| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
KENNEDY R.GAJRA
|
|
|
|
G.G.AUTOMOTIVE GEARS LTD.
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF G.G.AUTOMOTIVE GEARS LTD.
ALLEGED FAILURE IN APPEARING PERSONALLY AND/OR PROVIDING NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF G.G.AUTOMOTIVE GEARS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 31-MAR-2011 TO 30-MAR-2013
31-MAR-2011
|
COMPANY VIDE DEMAND DRAFT NO.450291 DATED 16/03/2011 DRAWN ON UNION BANK OF INDIA DEPOSITED RS 15 LACS TOWARDS SETTLEMENT CHARGES
|
| 42 |
|
|
KETAN R.SHAH
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, CIRCULAR AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF HAVELLS INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,50,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 20-MAR-2009 TO 19-MAR-2011
20-MAR-2009
|
|
| 43 |
|
|
KIRAN JADHAV
(PAN:ACBPJ4456A)
|
|
|
ALLEGED PROVIDING NON-PUBLIC INFORMATION TO CERTAIN ENTITIES (PROFIT MAKERS) PRIOR TO BROADCASTING OF THEIR RECOMMENDATIONS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.62,40,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES) FROM 16-JAN-2025 TO 15-JUL-2025
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 16-JAN-2025 TO 15-JUL-2025
16-JAN-2025
|
|
| 44 |
|
|
KIRTIBEN R.PATEL
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS AND PRICE MANIPULATION IN SCRIP OF GENUS COMMU-TRADE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.30,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 31-DEC-2008 TO 30-DEC-2010
31-DEC-2008
|
|
| 45 |
|
|
KULDEEP RAWAT
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ADINATH BIO-LABS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 24-AUG-2009 TO 23-OCT-2009
20-AUG-2009
|
|
| 46 |
|
|
KUSUM KASERA
|
|
|
ALLEGED VIOLATION OF REGULATIONS 3,4(1),4(2)(A),(B),(G) & (N) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SBEC SUGAR LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 16-DEC-2008 TO 15-MAR-2009
16-DEC-2008
|
|
| 47 |
|
|
MAHESH M.SHAH
|
|
|
ALLEGED ACTING AS FRONT ENTITY FOR CERTAIN ENTITIES WHO MANIPULATED PRICE OF SCRIP OF GENUS COMMU-TRADE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 19-MAR-2009 TO 18-MAR-2012
19-MAR-2009
|
|
| 48 |
|
|
MANGAYARKARASI SUNDAR
(PAN:AMPPM2461E)
|
|
|
|
MANSUN CONSULTANCY PVT.LTD.
PAN:AALCM1703G
|
|
ALLEGED ACTED AS INVESTMENT ADVISOR WITHOUT SEBI REGISTRATION
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.46,80,000, DISGORGEMENT AMOUNT RS.4,59,95,763, INTEREST RS.1,47,74,100 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 25-MAY-2023 TO 24-MAY-2024
25-MAY-2023
|
|
| 49 |
|
|
MANISHA H.VORA
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF STOCKNET INTERNATIONAL LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 07-SEP-2009 TO 06-DEC-2009
01-SEP-2009
|
|
| 50 |
|
|
MANOJ KUMAR BOTHRA
|
|
|
|
ADINATH BIO-LABS LTD.
PAN:AAECA5539M
CIN:L24230WB1982PLC034492
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ADINATH BIO-LABS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 07-SEP-2009 TO 06-NOV-2009
01-SEP-2009
|
|
| 51 |
|
|
MUDIT GOYAL
(PAN:AMLPG9294K)
|
|
|
ALLEGED PROVIDING NON-PUBLIC INFORMATION TO CERTAIN ENTITIES (PROFIT MAKERS) PRIOR TO BROADCASTING OF THEIR RECOMMENDATIONS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.62,40,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES) FROM 16-JAN-2025 TO 15-JUL-2025
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 16-JAN-2025 TO 15-JUL-2025
16-JAN-2025
|
|
| 52 |
|
|
MUSTAFA N.SAYYED
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET THROUGH CIRCULAR/SYNCHRONIZED AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF WELLWORTH OVERSEAS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 23-FEB-2010 TO 22-AUG-2010
22-FEB-2010
|
|
| 53 |
|
|
MUSTAFA N.SAYYED
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH IRREGULAR TRANSACTIONS IN SCRIP OF TODAY’S WRITING PRODUCTS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 24-MAY-2011 TO 23-MAY-2012
24-MAY-2011
|
|
| 54 |
|
|
MVS ANANTHAKRISHNAN
|
|
|
ALLEGED INDULGENCE IN CORNERING OF SUBSTANTIAL QUANTITY OF SHARES BY ACQUARING IN OPEN MARKET AS WELL AS BY WAY OF ALLOTMENT IN PUBLIC ISSUE OF WELLWIN INDUSTRY LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 15-JUN-2010 TO 14-SEP-2010
15-JUN-2010
|
|
| 55 |
|
|
NARESH THAKKER
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF HITECH DRILLING SERVICES INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 10-MAR-2009 TO 09-MAR-2011
03-MAR-2009
|
|
| 56 |
|
|
NIMISHA KADAKIA
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-AUG-2008 TO 13-NOV-2008
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 14-AUG-2008 TO 13-NOV-2008
27-APR-2006
SETTLEMENT ( SETTLEMENT CHARGES RS.1,34,210, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.2,65,790 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 14-AUG-2008 TO 13-NOV-2008
12-AUG-2008~
|
ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.265790 AGAINST NOTIONAL UNDUE GAIN AND RS.134210 AGAINST SETTLEMENT CHARGES AND AGREED TO BE ON VALUNTARY BAN OF ADDITIONAL THREE MONTHS FROM DEALING IN SECURITIES MARKET AS PER CONSENT ORDER DATED 12/08/2008
|
| 57 |
|
|
NIRMAL JAGDISH PAREEK
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET THROUGH SYNCHRONIZED AND CIRCULAR TRANSACTIONS AND REVERSAL OF TRADE TRANSACTIONS IN SCRIPS OF AARTI DRUGS LTD.AND HAVELLS INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.54,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 19-JUN-2009 TO 18-JUL-2009
19-JUN-2009
|
|
| 58 |
|
|
NIRMAL KUMAR SONI
(PAN:BCHPS4866G)
|
|
|
ALLEGEDLY INDULGENCE IN EXECUTION OF TRADES BASED ON ADVANCE INFORMATION OF STOCK RECOMMENDATIONS GIVEN BY GUEST EXPERTS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.62,40,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES) FROM 16-JAN-2025 TO 15-JUL-2025
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 16-JAN-2025 TO 15-JUL-2025
16-JAN-2025
|
|
| 59 |
|
|
NITIN CHHALANI
(PAN:CDLPC3829F)
|
|
|
ALLEGED AIDING AND ABETTING MR.NIRMAL KUMAR SONI TO EXECUTE TRADES IN HIS ACCOUNT AND IN THE ACCOUNTS OF SAAR COMMODITIES PVT.LTD., MANAN SHARECOM PVT.LTD. AND KANHYA TRADING CO.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.57,20,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES) FROM 16-JAN-2025 TO 15-JUL-2025
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 16-JAN-2025 TO 15-JUL-2025
16-JAN-2025
|
|
| 60 |
|
|
NRUPESH CHAMPAKLAL SHAH
(PAN:AVMPS6287L)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS THROUGH CIRCULAR/REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF OASIS MEDIA MATRIX COM LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 19-JUN-2009 TO 18-JUN-2011
16-JUN-2009
|
|
| 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 6
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