| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
ANIL BAGARIA
(PAN:AGJPB7753L)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF ROCKON FINTECH LTD.
INDULGED IN CREATION OF REVERSAL OF TRADE TRANSACTIONS AND OFF-MARKET TRANSFERS WITHOUT ANY CONSIDERATION IN MATTER OF ROCKON FINTECH LTD.
|
IMPOSED PENALTY RS.2,00,000
11-MAY-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 07/11/2019 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
|
| 42 |
|
|
ANIL CHINNAPPA JATHAN
(PAN:ADCPJ1922H)
|
|
|
INDULGED IN MISAPPROPRIATION OF SHARES AND DIRECTLY BENEFITTED FROM FRAUD
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF SHAREPRO SERVICES (I) PVT.LTD.
|
IMPOSED PENALTY RS.40,00,000
27-OCT-2023
|
SEBI VIDE ITS NOTICE DATED 08/02/2024 DIRECTED TO PAY RS.42,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 26/02/2024 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 |
|
|
ANIL D.DOSHI
|
|
|
DID NOT FURNISH INFORMATION, RETURN ETC. TO SEBI
|
IMPOSED PENALTY RS.2,00,000
19-APR-2004
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.10,000 FROM RS.2,00,000
|
| 44 |
|
|
ANIL D.MODI
(PAN:AGWPM7244E)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF OASIS MEDIA MATRIX LTD.
INDULGED IN CIRCULAR/SYNCHRONIZED AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF OASIS MEDIA MATRIX LTD.
|
IMPOSED PENALTY RS.25,00,000
16-MAR-2009
|
SEBI VIDE ITS NOTICE DATED 03/06/2014 DIRECTED ALL THE BANKS 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
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 45 |
|
|
ANIL D.MODI
(PAN:AGWPM7244E)
|
|
|
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF OASIS MEDIA MATRIX LTD.
|
IMPOSED PENALTY RS.1,00,000
05-MAY-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 46 |
|
|
ANIL HARISH
(PAN:AAAPH8876M)
|
|
|
|
UNITECH ADVISORS (INDIA) PVT.LTD.
PAN:AACCC5880D
|
|
DID NOT WIND UP SCHEMES AND DID NOT RETURN MONIES TO INVESTORS EVEN AFTER EXPIRY OF TENURE AS PER PRIVATE PLACEMENT MEMORANDUM
INVESTED CORPUS OF SCHEME IV IN ASSOCIATE COMPANIES
DID NOT REPORT ON QUARTERLY BASIS AS PRESCRIBED ON VENTURE CAPITAL ACTIVITY ON SEBI PORTAL WITHIN SEVEN DAYS FROM THE END OF CALENDAR QUARTER FOR QUARTERS ENDING
DID NOT PROVIDE INFORMATION TO SEBI
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT COMMUNICATE NAMES, DESIGNATION AND ADDRESSES (INCLUDING EMAIL ADDRESSES) OF ‘PRINCIPAL OFFICER’ AND ‘DESIGNATED DIRECTOR’, INCLUDING ANY CHANGES THEREIN TO THE OFFICE OF THE DIRECTOR-FIU
DID NOT CAPTURE KYC DETAILS OF CERTAIN CLIENTS IN ACCOUNT OPENING FORM AS SPECIFIED, VERIFIED/DOWNLOADED AND MAINTAINED CLIENTS DETAILS FROM THE SYSTEM OF KRA AND DID NOT OBTAIN REGISTRATION WITH KRA
|
DIRECTED NOT TO TAKE NEW ASSIGNMENTS AS TRUSTEE OF ALTERNATIVE INVESTMENT FUND OF ANY CATEGORY
RESTRAINED FROM ASSOCIATING DIRECTLY OR INDIRECTLY, WITH ANY REGISTERED INTERMEDIARIES INCLUDING SEBI REGISTERED FUNDS SUCH AS MUTUAL FUNDS, ALTERNATIVE INVESTMENT FUNDS, PORTFOLIO MANAGEMENT SERVICES ETC. WHICH DEAL WITH INVESTOR’S MONEY IN ANY MANNER FROM 29-DEC-2023 TO 28-DEC-2024
29-DEC-2023
|
SAT: SAT VIDE ITS ORDER DATED 19/03/2024 DIRECTED RESPONDENT TO FILE REPLY INCLUDING ON STAY APPLICATION WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 25/04/2024 STAYED EFFECT AND OPERATION OF IMPUGNED ORDER
|
| 47 |
|
|
ANIL HARISH
(PAN:AAAPH8876M)
|
|
|
DID NOT WIND UP SCHEMES AND DID NOT RETURN MONIES TO INVESTORS EVEN AFTER EXPIRY OF TENURE AS PER PRIVATE PLACEMENT MEMORANDUM
INVESTED CORPUS OF SCHEME IV IN ASSOCIATE COMPANIES
DID NOT REPORT ON QUARTERLY BASIS AS PRESCRIBED ON VENTURE CAPITAL ACTIVITY ON SEBI PORTAL WITHIN SEVEN DAYS FROM THE END OF CALENDAR QUARTER FOR QUARTERS ENDING
DID NOT PROVIDE INFORMATION TO SEBI
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT COMMUNICATE NAMES, DESIGNATION AND ADDRESSES (INCLUDING EMAIL ADDRESSES) OF ‘PRINCIPAL OFFICER’ AND ‘DESIGNATED DIRECTOR’, INCLUDING ANY CHANGES THEREIN TO THE OFFICE OF THE DIRECTOR-FIU
DID NOT CAPTURE KYC DETAILS OF CERTAIN CLIENTS IN ACCOUNT OPENING FORM AS SPECIFIED, VERIFIED/DOWNLOADED AND MAINTAINED CLIENTS DETAILS FROM THE SYSTEM OF KRA AND DID NOT OBTAIN REGISTRATION WITH KRA
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-DEC-2023 TO 28-JUN-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-DEC-2023 TO 28-JUN-2024
29-DEC-2023
|
SAT: SAT VIDE ITS ORDER DATED 19/03/2024 DIRECTED RESPONDENT TO FILE REPLY INCLUDING ON STAY APPLICATION WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 25/04/2024 STAYED EFFECT AND OPERATION OF IMPUGNED ORDER
|
| 48 |
|
|
ANIL HIRALAL SHAH (AKA. RAJU B.SHAH)
|
|
|
DID NOT FURNISH INFORMATION AND REFUSED TO ACCEPT SUMMONS ISSUED FOR FURNISHING OF INFORMATION IN MATTER OF AVINASH INFORMATION TECHNOLOGY LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
03-MAR-2010
|
|
| 49 |
|
|
ANIL K.THANAVALA
|
|
|
|
MANAV PHARMA LTD.
|
|
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
DID NOT SUBMIT REPLY/SUBMISSION OF SHOW CAUSE NOTICE TO ISSUED IN MATTER OF VANISHING COMPANIES
DID NOT FILE STATUTORY RETURNS WITH REGISTRAR OF COMPANIES (ROC) FOR TWO YEARS
DID NOT FILE RETURNS WITH STOCK EXCHANGES FOR TWO YEARS
COMPANY WAS NOT TRACEABLE AT ITS REGISTERED OFFICE
DIRECTORS OF THE COMPANY WERE NOT TRACEABLE
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 21-OCT-2016 TO 20-OCT-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-OCT-2016 TO 20-OCT-2021
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC AND/OR INVITE SUBSCRIPTION, IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 21-OCT-2016 TO 20-OCT-2021
21-OCT-2016
|
|
| 50 |
|
|
ANIL KANTILAL SHAH
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF SOMANI CEMENT CO.LTD.
|
IMPOSED PENALTY RS.2,00,000
01-DEC-2010
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 51 |
|
|
ANIL KANTILAL SHAH
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF OASIS MEDIA MATRIX LTD.
|
IMPOSED PENALTY RS.2,00,000
22-APR-2009
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 31/05/2023 DIRECTED TO PAY RS.5,41,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 52 |
|
|
ANIL KEDIA
(PAN:AFQPK8012D)
|
|
|
SUBMITTED INCORRECT AND CONTRADICTORY STATEMENTS FOR CONNECTING TO SECONDARY SERVER DURING THEIR STATEMENT RECORDED BEFORE IA OF SEBI IN MATTER OF EXCEL STOCK BROKING PVT.LTD.
|
IMPOSED PENALTY RS.1,00,000
29-JUL-2021
|
|
| 53 |
|
|
ANIL KUMAR JAIN
|
|
|
|
JEET VANIJYA PVT.LTD.
|
|
DID NOT SUBMIT REPORT TO SEBI
|
IMPOSED PENALTY RS.20,000
31-JAN-2005
|
|
| 54 |
|
|
ANIL KUMAR JAIN
|
|
|
|
DIVYA DEALERS LTD.
|
|
DID NOT SUBMIT REPORT TO SEBI
|
IMPOSED PENALTY RS.20,000
31-JAN-2005
|
|
| 55 |
|
|
ANIL KUMAR JAIN
|
|
|
|
BICHARSHIL TRADERS LTD.
|
|
DID NOT SUBMIT REPORT TO SEBI
|
IMPOSED PENALTY RS.20,000
31-JAN-2005
|
|
| 56 |
|
|
ANIL KUMAR JAIN
|
|
|
|
SAVERA TRADERS PVT.LTD.
PAN:AADCS6009F
|
|
DID NOT SUBMIT REPORT TO SEBI
|
IMPOSED PENALTY RS.20,000
31-JAN-2005
|
|
| 57 |
|
|
ANIL KUMAR JAIN
|
|
|
|
DEEPMALA DEALERS PVT.LTD.
|
|
DID NOT SUBMIT REPORT TO SEBI
|
IMPOSED PENALTY RS.20,000
31-JAN-2005
|
|
| 58 |
|
|
ANIL KUMAR SAJJANKUMAR SHARMA
(PAN:CBWPS6212F)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION / DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF EROS INTERNATIONAL MEDIA LTD.
|
IMPOSED PENALTY RS.12,00,000
29-OCT-2024
|
SEBI VIDE ITS NOTICE DATED 07/01/2025 DIRECTED TO PAY RS.12,49,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 27/01/2025 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
|
| 59 |
|
|
ANIL KUMAR TRIVEDI
(DIN:03116758)
|
|
|
|
INDUS WEIR INDUSTRIES LTD.
PAN:AACCI4265N
CIN:U15410DL2010PLC207057
|
|
MOBILIZED FUNDS OF RS.33.40 CRORE THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 32,454 INVESTORS VIOLATING SECTIONS 67(3), 73(2), 73(3), 56(1), 56(3) AND 60 READ WITH SECTION 2(36) OF THE COMPANIES ACT, 1956
MOBILIZED FUNDS OF RS.33.40 CRORE THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 32,454 INVESTORS VIOLATING REGULATION 16(1) OF SEBI (ISSUE AND LISTING OF NCRPS) REGULATIONS, 2013
DID NOT MAKE APPLICATION FOR LISTING UNDER SECTION 73(1) OF COMPANIES ACT, 1956
DID NOT PROVIDE CORRECT STATUS OF REFUND DONE TO INVESTORS
|
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 08-MAY-2024 TO 07-MAY-2027
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-MAY-2024 TO 07-MAY-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-MAY-2024 TO 07-MAY-2027
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 08-MAY-2024 TO 07-MAY-2027
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 08-MAY-2024 TO 07-MAY-2027
DIRECTED TO PROVIDE COMPLETE DETAILS OF ALL RPS OR ANY OTHER SECURITIES ISSUED BY COMPANY AFTER 31/07/2013
DIRECTED TO PROVIDE COMPLETE DETAILS OF ALL REFUNDS MADE TO INVESTORS IN RESPECT OF OFFER AND ALLOTMENT OF RPS
25-MAY-2023
|
SEBI VIDE ITS ORDER DATED 08/05/2024 DIRECTED TO A) RESTRAINED FROM DIRECTLY OR INDIRECTLY, ACCESSING CAPITAL MARKET BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FOR THREE YEARS FROM DATE OF THIS ORDER B) DURING PERIOD OF RESTRAINT EXISTING HOLDING, INCLUDING MUTUAL FUNDS UNITS TO REMAIN FROZEN
|
| 60 |
|
|
ANIL SURESHBHAI MISTRY
|
|
|
INDULGED IN CREATION OF ARTIFICIALLY MARKET AND PRICE MANIPULATION IN SCRIP OF MOH LTD.
VIOLATED REGULATION 4(A) OF PFUTP REGULATIONS, 1996
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-JUN-2007 TO 19-JUN-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-JUN-2007 TO 19-JUN-2009
20-JUN-2007
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 3 of 56
|
