| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
ANIL PUJARI
|
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SECTION 27 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 42 |
|
|
ANIL RAINA
|
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SECTION 27 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 43 |
|
|
ANITA GUPTA
(DIN:06501012
PAN:AOFPG8504E)
(Along with : BHARAT GUPTA,
VIKAS SAINI,
VINOD KUMAR)
|
|
|
|
EDYNAMICS SOLUTIONS LTD.
PAN:AAACE7849N
|
|
DID NOT FURNISH REQUISITE INFORMATION/DOCUMENTS AND NOT COOPERATED WITH FORENSIC AUDITOR APPOINTED BY BSE VIOLATING SECTIONS 11(2)(I) AND 11(2)(IA) OF SEBI ACT, 1992 IN MATTER OF EDYNAMICS SOLUTIONS LTD.
|
IMPOSED PENALTY RS.20,00,000 ALONG WITH OTHER ENTITIES/PERSONS
05-JAN-2021
|
SEBI VIDE ITS NOTICE DATED 29/04/2022 DIRECTED TO PAY RS.23,21,000.00 ALONG WITH FURTHER INTEREST, ALL COSTS, CHARGES AND EXPENSES WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 08/09/2022 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
|
| 44 |
|
|
ANITA KHETRAPAL
|
|
|
|
ORIENT TRADELINK LTD.
PAN:AAACO5359B
|
|
VIOLATED SECTION 11C (3) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 45 |
|
|
ANJANA KUMAR
(PAN:AHOPK6281C)
|
|
|
|
KASSA FINVEST PVT.LTD.
CIN:U74899DL1994PTC060668
PAN:AAACK1206B
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
25-AUG-2016
|
|
| 46 |
|
|
ANKUR J.SHAH
|
|
|
|
MINDVISION CAPITAL LTD.
PAN:AAACK8154A
|
|
VIOLATED SECTION 24 (2) READ WITH 27 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-JUL-2022
|
|
| 47 |
|
|
ANUP CHAKRABPRTY
|
|
|
|
CRUICKSHANK & CO.LTD.
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 48 |
|
|
ANUPAMA S.MOTWANI
|
|
|
|
M’BELLE INTERNATIONAL PVT.LTD.
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
PROSECUTION LAUNCHED
31-MAR-2010
|
SAT: SAT VIDE ITS ORDER DATED 17/01/2018 CONDONED THE DELAY OF 603 DAYS IN FILING OF APPEAL. APPEAL DISPOSED OFF. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 12/12/2018 DISPOSED OFF MISC.APPLICATION. COUNSEL FOR SEBI SUBMITTED THAT RECOVERY OFFICER WILL PASS ORDER WITHIN 15 DAYS FROM DATE OF THIS ORDER. NO COSTS
|
| 49 |
|
|
ANUPAMA S.MOTWANI
|
|
|
|
M’BELLE INTERNATIONAL PVT.LTD.
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
SAT: SAT VIDE ITS ORDER DATED 17/01/2018 CONDONED THE DELAY OF 603 DAYS IN FILING OF APPEAL. APPEAL DISPOSED OFF. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 12/12/2018 DISPOSED OFF MISC.APPLICATION. COUNSEL FOR SEBI SUBMITTED THAT RECOVERY OFFICER WILL PASS ORDER WITHIN 15 DAYS FROM DATE OF THIS ORDER. NO COSTS
|
| 50 |
|
|
ARIF MITHANI
|
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SECTION 27 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 51 |
|
|
ARIHANT JAIN
|
|
|
|
IDEAL HOTELS & INDUSTRIES LTD.
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 52 |
|
|
ARUN J.SHAH
|
|
|
|
LUMINANT INVESTMENTS PVT.LTD.
PAN:AAACL0834A
|
|
VIOLATED SECTION 11 (3) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
31-MAR-2010
|
|
| 53 |
|
|
ARUN KUMAR CHOWDHURY
|
|
|
|
SHREEJEE CAPITAL MANAGEMENT LTD.
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SEBI (PORTFOLIO MANAGERS) REGULATIONS, 1993
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ACCUSED NO.1 TO 6 ACQUITTED
|
| 54 |
|
|
ARUN KUMAR JAGATRAMKA
|
|
|
|
GUJARAT NRE COKE LTD.
|
|
VIOLATED SEBI ACT, 1992
|
PROSECUTION LAUNCHED
25-AUG-2016
|
|
| 55 |
|
|
ARUN KUMAR MURARKA
|
|
|
|
DHANGANGA DEALCOMM PVT.LTD.
|
|
|
MARUDHAR VINIMAY PVT.LTD.
|
|
|
PAYAGPOUR VINIMAY PVT.LTD.
|
|
|
WHITELINE COMMERCIAL PVT.LTD.
|
|
VIOLATED SECTION 24 (2) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
31-MAR-2010
|
COMPOUNDED RS.42,648.00 INTEREST AND RS.67000.00 LEGAL COSTS
COMPOUNDED, INTEREST OF RS.43,131.00 AND LEGAL COSTS OF RS.67000.00
|
| 56 |
|
|
ARUN MANOHAR SAKPAL
(PAN:BMXPS3773C)
|
|
|
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
FAILED TO PAY PENALTY
|
PROSECUTION LAUNCHED
15-JUL-2022
|
|
| 57 |
|
|
ARUN PRANJIVANDAS GANDHI
|
|
|
|
GREENFIELD TRADING & FINANCE LTD.
|
|
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 58 |
|
|
ARUN R.MEHTA
|
|
|
|
PRIYA HOLDINGS LTD.
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.1,00,000 BY THE ACCUSED TO SEBI
|
| 59 |
|
|
ARUN RAMSWAROOP PANCHARIYA
(PAN:AEVPP6125N)
|
|
|
|
ALKA INDIA LTD.
PAN:AABCA6702F
|
|
FILED INCORRECT SHAREHOLDING PATTERN AND DID NOT ENSURE 100% OF ITS PROMOTERS’ SHAREHOLDING IN DEMAT FORM VIOLATING SECTION 12A(F) OF SEBI ACT, 1992 IN MATTER OF ALKA INDIA LTD.
DELAY IN MAKING PUBLIC ANNOUNCEMENT VIOLATING REGULATION 10 READ WITH REGULATION 14(1) OF SAST REGULATIONS, 2011 IN MATTER OF ALKA INDIA LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
16-SEP-2024
|
|
| 60 |
|
|
ARUP THAKUR
(DIN:03476120
PAN:AHAPT9481B)
|
|
|
|
PINCON SECURITIES LTD.
CIN:U67120WB2011PLC170424
|
|
ASSISTED/ASSOCIATED LRN FINANCE LTD. IN SUBSCRIPTION/ISSUE OF NCDS AS MERCHANT BANKER WITHOUT OBTAINING REGISTRATION UNDER MERCHANT BANKER REGULATIONS VIOLATING SECTIONS 12 OF SEBI ACT, 1992 IN MATTER OF PINCON SECURITIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 26-OCT-2021 TO 25-OCT-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 26-OCT-2021 TO 25-OCT-2026
RESTRAINED AND FURTHER PROHIBITED FROM HOLDING AND OCCUPYING ANY MANAGERIAL POST OR BEING ASSOCIATED DIRECTLY OR INDIRECTLY WITH ANY LISTED PUBLIC COMPANY AND/OR ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM 26-OCT-2021 TO 25-OCT-2026
26-OCT-2021
|
|
| 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 39
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