| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
CHIRAG ATUL PITHADIA
(PAN:CAXPP0546B)
(Along with : ASHISH S.PAREKH,
NAGENDRA S.DUBEY)
|
|
|
|
NAGENDRA S.DUBEY (HUF)
PAN:AAJHN3457M
|
|
INDULGED IN FRONT RUNNING TRADING ACTIVITIES VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 26-DEC-2022 UNTIL FURTHER ORDERS
DIRECTED TO SQUARE OFF OR CLOSE OUT THEIR EXISTING OPEN POSITIONS IN F&O SEGMENT
DIRECTED TO CEASE & DESIST FROM DIRECTLY OR INDIRECTLY, ENGAGED IN FRAUDULENT, MANIPULATIVE OR UNFAIR TRADE PRACTICE INCLUDING FRONT RUNNING ACTIVITIES FROM 26-DEC-2022 UNTIL FURTHER ORDERS
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
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 BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 26-DEC-2022 UNTIL FURTHER ORDERS
DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS AND CREDITS FROM ACCOUNT WITHOUT PERMISSION OF SEBI FROM 26-DEC-2022 UNTIL FURTHER ORDERS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED TO DISGORGE RS.21,80,000 ALONG WITH OTHER ENTITIES/PERSONS
26-DEC-2022
|
CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 26/12/2022 B) RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES EITHER DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER TO CONTINUE UNTIL FURTHER ORDERS C) FUNDS DEPOSITED IN INTEREST BEARING ESCROW ACCOUNTS AS DIRECTED IN THE INTERIM ORDER TO REMAIN IN THE SAID ACCOUNTS WITH LIEN IN FAVOUR OF SEBI UNTIL FURTHER ORDER
|
| 42 |
|
|
CHIRAG ATUL PITHADIA
(PAN:CAXPP0546B)
(Along with : ASHISH S.PAREKH,
NAGENDRA S.DUBEY,
SUSHMA NAGENDRA DUBEY)
|
|
|
INDULGED IN FRONT RUNNING TRADING ACTIVITIES VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 26-DEC-2022 UNTIL FURTHER ORDERS
DIRECTED TO SQUARE OFF OR CLOSE OUT THEIR EXISTING OPEN POSITIONS IN F&O SEGMENT
DIRECTED TO CEASE & DESIST FROM DIRECTLY OR INDIRECTLY, ENGAGED IN FRAUDULENT, MANIPULATIVE OR UNFAIR TRADE PRACTICE INCLUDING FRONT RUNNING ACTIVITIES FROM 26-DEC-2022 UNTIL FURTHER ORDERS
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
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 BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 26-DEC-2022 UNTIL FURTHER ORDERS
DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS AND CREDITS FROM ACCOUNT WITHOUT PERMISSION OF SEBI FROM 26-DEC-2022 UNTIL FURTHER ORDERS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED TO DISGORGE RS.17,41,000 ALONG WITH OTHER ENTITIES/PERSONS
26-DEC-2022
|
CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 26/12/2022 B) RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES EITHER DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER TO CONTINUE UNTIL FURTHER ORDERS C) FUNDS DEPOSITED IN INTEREST BEARING ESCROW ACCOUNTS AS DIRECTED IN THE INTERIM ORDER TO REMAIN IN THE SAID ACCOUNTS WITH LIEN IN FAVOUR OF SEBI UNTIL FURTHER ORDER
|
| 43 |
|
|
CHIRAG ATUL PITHADIA
(PAN:CAXPP0546B)
(Along with : ASHISH S.PAREKH,
NAGENDRA S.DUBEY,
SAHIL ATUL PITHADIA)
|
|
|
INDULGED IN FRONT RUNNING TRADING ACTIVITIES VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 26-DEC-2022 UNTIL FURTHER ORDERS
DIRECTED TO SQUARE OFF OR CLOSE OUT THEIR EXISTING OPEN POSITIONS IN F&O SEGMENT
DIRECTED TO CEASE & DESIST FROM DIRECTLY OR INDIRECTLY, ENGAGED IN FRAUDULENT, MANIPULATIVE OR UNFAIR TRADE PRACTICE INCLUDING FRONT RUNNING ACTIVITIES FROM 26-DEC-2022 UNTIL FURTHER ORDERS
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
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 BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 26-DEC-2022 UNTIL FURTHER ORDERS
DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS AND CREDITS FROM ACCOUNT WITHOUT PERMISSION OF SEBI FROM 26-DEC-2022 UNTIL FURTHER ORDERS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED TO DISGORGE RS.12,49,000 ALONG WITH OTHER ENTITIES/PERSONS
26-DEC-2022
|
CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 26/12/2022 B) RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES EITHER DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER TO CONTINUE UNTIL FURTHER ORDERS C) FUNDS DEPOSITED IN INTEREST BEARING ESCROW ACCOUNTS AS DIRECTED IN THE INTERIM ORDER TO REMAIN IN THE SAID ACCOUNTS WITH LIEN IN FAVOUR OF SEBI UNTIL FURTHER ORDER
|
| 44 |
|
|
DALJIT GURUCHARAN CHAWLA
(PAN:ABCPC8988J)
|
|
|
ENGAGED INDIRECTLY IN INSIDER TRADING ACTIVITIES WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT. 1992 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ZEE ENTERTAINMENT ENTERPRISES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-AUG-2021 UNTIL FURTHER ORDERS
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
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 BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 12-AUG-2021 UNTIL FURTHER ORDERS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND CREDITS MADE IN DEMAT ACCOUNTS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
12-AUG-2021
|
SEBI VIDE ITS ORDER DATED 27/09/2021 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 12/08/2021 SUBJECT TO MODIFICATIONS A) RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER UNTIL FURTHER ORDER. PERMITTED TO BUY AND SELL / REDEEM UNITS OF MUTUAL FUNDS B) DIRECTED DEPOSITORIES TO ENSURE, THAT TILL FURTHER DIRECTIONS, CREDITS AND DEBITS OF ONLY MUTUAL FUND UNITS, ARE MADE IN DEMAT ACCOUNTS OF THE NOTICEES HELD INDIVIDUALLY OR JOINTLY AND C) DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT TILL FURTHER DIRECTION ONLY CREDITS AND TRANSFER / REDEMPTION OF MUTUAL FUND UNITS ARE PERMITTED IN THE NAME OF THE NOTICEES, JOINTLY OR SEVERALLY
SAT: SAT VIDE ITS ORDER DATED 03/09/2021 DIRECTED APPELLANTS FILE REPLY AND/OR MOVE APPLICATION FOR VACATION OF IMPUGNED ORDER
SAT: SAT VIDE ITS ORDER DATED 09/11/2021 ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER DATED 27/09/2021
|
| 45 |
|
|
DEEPIKA SHARMA
(PAN:HFDPS1131F)
(Along with : RAJNEESH KUMAR,
ASHISH PANALAL SHAH,
KIRTIDAN K.GADHAVI)
|
|
|
AIDED AND ABETTED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUPERIOR FINLEASE LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUPERIOR FINLEASE LTD.
|
DIRECTED TO DISGORGE RS.17,22,000 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 22-MAY-2024 TO 21-MAY-2029
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
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
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-MAY-2024 TO 21-MAY-2029
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-MAY-2024 TO 21-MAY-2029
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
25-JAN-2023
|
SEBI VIDE ITS ORDER DATED 22/05/2024 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER FOR FIVE YEARS FROM DATE OF THIS ORDER B) DISGORGE RS.17.22 LAC ALONG WITH SIMPLE INTEREST @ 12% P.A. CALCULATED FROM 14/09/2021 TILL DATE OF ACTUAL PAYMENT /IMPOUNDING AND AMOUNT TO BE REMITTED TO IPEF WITHIN FORTY FIVE DAYS FROM DATE OF RECEIPT OF THIS ORDER
SEBI VIDE ITS NOTICE DATED 22/11/2024 DIRECTED TO PAY RS.18,43,540.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 14/01/2025 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
|
| 46 |
|
|
DIPA ASHISH PAREKH
(PAN:AGMPP8210F)
(Along with : ASHISH S.PAREKH,
NAGENDRA S.DUBEY)
|
|
|
INDULGED IN FRONT RUNNING TRADING ACTIVITIES VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 26-DEC-2022 UNTIL FURTHER ORDERS
DIRECTED TO SQUARE OFF OR CLOSE OUT THEIR EXISTING OPEN POSITIONS IN F&O SEGMENT
DIRECTED TO CEASE & DESIST FROM DIRECTLY OR INDIRECTLY, ENGAGED IN FRAUDULENT, MANIPULATIVE OR UNFAIR TRADE PRACTICE INCLUDING FRONT RUNNING ACTIVITIES FROM 26-DEC-2022 UNTIL FURTHER ORDERS
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
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 BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 26-DEC-2022 UNTIL FURTHER ORDERS
DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS AND CREDITS FROM ACCOUNT WITHOUT PERMISSION OF SEBI FROM 26-DEC-2022 UNTIL FURTHER ORDERS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED TO DISGORGE RS.34,52,000 ALONG WITH OTHER ENTITIES/PERSONS
26-DEC-2022
|
CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 26/12/2022 B) RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES EITHER DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER TO CONTINUE UNTIL FURTHER ORDERS C) FUNDS DEPOSITED IN INTEREST BEARING ESCROW ACCOUNTS AS DIRECTED IN THE INTERIM ORDER TO REMAIN IN THE SAID ACCOUNTS WITH LIEN IN FAVOUR OF SEBI UNTIL FURTHER ORDER
|
| 47 |
|
|
GOMATI DEVI RITOLIA
(PAN:ACGPR9008K)
|
|
|
ENGAGED INDIRECTLY IN INSIDER TRADING ACTIVITIES WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT. 1992 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ZEE ENTERTAINMENT ENTERPRISES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-AUG-2021 UNTIL FURTHER ORDERS
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
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 BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 12-AUG-2021 UNTIL FURTHER ORDERS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND CREDITS MADE IN DEMAT ACCOUNTS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
12-AUG-2021
|
SEBI VIDE ITS ORDER DATED 27/09/2021 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 12/08/2021 SUBJECT TO MODIFICATIONS A) RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER UNTIL FURTHER ORDER. PERMITTED TO BUY AND SELL / REDEEM UNITS OF MUTUAL FUNDS B) DIRECTED DEPOSITORIES TO ENSURE, THAT TILL FURTHER DIRECTIONS, CREDITS AND DEBITS OF ONLY MUTUAL FUND UNITS, ARE MADE IN DEMAT ACCOUNTS OF THE NOTICEES HELD INDIVIDUALLY OR JOINTLY AND C) DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT TILL FURTHER DIRECTION ONLY CREDITS AND TRANSFER / REDEMPTION OF MUTUAL FUND UNITS ARE PERMITTED IN THE NAME OF THE NOTICEES, JOINTLY OR SEVERALLY
SAT: SAT VIDE ITS ORDER DATED 03/09/2021 DIRECTED APPELLANTS FILE REPLY AND/OR MOVE APPLICATION FOR VACATION OF IMPUGNED ORDER
SAT: SAT VIDE ITS ORDER DATED 09/11/2021 ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER DATED 27/09/2021
|
| 48 |
|
|
GOPAL RITOLIA
(PAN:ACDPR2237H)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT.1992 AND REGULATIONS 3(2) AND 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ZEE ENTERTAINMENT ENTERPRISES LTD.
COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(E) OF SEBI ACT. 1992 READ WITH REGULATIONS 3(1) OF SEBI (PIT) REGULATIONS, 1992 AND REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ZEE ENTERTAINMENT ENTERPRISES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAR-2023 TO 31-MAR-2025
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
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 BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 31-MAR-2023 TO 31-MAR-2025
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND CREDITS MADE IN DEMAT ACCOUNTS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 31-MAR-2023 TO 31-MAR-2025
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
DIRECTED TO DISGORGE RS.7,51,99,772
12-AUG-2021
|
SEBI VIDE ITS ORDER DATED 27/09/2021 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 12/08/2021 SUBJECT TO MODIFICATIONS A) RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER UNTIL FURTHER ORDER. PERMITTED TO BUY AND SELL / REDEEM UNITS OF MUTUAL FUNDS B) DIRECTED DEPOSITORIES TO ENSURE, THAT TILL FURTHER DIRECTIONS, CREDITS AND DEBITS OF ONLY MUTUAL FUND UNITS, ARE MADE IN DEMAT ACCOUNTS OF THE NOTICEES HELD INDIVIDUALLY OR JOINTLY AND C) DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT TILL FURTHER DIRECTION ONLY CREDITS AND TRANSFER / REDEMPTION OF MUTUAL FUND UNITS ARE PERMITTED IN THE NAME OF THE NOTICEES, JOINTLY OR SEVERALLY
SAT: SAT VIDE ITS ORDER DATED 03/09/2021 DIRECTED APPELLANTS FILE REPLY AND/OR MOVE APPLICATION FOR VACATION OF IMPUGNED ORDER
SAT: SAT VIDE ITS ORDER DATED 09/11/2021 ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER DATED 27/09/2021
SEBI VIDE ITS ORDER DATED 31/03/2023 RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES (INCLUDING UNITS OF MUTUAL FUNDS), DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER, FOR A PERIOD OF TWO YEARS FROM DATE OF THIS ORDER B) DISGORGE THE AMOUNT OF ILLEGAL GAINS OF RS.7,51,99,771.80.00 ALONG WITH SIMPLE INTEREST @12% P.A. FROM 07/09/2020 TILL DATE OF ACTUAL PAYMENT C) REMIT DISGORGEMENT AMOUNT TO INVESTOR PROTECTION AND EDUCATION FUND (IPEF) WITHIN FORTY FIVE DAYS FROM DATE OF THIS ORDER
|
| 49 |
|
|
HEMANT GHAI
(PAN:AHMPG0327K)
|
|
|
INDULGED IN MISUTILISING POSITION AS A HOST/CO-HOST OF THE SHOW OTHER SHOW/CHANNELS/MEDIA GIVING RECOMMENDATIONS/CONTRIBUTING TO ANY ACTIVITIES RELATED TO SECURITIES MARKET VIOLATING SECTIONS 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CNBC AWAAZ “STOCK 20-20” SHOW
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-MAR-2025 TO 18-MAR-2030
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-MAR-2025 TO 18-MAR-2030
DIRECTED TO CEASE & DESIST FROM UNDERTAKING, DIRECTLY OR INDIRECTLY ANY ACTIVITY RELATED TO GIVING INVESTMENT ADVICE, SELL OR BUY RECOMMENDATIONS, PUBLISHING OF RESEARCH REPORTS ETC. RELATED TO SECURITIES MARKET FROM 19-MAR-2025 TO 18-MAR-2030
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
DIRECTED TO FREEZE BANK ACCOUNTS
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 19-MAR-2025 TO 18-MAR-2030
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 OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED TO DISGORGE RS.3,21,11,604 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
13-JAN-2021
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SEBI VIDE ITS ORDER DATED 02/09/2021 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 13/01/2021
SEBI VIDE ITS ORDER DATED 03/02/2022 DIRECTED TO A) IMPOUND RS.3,90,67,921.00 BEING UNLAWFUL GAINS ALONG WITH INTEREST, IMPOUNDED JOINTLY AND SEVERALLY B) IMPOUNDED THE AMOUNT TILL DISPOSAL OF SCN BEING ISSUED AND SUBJECT TO DIRECTIONS ISSUED IN FINAL ORDER WHILE DISPOSING OF SUCH SCN. AMOUNT TO BE KEPT IN ESCROW ACCOUNT, A LIEN TO BE MARKED IN ESCROW ACCOUNT/S IN FAVOUR OF SEBI AND MONIES KEPT THEREIN SHALL NOT BE RELEASED WITHOUT PERMISSION OF SEBI C) BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS, AND ENSURE THAT ALL DIRECTIONS ARE STRICTLY ENFORCED D) REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT TILL FURTHER DIRECTION NOT TRANSFER/REDEEMED, JOINTLY OR SEVERALLY E) NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS/PROPERTIES/ SECURITIES
SAT: SAT VIDE ITS ORDER DATED 11/03/2022 CONDONED THE DELAY IN FILING OF APPEAL. DIRECTED TO FILE REPLY IN BOTH APPEALS WITHIN A WEEK FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE. STAYED THE ORDER DATED 03/02/2022 DIRECTING APPELLANT TO DEPOSIT A FURTHER AMOUNT TOWARDS ALLEGED UNLAWFUL GAINS OF RS.3,90,67,921.00 TILL NEXT DATE OF LISTING
SAT: SAT VIDE ITS ORDER DATED 30/03/2022 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 03/02/2022 AND DIRECTED THAT WTM SHALL HEAR THE MATTER WITHIN SIX WEEKS FROM DATE OF FILING OF REPLY BY THE APPELLANT AND ORDER TO BE PASSED WITHIN TWO MONTHS THEREAFTER
SEBI VIDE ITS ORDER DATED 22/07/2022 DIRECTED SEBI TO RE-INVESTIGATE THE MATTER WITHIN SIX MONTHS FROM THE DATE OF THIS ORDER TO CONCLUDE THE MATTER EXPEDITIOUSLY
SAT: SAT VIDE ITS ORDER DATED 25/08/2022 PARTLY ALLOWED THE APPEALS AND DIRECTED A) AMOUNT OF RS.2,95,18,680.00 REMAIN IN THE ESCROW ACCOUNT DURING PENDENCY OF INVESTIGATION B) SET ASIDE INTERIM DIRECTIONS OF RESTRAINING THE APPELLANTS FROM BUYING, SELLING OR DEALING IN SECURITIES EITHER DIRECTLY OR INDIRECTLY C) ALSO SET ASIDE DIRECTIONS ISSUED AGAINST APPELLANTS TO CEASE AND DESIST, DIRECTLY OR INDIRECTLY, ANY ACTIVITY RELATED TO GIVING INVESTMENT ADVICE, SELL OR BUY RECOMMENDATIONS, PUBLISHING OF RESEARCH REPORTS ETC., RELATED TO SECURITIES MARKET D) RESTRICTIONS PLACED BY RESPONDENT ON ANY BANK ACCOUNT AND/OR DEMAT ACCOUNT OF THE APPELLANTS SHALL BE LIFTED FORTHWITH.
SEBI VIDE ITS ORDER DATED 19/03/2025 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FOR FIVE (5) YEARS FROM DATE OF THIS ORDER B) JOINTLY AND SEVERALLY DISGORGE RS.3,21,11,603.54 ALONG WITH SIMPLE INTEREST @12% P.A. FROM 31/03/2020 TILL DATE OF INTERIM ORDER
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| 50 |
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HIMANSHU MAHENDRABHAI PATEL
(PAN:BEHPP8092K)
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INDULGED IN ISSUANCE OF MISLEADING, SPECIOUS AND UNSOLICITED STOCK TIPS ABOUT SPECIFIC SCRIPS THROUGH SOCIAL MEDIA CHANNELS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(A), (D), (E), (K), (O) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003
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DIRECTED TO DISGORGE RS.2,84,29,948 ALONG WITH OTHER ENTITIES/PERSONS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-JAN-2022 UNTIL FURTHER ORDERS
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 12-JAN-2022 UNTIL FURTHER ORDERS
DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS WITHOUT PERMISSION OF SEBI
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
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
12-JAN-2022
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SEBI VIDE ITS NOTICE DATED 28/11/2025 DIRECTED TO PAY RS.2,82,37,996.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
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| 51 |
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JAGRUTI ATUL PITHADIA
(PAN:AXTPP8243L)
(Along with : ASHISH S.PAREKH,
NAGENDRA S.DUBEY,
CHIRAG ATUL PITHADIA)
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INDULGED IN FRONT RUNNING TRADING ACTIVITIES VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003
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DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 26-DEC-2022 UNTIL FURTHER ORDERS
DIRECTED TO SQUARE OFF OR CLOSE OUT THEIR EXISTING OPEN POSITIONS IN F&O SEGMENT
DIRECTED TO CEASE & DESIST FROM DIRECTLY OR INDIRECTLY, ENGAGED IN FRAUDULENT, MANIPULATIVE OR UNFAIR TRADE PRACTICE INCLUDING FRONT RUNNING ACTIVITIES FROM 26-DEC-2022 UNTIL FURTHER ORDERS
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
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 BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 26-DEC-2022 UNTIL FURTHER ORDERS
DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS AND CREDITS FROM ACCOUNT WITHOUT PERMISSION OF SEBI FROM 26-DEC-2022 UNTIL FURTHER ORDERS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED TO DISGORGE RS.7,99,000 ALONG WITH OTHER ENTITIES/PERSONS
26-DEC-2022
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CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 26/12/2022 B) RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES EITHER DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER TO CONTINUE UNTIL FURTHER ORDERS C) FUNDS DEPOSITED IN INTEREST BEARING ESCROW ACCOUNTS AS DIRECTED IN THE INTERIM ORDER TO REMAIN IN THE SAID ACCOUNTS WITH LIEN IN FAVOUR OF SEBI UNTIL FURTHER ORDER
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| 52 |
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JATIN CHAWLA
(PAN:ADWPC6578N)
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TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT.1992 AND REGULATIONS 3(2) AND 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ZEE ENTERTAINMENT ENTERPRISES LTD.
COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(E) OF SEBI ACT. 1992 READ WITH REGULATIONS 3(1) OF SEBI (PIT) REGULATIONS, 1992 AND REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ZEE ENTERTAINMENT ENTERPRISES LTD.
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DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAR-2023 TO 31-MAR-2025
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
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 BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 31-MAR-2023 TO 31-MAR-2025
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND CREDITS MADE IN DEMAT ACCOUNTS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 31-MAR-2023 TO 31-MAR-2025
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
DIRECTED TO DISGORGE RS.2,09,77,685
12-AUG-2021
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SEBI VIDE ITS ORDER DATED 27/09/2021 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 12/08/2021 SUBJECT TO MODIFICATIONS A) RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER UNTIL FURTHER ORDER. PERMITTED TO BUY AND SELL / REDEEM UNITS OF MUTUAL FUNDS B) DIRECTED DEPOSITORIES TO ENSURE, THAT TILL FURTHER DIRECTIONS, CREDITS AND DEBITS OF ONLY MUTUAL FUND UNITS, ARE MADE IN DEMAT ACCOUNTS OF THE NOTICEES HELD INDIVIDUALLY OR JOINTLY AND C) DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT TILL FURTHER DIRECTION ONLY CREDITS AND TRANSFER / REDEMPTION OF MUTUAL FUND UNITS ARE PERMITTED IN THE NAME OF THE NOTICEES, JOINTLY OR SEVERALLY
SAT: SAT VIDE ITS ORDER DATED 03/09/2021 DIRECTED APPELLANTS FILE REPLY AND/OR MOVE APPLICATION FOR VACATION OF IMPUGNED ORDER
SAT: SAT VIDE ITS ORDER DATED 09/11/2021 ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER DATED 27/09/2021
SEBI VIDE ITS ORDER DATED 31/03/2023 RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES (INCLUDING UNITS OF MUTUAL FUNDS), DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER, FOR A PERIOD OF TWO YEARS FROM DATE OF THIS ORDER B) DISGORGE THE AMOUNT OF ILLEGAL GAINS OF RS.2,09,77,685.00 ALONG WITH SIMPLE INTEREST @12% P.A. FROM 23/09/2020 TILL DATE OF ACTUAL PAYMENT C) REMIT DISGORGEMENT AMOUNT TO INVESTOR PROTECTION AND EDUCATION FUND (IPEF) WITHIN FORTY FIVE DAYS FROM DATE OF THIS ORDER
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| 53 |
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JAYA HEMANT GHAI
(PAN:ADWPT5210G)
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INDULGED IN MISUTILISING POSITION AS A HOST/CO-HOST OF THE SHOW OTHER SHOW/CHANNELS/MEDIA GIVING RECOMMENDATIONS/CONTRIBUTING TO ANY ACTIVITIES RELATED TO SECURITIES MARKET VIOLATING SECTIONS 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CNBC AWAAZ “STOCK 20-20” SHOW
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-MAR-2025 TO 18-MAR-2030
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-MAR-2025 TO 18-MAR-2030
DIRECTED TO CEASE & DESIST FROM UNDERTAKING, DIRECTLY OR INDIRECTLY ANY ACTIVITY RELATED TO GIVING INVESTMENT ADVICE, SELL OR BUY RECOMMENDATIONS, PUBLISHING OF RESEARCH REPORTS ETC. RELATED TO SECURITIES MARKET FROM 19-MAR-2025 TO 18-MAR-2030
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
DIRECTED TO FREEZE BANK ACCOUNTS
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 19-MAR-2025 TO 18-MAR-2030
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 OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED TO DISGORGE RS.3,21,11,604 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
13-JAN-2021
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SEBI VIDE ITS ORDER DATED 02/09/2021 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 13/01/2021
SEBI VIDE ITS ORDER DATED 03/02/2022 DIRECTED TO A) IMPOUND RS.3,90,67,921.00 BEING UNLAWFUL GAINS ALONG WITH INTEREST, IMPOUNDED JOINTLY AND SEVERALLY B) IMPOUNDED THE AMOUNT TILL DISPOSAL OF SCN BEING ISSUED AND SUBJECT TO DIRECTIONS ISSUED IN FINAL ORDER WHILE DISPOSING OF SUCH SCN. AMOUNT TO BE KEPT IN ESCROW ACCOUNT, A LIEN TO BE MARKED IN ESCROW ACCOUNT/S IN FAVOUR OF SEBI AND MONIES KEPT THEREIN SHALL NOT BE RELEASED WITHOUT PERMISSION OF SEBI C) BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS, AND ENSURE THAT ALL DIRECTIONS ARE STRICTLY ENFORCED D) REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT TILL FURTHER DIRECTION NOT TRANSFER/REDEEMED, JOINTLY OR SEVERALLY E) NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS/PROPERTIES/ SECURITIES
SAT: SAT VIDE ITS ORDER DATED 11/03/2022 CONDONED THE DELAY IN FILING OF APPEAL. DIRECTED TO FILE REPLY IN BOTH APPEALS WITHIN A WEEK FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE. STAYED THE ORDER DATED 03/02/2022 DIRECTING APPELLANT TO DEPOSIT A FURTHER AMOUNT TOWARDS ALLEGED UNLAWFUL GAINS OF RS.3,90,67,921.00 TILL NEXT DATE OF LISTING
SAT: SAT VIDE ITS ORDER DATED 30/03/2022 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 03/02/2022 AND DIRECTED THAT WTM SHALL HEAR THE MATTER WITHIN SIX WEEKS FROM DATE OF FILING OF REPLY BY THE APPELLANT AND ORDER TO BE PASSED WITHIN TWO MONTHS THEREAFTER
SEBI VIDE ITS ORDER DATED 22/07/2022 DIRECTED SEBI TO RE-INVESTIGATE THE MATTER WITHIN SIX MONTHS FROM THE DATE OF THIS ORDER TO CONCLUDE THE MATTER EXPEDITIOUSLY
SAT: SAT VIDE ITS ORDER DATED 25/08/2022 PARTLY ALLOWED THE APPEALS AND DIRECTED A) AMOUNT OF RS.2,95,18,680.00 REMAIN IN THE ESCROW ACCOUNT DURING PENDENCY OF INVESTIGATION B) SET ASIDE INTERIM DIRECTIONS OF RESTRAINING THE APPELLANTS FROM BUYING, SELLING OR DEALING IN SECURITIES EITHER DIRECTLY OR INDIRECTLY C) ALSO SET ASIDE DIRECTIONS ISSUED AGAINST APPELLANTS TO CEASE AND DESIST, DIRECTLY OR INDIRECTLY, ANY ACTIVITY RELATED TO GIVING INVESTMENT ADVICE, SELL OR BUY RECOMMENDATIONS, PUBLISHING OF RESEARCH REPORTS ETC., RELATED TO SECURITIES MARKET D) RESTRICTIONS PLACED BY RESPONDENT ON ANY BANK ACCOUNT AND/OR DEMAT ACCOUNT OF THE APPELLANTS SHALL BE LIFTED FORTHWITH.
SEBI VIDE ITS ORDER DATED 19/03/2025 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FOR FIVE (5) YEARS FROM DATE OF THIS ORDER B) JOINTLY AND SEVERALLY DISGORGE RS.3,21,11,603.54 ALONG WITH SIMPLE INTEREST @12% P.A. FROM 31/03/2020 TILL DATE OF INTERIM ORDER
SEBI VIDE ITS ORDER DATED 03/04/2025 PERMITTED TO LIQUIDATE THE SECURITIES HELD IN HER DEMAT ACCOUNT HELD WITH KOTAK SECURITIES LTD. AND PROCEEDS FROM SELLING THE SECURITIES TO BE UTILISED BY MS.JAYA HEMANT GHAI ONLY FOR THE PURPOSE OF COMPLYING WITH THE DIRECTIONS ISSUED VIDE ORDER DATED 19/03/2025
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| 54 |
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JAYDEV ZALA
(PAN:ABTPZ5894K)
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INDULGED IN ISSUANCE OF MISLEADING, SPECIOUS AND UNSOLICITED STOCK TIPS ABOUT SPECIFIC SCRIPS THROUGH SOCIAL MEDIA CHANNELS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(A), (D), (E), (K), (O) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003
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DIRECTED TO DISGORGE RS.2,84,29,948 ALONG WITH OTHER ENTITIES/PERSONS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-JAN-2022 UNTIL FURTHER ORDERS
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 12-JAN-2022 UNTIL FURTHER ORDERS
DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS WITHOUT PERMISSION OF SEBI
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
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
12-JAN-2022
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SEBI VIDE ITS NOTICE DATED 28/11/2025 DIRECTED TO PAY RS.2,82,37,996.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
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| 55 |
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KEYUR MANIAR
(PAN:AEHPM2560E)
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TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(2) AND 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF INFOSYS LTD.
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RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 31-JAN-2025 TO 30-JAN-2026
DIRECTED TO IMPOUND BANK ACCOUNTS
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
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 BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 31-JAN-2025 TO 30-JAN-2026
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED TO DISGORGE RS.2,60,70,624
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
27-SEP-2021
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SAT: SAT VIDE ITS ORDER DATED 27/10/2021 DISPOSED OFF THE APPEAL WITH THE DIRECTION THAT IT WOULD BE OPEN TO APPELLANT TO FILE REPLY ALONG WITH STAY VACATING APPLICATION WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SEBI VIDE ITS ORDER DATED 13/12/2021 CONFIRMED DIRECTIONS ISSUED VIDE ITS EX-PARTE AD-INTERIM ORDER DATED 27/09/2021 SUBJECT TO MODIFICATION: A) NOT APPLY TO INVESTMENT IN MUTUAL FUNDS B) ALLOWED CREDIT OF SECURITIES AND CREDIT & DEBIT OF MUTUAL FUND UNITS IN THE ACCOUNTS AND C) CLARIFIED THAT THE FUNDS DEPOSITED BY NOTICE IN INTEREST BEARING ESCROW ACCOUNT WILL REMAIN IN SAID ACCOUNT WITH LIEN IN FAVOUR OF SEBI UNTIL FURTHER ORDERS
SAT: SAT VIDE ITS ORDER DATED 22/11/2021 DISPOSED OF THE APPLICATIONS. DIRECTED WTM TO HEAR THE MATTER ON 01/12/2021 AND PASS APPROPRIATE ORDER ON OR BEFORE 15/12/2021
SAT: SAT VIDE ITS ORDER DATED 17/01/2022 DISPOSED OFF THE URGENCY APPLICATION BY DIRECTING REPLY TO BE FILED WITHIN 10 DAYS AND REJOINDER ON OR BEFORE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 30/03/2022 PARTLY ALLOWED THE APPEAL AND MODIFY THE INTERIM ORDER AS WELL AS THE CONFIRMATORY ORDER TO EXTENT THAT THE DIRECTION TO DEPOSIT THE ALLEGED UNLAWFUL GAINS OF RS. 261.30 LAC IN ESCROW ACCOUNT WILL CONTINUE TO OPERATE TILL FINAL ORDER ARE PASSED BY THE WTM PURSUANT TO SHOW CAUSE NOTICE. SET ASIDED INTERIM ORDER AS WELL AS CONFIMATORY ORDERS DATED 13/12/2021 AND 27/09/2021
SEBI VIDE ITS ORDER DATED 31/01/2025 DIRECTED TO A) RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES (INCLUDING UNITS OF MUTUAL FUNDS), DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER FOR A PERIOD OF ONE YEAR FROM DATE OF THIS ORDER B) DISGORGE AMOUNT OF RS.2,60,70,624.00 ALONG WITH SIMPLE INTEREST @ 12% P.A. FROM 17/07/2020 TILL THE DATE OF DEPOSIT INTO THE ESCROW ACCOUNT C) AMOUNT TO BE REMITTED TO INVESTOR PROTECTION AND EDUCATION FUND (IPEF) WITHIN FORTY FIVE DAYS FROM DATE OF THIS ORDER
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| 56 |
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KIRTIDAN K.GADHAVI
(PAN:AJAPG0901B)
(Along with : RAJNEESH KUMAR,
ASHISH PANALAL SHAH)
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ORION RETAIL PVT.LTD.
PAN:AABCO2314B
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AIDED AND ABETTED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUPERIOR FINLEASE LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUPERIOR FINLEASE LTD.
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DIRECTED TO DISGORGE RS.27,11,000 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 22-MAY-2024 TO 21-MAY-2029
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
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
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-MAY-2024 TO 21-MAY-2029
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-MAY-2024 TO 21-MAY-2029
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
25-JAN-2023
|
SEBI VIDE ITS ORDER DATED 22/05/2024 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER FOR FIVE YEARS FROM DATE OF THIS ORDER B) DISGORGE RS.27.11 LAC ALONG WITH SIMPLE INTEREST @ 12% P.A. CALCULATED FROM 14/09/2021 TILL DATE OF ACTUAL PAYMENT /IMPOUNDING AND AMOUNT TO BE REMITTED TO IPEF WITHIN FORTY FIVE DAYS FROM DATE OF RECEIPT OF THIS ORDER
SEBI VIDE ITS NOTICE DATED 22/11/2024 DIRECTED TO PAY RS.29,01,770.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 14/01/2025 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
|
| 57 |
|
|
KIRTIDAN K.GADHAVI
(PAN:AJAPG0901B)
(Along with : RAJNEESH KUMAR,
ASHISH PANALAL SHAH)
|
|
|
|
ASHWORTH CONSTRUCTIONS PVT.LTD.
PAN:AALCA3008J
|
|
AIDED AND ABETTED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUPERIOR FINLEASE LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUPERIOR FINLEASE LTD.
|
DIRECTED TO DISGORGE RS.3,60,000 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 22-MAY-2024 TO 21-MAY-2029
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
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
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-MAY-2024 TO 21-MAY-2029
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-MAY-2024 TO 21-MAY-2029
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
25-JAN-2023
|
SEBI VIDE ITS ORDER DATED 22/05/2024 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER FOR FIVE YEARS FROM DATE OF THIS ORDER B) DISGORGE RS.3.60 LAC ALONG WITH SIMPLE INTEREST @ 12% P.A. CALCULATED FROM 14/09/2021 TILL DATE OF ACTUAL PAYMENT /IMPOUNDING AND AMOUNT TO BE REMITTED TO IPEF WITHIN FORTY FIVE DAYS FROM DATE OF RECEIPT OF THIS ORDER
SEBI VIDE ITS NOTICE DATED 09/12/2024 DIRECTED TO PAY RS.5,05,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 14/01/2025 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
|
| 58 |
|
|
KIRTIDAN K.GADHAVI
(PAN:AJAPG0901B)
(Along with : RAJNEESH KUMAR,
ASHISH PANALAL SHAH,
ROMIKA)
|
|
|
AIDED AND ABETTED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUPERIOR FINLEASE LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUPERIOR FINLEASE LTD.
|
DIRECTED TO DISGORGE RS.16,16,000 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 22-MAY-2024 TO 21-MAY-2029
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
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
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-MAY-2024 TO 21-MAY-2029
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-MAY-2024 TO 21-MAY-2029
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
25-JAN-2023
|
SEBI VIDE ITS ORDER DATED 22/05/2024 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER FOR FIVE YEARS FROM DATE OF THIS ORDER B) DISGORGE RS.16.16 LAC ALONG WITH SIMPLE INTEREST @ 12% P.A. CALCULATED FROM 14/09/2021 TILL DATE OF ACTUAL PAYMENT /IMPOUNDING AND AMOUNT TO BE REMITTED TO IPEF WITHIN FORTY FIVE DAYS FROM DATE OF RECEIPT OF THIS ORDER
SEBI VIDE ITS NOTICE DATED 22/11/2024 DIRECTED TO PAY RS.17,30,120.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 14/01/2025 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 |
|
|
KIRTIDAN K.GADHAVI
(PAN:AJAPG0901B)
(Along with : RAJNEESH KUMAR,
ASHISH PANALAL SHAH)
|
|
|
|
SPIRE MARKETING PVT.LTD.
PAN:AAJCS5228G
|
|
AIDED AND ABETTED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUPERIOR FINLEASE LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUPERIOR FINLEASE LTD.
|
DIRECTED TO DISGORGE RS.17,31,000 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 22-MAY-2024 TO 21-MAY-2029
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
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
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-MAY-2024 TO 21-MAY-2029
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-MAY-2024 TO 21-MAY-2029
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
25-JAN-2023
|
SEBI VIDE ITS ORDER DATED 22/05/2024 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER FOR FIVE YEARS FROM DATE OF THIS ORDER B) DISGORGE RS.17.31 LAC ALONG WITH SIMPLE INTEREST @ 12% P.A. CALCULATED FROM 14/09/2021 TILL DATE OF ACTUAL PAYMENT /IMPOUNDING AND AMOUNT TO BE REMITTED TO IPEF WITHIN FORTY FIVE DAYS FROM DATE OF RECEIPT OF THIS ORDER
SEBI VIDE ITS NOTICE DATED 22/11/2024 DIRECTED TO PAY RS.18,53,170.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 14/01/2025 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
|
| 60 |
|
|
KIRTIDAN K.GADHAVI
(PAN:AJAPG0901B)
(Along with : RAJNEESH KUMAR,
ASHISH PANALAL SHAH)
|
|
|
|
JITNEY INVESTMENTS PVT.LTD.
PAN:AADCJ0092M
|
|
AIDED AND ABETTED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUPERIOR FINLEASE LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUPERIOR FINLEASE LTD.
|
DIRECTED TO DISGORGE RS.44,000 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 22-MAY-2024 TO 21-MAY-2029
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
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
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-MAY-2024 TO 21-MAY-2029
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-MAY-2024 TO 21-MAY-2029
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
25-JAN-2023
|
SEBI VIDE ITS ORDER DATED 22/05/2024 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER FOR FIVE YEARS FROM DATE OF THIS ORDER B) DISGORGE RS.44,000.00 ALONG WITH SIMPLE INTEREST @ 12% P.A. CALCULATED FROM 14/09/2021 TILL DATE OF ACTUAL PAYMENT /IMPOUNDING AND AMOUNT TO BE REMITTED TO IPEF WITHIN FORTY FIVE DAYS FROM DATE OF RECEIPT OF THIS ORDER
SEBI VIDE ITS NOTICE DATED 09/12/2024 DIRECTED TO PAY RS.62,600.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 14/01/2025 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
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| 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 7
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