE ORDER DATED 20/04/2009 REVOKED WITH IMMEDIATE EFFECT VIDE ORDER DATED 14/03/2011
|
| 44 |
|
|
AMAX NETWORK PVT.LTD.
(PAN:AADCA5777C)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGS AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SHEKHAWATI POLY-YARN 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 SHEKHAWATI POLY-YARN LTD.
|
IMPOSED PENALTY RS.2,00,000
28-SEP-2018
|
|
| 45 |
|
|
AMAZER INVESTMENT & FINANCE LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDERVIOLATION OF REGULATIONS 3(I),(II) AND 3 A OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 AND SECTION 12 A (D) AND (E) OF SEBI ACT, 1992 IN MATTER OF APOLLO TYRES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.70,00,000 VIDE CONSENT ORDER)
14-NOV-2008
|
MATTER DISPOSED OFF. AS APPLICANT AGREED TO PAY RS.70,00,000 AS PER CONSENT ORDER DATED 14/11/2008
|
| 46 |
|
|
AMBAJI PAPERS PVT.LTD.
(PAN:AAFCA2276C)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) READ WITH REGULATION 7(2) OF SEBI TAKEOVER CODE, 1997 AND REGULATION 35(2) OF SAST REGULATIONS, 2011 IN MATTER OF MURLI INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(1) AND 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF MURLI INDUSTRIES LTD.
|
IMPOSED PENALTY RS.5,00,000
30-SEP-2013
|
SAT: SAT VIDE ITS ORDER DATED 15/01/2014 MODIFIED SEBI'S ORDER DATED 30/09/2013 BY REDUCING THE PEANLTY AMOUNT TO RS.1 LAC EACH NOTICEE FROM RS. 5 LACS EACH NOTICEE. NO COSTS
|
| 47 |
|
|
AMBIKA FERRO ALLOYS PVT.LTD.
|
|
|
|
P.K.RAO
|
|
|
R.P.SHARMA
|
|
|
SANJAY GUPTA
|
|
|
V.K.AGARWAL
|
|
VIOLATED REGULATIONS 4(A) TO 4(E) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6(D) OF SEBI (PFUTP) REGULATIONS, 1995
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
VIOLATED SECTION 11 (2) OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 48 |
|
|
AMBIT CAPITAL PVT.LTD.
(PAN:AABCP6621N)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3(I), 3(II), 3A, 4, 12(1) AND 12(3) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF MANAPPURAM FINANCE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,99,25,000 VIDE CONSENT ORDER)
13-DEC-2019
|
|
| 49 |
|
|
AMIT SHARE TRADING PVT.LTD.
|
|
|
|
GOPAL VIJAY
|
|
|
P.K.RAO
|
|
|
R.P.SHARMA
|
|
|
V.K.AGARWAL
|
|
VIOLATED REGULATIONS 4(A) TO 4(E) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6(D) OF SEBI (PFUTP) REGULATIONS, 1995
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
VIOLATED SECTION 11 (2) OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 50 |
|
|
AMLUCKIE INVESTMENT CO.LTD.
(PAN:AACCA6749H)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS IN SCRIP OF SILICON VALLEY INFOTECH LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SILICON VALLEY INFOTECH LTD.
DID NOT MAKE COMPLETE AND CORRECT DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SILICON VALLEY INFOTECH LTD.
|
IMPOSED PENALTY RS.7,00,000
31-MAY-2010
|
SAT: IMPUGNED ORDER DATED 31/05/2010 SET ASIDE AND CASE REMANDED TO SEBI WITH LIBERTY TO INITIATE FRESH PROCEEDINGS AGAINST APPELLANTS
SEBI VIDE ITS ORDER DATED 25/05/2021 IMPOSED PENALTY OF RS.1 LAC U/S 15HA AND RS.6 LAC U/S 15A(B) OF SEBI ACT.
|
| 51 |
|
|
ANALYSIS SECURITIES PVT.LTD.
(PAN:AAACA1409L)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF AUTO PINS (INDIA) LTD.
DELAY IN MAKING 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 AUTO PINS (INDIA) LTD.
|
IMPOSED PENALTY RS.2,00,000
25-JUL-2018
|
|
| 52 |
|
|
ANAND CREDIT LTD.
(CIN:L65923GJ1993PLC020660
PAN:AABCA3027D)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(3) AND 8(3) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35(2) OF SAST REGULATIONS, 2011
|
IMPOSED PENALTY RS.20,00,000
04-AUG-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 53 |
|
|
ANIL SHANTILAL PATEL (HUF)
(PAN:AAJHA3477L)
|
|
|
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
|
| 54 |
|
|
ANIRUDHA BUBNA TRUST
(PAN:AABTA1547K)
|
|
|
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 HIMALAYA GRANITES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(1) AND 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER HIMALAYA GRANITES LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
26-FEB-2014
|
|
| 55 |
|
|
ANJALI FLAT ROLLED SHEETS PVT.LTD.
|
|
|
|
ANUPAM KUMAR AGARWAL
|
|
|
P.K.RAO
|
|
|
R.P.SHARMA
|
|
|
V.K.AGARWAL
|
|
VIOLATED REGULATIONS 4(A) TO 4(E) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6(D) OF SEBI (PFUTP) REGULATIONS, 1995
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
VIOLATED SECTION 11 (2) OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 56 |
|
|
ANJANEYA HOLDINGS PVT.LTD.
(PAN:AAGCA6352A)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF S KUMARS NATIONWIDE LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1) AND 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF S KUMARS NATIONWIDE LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1) AND 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF S KUMARS NATIONWIDE LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(3) AND 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF S KUMARS NATIONWIDE LTD.
|
IMPOSED PENALTY RS.25,00,000
15-FEB-2018
|
SEBI VIDE ITS NOTICE DATED 06/06/2019 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
SAT: SAT VIDE ITS ORDER DATED 18/10/2019 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY AMOUNT TO RS.10 LACS FROM RS.15 LACS FOR VIOLATION OF REGULATION 29(2) READ WITH 29(3) OF SEBI SAST REGULATION, 2011
|
| 57 |
|
|
ANJUDI PROPERTY & INVESTMENTS PVT.LTD.
|
|
|
|
ANJALI BEKE
|
|
|
DILIP BEKE
|
|
VIOLATED SECTION 13 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
DEALT IN SECURITIES WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
DEALT IN SECURITIES WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3 A OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
DISCHARGED
DISMISSED
|
| 58 |
|
|
ANJUDI PROPERTY & INVESTMENTS PVT.LTD.
|
|
|
|
ANJALI BEKE
|
|
|
DILIP BEKE
|
|
DEALT IN SCRIP OF TATA FINANCE LTD.ON BASIS OF UNPUBLISHED PRICE SENSITIVE INFORMATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-JAN-2008 TO 10-JAN-2013
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-JAN-2008 TO 10-JAN-2013
11-JAN-2008
|
SAT: CASE REMANDED TO SEBI TO ISSUE FRESH NOTICE AND FRESH ORDER BY END OF MARCH 2009
SAT: DIRECTED TO FURNISH LATEST STATEMENT OF DEMAT ACCOUNTS BY 31/10/2008 TO BOARD, THEN BOARD SHALL ALLOW APPLICANT TO SELL ALL SHARES THROUGH RECOGNISED STOCK BROKER AND APPLICANT SHALL FURNISH ALL THE INFORMATION TO BOARD. DIRECTED TO SALE OF SHARE BE COMPLETED BY JANUARY, 2009
|
| 59 |
|
|
ANJUDI PROPERTY & INVESTMENTS PVT.LTD.
|
|
|
|
ANJALI BEKE
|
|
MADE UNJUST PROFITS BY USING PRICE SENSITIVE INFORMATION
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
08-AUG-2005
|
|
| 60 |
|
|
ANKUSH FINSTOCK LTD.
(PAN:AAHCA7833R)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BSE AS REQUIRED UNDER REGULATION 13(6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
IMPOSED PENALTY RS.2,50,000
10-MAY-2013
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 3 of 42
|
