| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
EAUGU UDYOG LTD.
(PAN:AAACE9541M)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF HIT KIT GLOBAL SOLUTIONS LTD. (FORMERLY KNOWN AS SUN BEAM INFOTECH LTD.)
ENTERED INTO OFF-MARKET TRANSACTIONS WHICH WERE NOT IN THE NATURE OF SPOT DELIVERY CONTRACTS VIOLATING SECTIONS 13 AND 16 READ WITH SECTION 18 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
IMPOSED PENALTY RS.12,00,000
21-OCT-2011
|
SAT: APPEAL DISMISSED WITH NO ORDER AS TO COSTS
INCLUDED IN SEBI LIST DATED 31/12/2013, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 42 |
|
|
ELECTROPARTS (INDIA) PVT.LTD.
(PAN:AAACV5947Q)
|
|
|
TRANSFERRED AND RECEIVED SHARES IN OFF-MARKET TRANSACTIONS WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION VIOLATING SECTION 2(I) READ WITH SECTIONS 13, 16 AND 18 OF SCRA, 1956 READ WITH SEBI NOTIFICATION G.S.R.219(E) DATED 02/03/2000 IN MATTER OF VIDEOCON INDUSTRIES LTD.
|
IMPOSED PENALTY RS.1,00,000
10-AUG-2021
|
SEBI VIDE ITS NOTICE DATED 23/01/2025 DIRECTED TO PAY RS.1,43,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 24/02/2025 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
|
| 43 |
|
|
ENTERPRISE INTERNATIONAL LTD.
(PAN:AAACE5587F)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BSE VIOLATING CLAUSE 36 OF LISTING AGREEMENT READ WITH SECTION 21 OF SECURITIES CONTRACTS (REGULATIONS) ACT, 1956
|
IMPOSED PENALTY RS.4,00,000
27-SEP-2017
|
SAT: APPEAL DISMISSED. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 19/04/2018 ALLOWED REVIEW APPLICATION TO BE WITHDRAWN. NO COSTS
|
| 44 |
|
|
EVERLIGHT TIE-UP PVT.LTD.
(PAN:AACCE0590L)
|
|
|
EXECUTED OFF-MARKET TRANSACTION OF SHARES WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION VIOLATING SECTION 2(I) READ WITH SECTIONS 13, 16 AND 18 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF KAILASH AUTO FINANCE LTD.
|
IMPOSED PENALTY RS.1,00,000
27-NOV-2020
|
SEBI VIDE ITS NOTICE DATED 07/09/2021 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
|
| 45 |
|
|
EXCELL MULTITECH LTD.
|
|
|
|
BHUPENDRA T.JOSHI
|
|
|
COMANDUR PARTHASARATHY
PAN:AAFPC7617L
|
|
|
GAUTAMBHAI KARSANBHAI PATEL
|
|
|
HEMLATABEN VINUBHAI PATEL
|
|
|
JAGDISHBHAI GOVINDLAL SHETH
|
|
|
KIRITBEN RAJESH PATEL
|
|
|
M.S.RAMAKRISHNA
|
|
|
M.YAGUANDHAR
|
|
|
MANHARLAL KANTALILAL KOTADIA
|
|
|
NILESH RAMANLAL SHAH
|
|
|
RAJESH KUMAR VITHABHAI PATEL
|
|
|
RAKESH SURESHCHANDRA SHAH
|
|
|
SOAYUBEN H.VORA
|
|
|
VIPINCHANDRA GORDHANBHAI PATEL
|
|
FILED APPLICATION FOR SUBSCRIPTION AND/OR ACQUISITION OF SHARES IN FICTITIOUS NAME
VIOLATED SECTION 12A OF SEBI ACT.,1992
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECURITIES CONTRACTS (REGULATION) ACT, 1956
VIOLATED SEBI DEPOSITORIES ACT, 1996
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 46 |
|
|
EXPERT INVESTMENT ADVISORY PVT.LTD.
(PAN:AACCE4258R)
|
|
|
EXECUTED OFF-MARKET TRANSACTION OF SHARES WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION VIOLATING SECTION 2(I) OF SCRA, 1956 READ WITH SECTIONS 13, 16 AND 18 OF SCRA, 1956 AND READ WITH SEBI NOTIFICATION G.S.R.184 (E) DATED 01/03/2000 AND NOTIFICATION NO. LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013 IN MATTER OF METALYST FORGINGS LTD. (EARLIER KNOWN AS AHMEDNAGAR FORGINGS LTD.)
|
IMPOSED PENALTY RS.3,00,000
30-AUG-2022
|
SEBI VIDE ITS NOTICE DATED 03/03/2023 DIRECTED TO PAY RS.3,25,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 16/05/2023 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
|
| 47 |
|
|
G.K.CONSULTANTS LTD.
(PAN:AACCG1316N)
|
|
|
INDULGED IN OFF MARKET TRANSACTIONS OF SHARES WITHOUT SALE CONSIDERATION 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 NATURE HUE CHEM LTD.
|
IMPOSED PENALTY RS.20,00,000
30-MAY-2018
|
|
| 48 |
|
|
GANDIV INVESTMENT PVT.LTD.
(PAN:AACCG3017C)
|
|
|
TRANSFERRED AND RECEIVED SHARES IN OFF-MARKET TRANSACTIONS WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION VIOLATING SECTION 16 OF SCRA, 1956 READ WITH SEBI NOTIFICATION NO.S.O.184(E) DATED 01/03/2000 & SEBI NOTIFICATION NO.LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013, SECTIONS 13 AND 18 OF SCRA, 1956 READ WITH SECTION 2(I) OF SEBI SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF JYOTI LTD.
|
IMPOSED PENALTY RS.5,00,000
29-JUN-2021
|
|
| 49 |
|
|
GARUDA PLANT PRODUCTS LTD.
|
|
|
ENTERED INTO SPOT DELIVERY CONTRACTS WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION WITHIN TIME FRAME AS PER SECTION 2(I) OF SCRA, 1956 READ WITH SECTIONS 13, 16 AND 18 IN MATTER OF EPC INDUSTRIES LTD.
|
IMPOSED PENALTY RS.1,00,000
03-APR-2019
|
|
| 50 |
|
|
GENUS PRIME INFRA LTD.
(PAN:AABCG3955E)
|
|
|
ALLEGED VIOLATION OF REGULATION 38 OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 READ WITH SECTION 21 OF SECURITIES CONTRACTS (REGULATIONS) ACT, 1956
ALLEGED VIOLATION OF RULE 19A OF SCRA RULES, 1956
ALLEGED FAILURE IN MAINTAINING MINIMUM PUBLIC SHAREHOLDING VIOLATING REGULATION 7(4) OF SAST REGULATIONS, 2011
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,92,000 VIDE CONSENT ORDER)
23-JAN-2020
|
|
| 51 |
|
|
GHCL LTD.
(PAN:AAACG5609C)
|
|
|
MISLED INVESTORS BY MAKING FALSE REPORTING OF PROMOTERS SHAREHOLDING TO STOCK EXCHANGES VIOLATING SECTION 21 OF SCRA 1956 READ WITH
|
IMPOSED PENALTY RS.50,00,000
25-OCT-2013
|
SAT: APPEAL DISMISSED. NO COSTS
|
| 52 |
|
|
GLOBAL SECURITIES LTD.
(CIN:L67120GJ1994PLC021269
PAN:AACCG3465C)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING PATTERN TO STOCK EXCHANGE VIOLATING CLAUSES 35 OF LISTING AGREEMENT READ WITH REGULATION 103 OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE DISCLOSURE OF SHAREHOLDING PATTERN TO STOCK EXCHANGE VIOLATING SECTION 21 OF SCRA, 1956 AND CLAUSE 35 OF LISTING AGREEMENT READ WITH REGULATIONS 103 OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.3,00,000
18-DEC-2020
|
SEBI VIDE ITS NOTICE DATED 20/02/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.4,18,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 53 |
|
|
GMM PFAUDLER LTD.
(PAN:AABCG0563A)
|
|
|
ALLEGED FAILURE TO MAINTAIN MINIMUM PUBLIC SHAREHOLDING REQUIREMENT OF 25% VIOLATING CLAUSE 40A OF LISTING AGREEMENT READ WITH RULE 19A OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,97,661 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
20-MAR-2019
|
|
| 54 |
|
|
GODAVARI COMMERCIAL SERVICES PVT.LTD.
(PAN:AABCG1461B)
|
|
|
TRANSFERRED AND RECEIVED SHARES IN OFF-MARKET TRANSACTIONS WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION VIOLATING SECTION 2(I) READ WITH SECTIONS 13, 16 AND 18 OF SCRA, 1956 READ WITH SEBI NOTIFICATION G.S.R.219(E) DATED 02/03/2000 IN MATTER OF VIDEOCON INDUSTRIES LTD.
|
IMPOSED PENALTY RS.1,00,000
06-AUG-2021
|
SEBI VIDE ITS NOTICE DATED 01/10/2024 DIRECTED TO PAY RS.1,40,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 17/01/2025 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
|
| 55 |
|
|
GREEN COTTAGE & RESORTS LTD.
(CIN:L55200MH1994PLC077819
PAN:AABCG1220C)
|
|
|
INDULGED IN OFF MARKET TRANSACTIONS OF SHARES WITHOUT SALE CONSIDERATION 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 VERTEX SPINNING LTD.
|
IMPOSED PENALTY RS.5,00,000
26-SEP-2018
|
SAT: APPEAL FAILED AND DISMISSED. NO COSTS
|
| 56 |
|
|
GROWW INVEST TECH PVT.LTD.
(PAN:AAFCN2181H)
|
|
|
ALLEGED RETENTION STATEMENT SENT CONTAINING INCORRECT INFORMATION TO CLIENTS
ALLEGED THAT OPTION OF GETTING BEST AVAILABLE MARKET PRICE WAS NOT AVAILABLE TO INVESTORS AND “TRADING AVENUE PREFERENCE” COMING AS SAME AS LAST USED SELECTION OF TRADING AVENUE FOR A GIVEN SCRIP
ALLEGED FAILURE IN PROVIDING FACILITY OF INTEROPERABILITY ACROSS CLEARING CORPORATIONS TO INVESTORS
ALLEGED FACILITATING/OFFERING NON-SECURITIES PRODUCT (PAYMENTS VIA UPI AS REGISTERED TPAP, LENDING, PAYMENT OF UTILITY BILLS I.E. ELECTRICITY, INTERNET) TO ITS CLIENTS UNDER SECURED LOGIN OF ITS TRADING APP “GROWW”
ALLEGED OFFERING PAYMENT SERVICE VIA UPI SUCH AS P2P, P2M, BILL PAYMENT AND OTHER PAYMENTS UNDER CAPACITY OF THIRD-PARTY APPLICATION PROVIDERS (TRAP)
ALLEGED FAILURE IN IMPLEMENTING ADDITIONAL SOLUTION WHERE CLIENTS CAN ACCESS THEIR TRADING ACTIVITIES IN EVENT OF FAILURE OF THE APP AND WEB TO MINIMIZE IMPACT ON THE INVESTORS’ OPPORTUNITY TO TRADE OR OPTION TO EXIT FROM THEIR OPEN POSITIONS, DUE TO MAJOR TECHNOLOGY RELATED RISK
ALLEGED REVIEWING BUSINESS CONTINUITY PLAN (BCP) ANNUALLY INSTEAD OF HALF-YEARLY BASIS TO MINIMIZE INCIDENTS AFFECTING THE BUSINESS CONTINUITY
ALLEGED FAILURE IN IMPLEMENTING A SURVEILLANCE FRAMEWORK WHERE TRADING ACTIVITIES WERE ANALYZED THROUGH FINANCIAL ABILITY OF CLIENT
ALLEGED FAILURE TO CONDUCT NECESSARY DUE DILIGENCE AND DID NOT UPDATE FINANCIAL/ INCOME DETAILS
ALLEGED FAILURE TO SYSTEM/ALERT IN PLACE TO IDENTIFY/MEASURES MARGIN/PAY-IN OBLIGATION WHICH DOES NOT COMMENSURATE WITH FINANCIAL CAPACITY OF CLIENT
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.47,85,000 VIDE CONSENT ORDER)
14-MAY-2025
|
|
| 57 |
|
|
HARSIMRAT INVESTMENTS PVT.LTD.
(PAN:AAACH2956F)
|
|
|
ENTERED OFF-MARKET TRANSACTION OF SHARES WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION VIOLATING SECTION 16 OF SCRA, 1956 READ WITH SEBI NOTIFICATION DATED 03/10/2013 AND SECTION 13 AND 18 OF SCRA, 1956 READ WITH SECTION 2(I) OF SCRA, 1956 IN MATTER OF OPTIEMUS INFRACOM LTD.
|
IMPOSED PENALTY RS.2,00,000
31-JUL-2024
|
SEBI VIDE ITS NOTICE DATED 13/03/2025 DIRECTED TO PAY RS.2,19,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 20/05/2025 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
|
| 58 |
|
|
HAYWARD TECHNOLOGIES PVT.LTD.
(PAN:AABCH1016M)
|
|
|
ENTERED OFF-MARKET TRANSACTION OF SHARES WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION VIOLATING SECTION 16 OF SCRA, 1956 READ WITH SEBI NOTIFICATION DATED 03/10/2013 AND SECTION 13 AND 18 OF SCRA, 1956 READ WITH SECTION 2(I) OF SCRA, 1956 IN MATTER OF OPTIEMUS INFRACOM LTD.
DELAY IN PAYMENT OF CONSIDERATION OF OFF-MARKET TRANSACTIONS VIOLATING SECTION 16 OF SCRA, 1956 READ WITH SEBI NOTIFICATION DATED 03/10/2013 AND SECTION 13 AND 18 OF SCRA, 1956 READ WITH SECTION 2(I) OF SCRA, 1956 IN MATTER OF OPTIEMUS INFRACOM LTD.
|
IMPOSED PENALTY RS.11,00,000
31-JUL-2024
|
|
| 59 |
|
|
HEENA DEVELOPERS PVT.LTD.
(CIN:U74899DL1991PTC044873
PAN:AABCH8216M)
|
|
|
SOLD 4,58,190 SHARES IN OFF-MARKET AND RECEIVED ONLY RS.78,000.00 INSTEAD OF RS 67,43,501.00 VIOLATING SECTION 16 OF SCRA 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 IFL PROMOTERS LTD.
|
IMPOSED PENALTY RS.1,00,00,000
15-MAY-2018
|
SEBI VIDE ITS NOTICE DATED 03/01/2023 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 ORDER DATED 06/02/2023 DIRECTED ALL THE BANKS TO REMIT RS.1,58,01,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF HEENA DEVELOPERS PVT.LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 60 |
|
|
HIGHLIGHT LEAFIN PVT.LTD.
(PAN:AAACH7523G)
|
|
|
INDULGED IN OFF MARKET TRANSACTIONS OF SHARES WITHOUT SALE CONSIDERATION 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 PITHAMPUR STEELS LTD.
|
IMPOSED PENALTY RS.5,00,000
27-SEP-2018
|
SAT: APPEAL FAILED AND DISMISSED. NO COSTS
|
| 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 10
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