| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
ALKEN MANAGEMENT & FINANCIAL SERVICES PVT.LTD.
(PAN:AABCA3850E)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF KOFFEE BREAK PICTURES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF KOFFEE BREAK PICTURES LTD.
|
IMPOSED PENALTY RS.1,00,000
06-AUG-2018
|
SEBI VIDE ITS NOTICE DATED 06/02/2019 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
SEBI VIDE ITS ORDER DATED 30/09/2020 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS,DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 06/02/2019
|
| 42 |
|
|
ALOK ELECTRICALS PVT.LTD.
(PAN:AADCA2701J)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011 IN MATTER OF ERA INFRA ENGINEERING LTD.
|
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-DEC-2015
|
|
| 43 |
|
|
ALOK WIRES PVT.LTD.
(PAN:AAACA8596N)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF MAPRO INDUSTRIES LTD.
|
IMPOSED PENALTY RS.2,00,000
27-NOV-2014
|
SAT: SAT VIDE ITS ORDER DATED 20/11/2015 SET ASIDED THE ORDER PASSED BY SEBI AND RESTORE THE APPEALS TO THE FILE OF SEBI FOR PASSING FRESH ORDER ON MERITS. NO COSTS
SEBI VIDE ITS ORDER DATED 24/07/2017 RE-IMPOSED PENALTY OF RS.2,00,000.00 U/S 15A(B) OF SEBI ACT ON THE NOTICEES MR.GOPAL KRISHAN SOMANI, GOPAL KRISHAN SOMANI (HUF), MR.SANJAY SOMANI, SANJAY SOMANI (HUF), MS.SHRUTI SOMANI, ALOK WIRES PVT.LTD. AND MEBAGS INVESTMENT SERVICES PVT.LTD.
|
| 44 |
|
|
ALPHA LEON ENTERPRISES LLP
(PAN:ABKFA3881G)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF FRASER & CO.LTD.
|
IMPOSED PENALTY RS.1,00,000
14-MAY-2025
|
|
| 45 |
|
|
ALPS MOTOR FINANCE LTD.
(PAN:AABCA1559L)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(1) AND 13(3) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ASHUTOSH PAPER MILLS LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF ASHUTOSH PAPER MILLS LTD.
|
IMPOSED PENALTY RS.1,00,000
27-FEB-2018
|
SEBI VIDE ITS NOTICE DATED 23/07/2021 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
|
| 46 |
|
|
ALTIMAX FINANCIAL SERVICES PVT.LTD.
(PAN:AAJCA7511L)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF ASTEC LIFE SCIENCES LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF ASTEC LIFE SCIENCES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,01,447 VIDE CONSENT ORDER)
08-OCT-2018
|
|
| 47 |
|
|
AMAR INFRAPROJECTS PVT.LTD.
(PAN:AAKCA0514G)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(2) OF SAST REGULATIONS, 2011 IN MATTER OF KNITWORTH EXPORTS LTD.
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
25-JUN-2020
|
SEBI VIDE ITS NOTICE DATED 21/12/2020 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
|
| 48 |
|
|
AMAX NETWORK PVT.LTD.
(PAN:AADCA5777C)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGS AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SHEKHAWATI POLY-YARN LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF SHEKHAWATI POLY-YARN LTD.
|
IMPOSED PENALTY RS.2,00,000
28-SEP-2018
|
|
| 49 |
|
|
AMBE SECURITIES PVT.LTD.
(PAN:AAACA7950L)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND COMPANY AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER JUMP NETWORKS LTD. (PRESENTLY KNOWN AS WINPRO INDUSTRIES LTD.)
|
IMPOSED PENALTY RS.4,00,000
19-APR-2024
|
SEBI VIDE ITS NOTICE DATED 16/10/2024 DIRECTED TO PAY RS.4,29,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 04/11/2024 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
SEBI VIDE ITS NOTICE DATED 04/12/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.4,37,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SEBI VIDE ITS NOTICE DATED 20/06/2025 ALLOWED THE APPEAL AND DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 04/11/2024
SEBI VIDE ITS ORDER DATED 20/06/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.8181 OF 2024 DATED 16/10/2024
|
| 50 |
|
|
AMIGANGA INFRASTRUCTURE LTD.
(PAN:AABCA3106F)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF SHREE SURGOVIND TRADELINK LTD.
|
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-JUN-2014
|
COMPANY VIDE DEMAND DRAFT NO.728877 DATED 22/12/2014 FOR RS.6,00,000.00 DRAWN ON TAMILNAD MERCANTILE BANK HAS PAID THE PENALTY AMOUNT TO SEBI
|
| 51 |
|
|
AMIT LOHIA (HUF)
(PAN:AAMHA0348H)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF ELEGANT FLORICULTURE & AGROTECH (INDIA) LTD.
|
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
23-JAN-2025
|
|
| 52 |
|
|
AMITKUMAR ANAND DALMIA (HUF)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF R&B DENIMS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-OCT-2017
|
|
| 53 |
|
|
AMREX MARKETING PVT.LTD.
(PAN:AAECA3148A)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF B & A PACKAGING INDIA LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-AUG-2014
|
SAT: SAT VIDE ITS ORDER DATED 31/08/2020 CONDONED THE DELAY AND DISPOSED OFF THE APPEAL WITH DIRECTION TO APPELLANT TO FILE FRESH COMPLAINT BEFORE SEBI ANNEXING THE EARLIER COMPLAINT WITHIN TWO WEEKS FROM DATE OF THIS ORDER.NO COSTS
|
| 54 |
|
|
AMTEK AUTO LTD.
(PAN:AAGCA4447E)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF CASTEX TECHNOLOGIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF CASTEX TECHNOLOGIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF CASTEX TECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.24,00,000
24-MAY-2019
|
SEBI VIDE ITS ORDER DATED 22/05/2025 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
SEBI VIDE ITS NOTICE DATED 29/05/2025 ALLOWED THE APPEAL AND DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 22/05/2025
|
| 55 |
|
|
ANADRY INVESTMENTS PVT.LTD.
(PAN:AAACA5239N)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 3(2) READ WITH 13(1) OF SAST REGULATIONS, 2011 IN MATTER OF FAZE THREE LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
10-JUL-2019
|
SAT: SAT VIDE ITS ORDER DATED 17/01/2020 DISMISSED THE APPEAL AND DIRECTED APPELLANTS TO PAY ENTIRE AMOUNT WITHIN SIX WEEKS FROM DATE OF THIS ORDER
|
| 56 |
|
|
ANALYSIS SECURITIES PVT.LTD.
(PAN:AAACA1409L)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF AUTO PINS (INDIA) LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF AUTO PINS (INDIA) LTD.
|
IMPOSED PENALTY RS.2,00,000
25-JUL-2018
|
|
| 57 |
|
|
ANAND CREDIT LTD.
(CIN:L65923GJ1993PLC020660
PAN:AABCA3027D)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(3) AND 8(3) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35(2) OF SAST REGULATIONS, 2011
|
IMPOSED PENALTY RS.20,00,000
04-AUG-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 58 |
|
|
ANAND KUMAR ARYA (HUF)
(PAN:AAMHA0324H)
(Along with : CRESSIDA TRADERS PVT.LTD.)
|
|
|
|
AMAN ANAND ARYA
PAN:AIPPA0705R
|
|
|
ANAND KUMAR ARYA
PAN:AAAPA8011H
|
|
|
INDU ANAND ARYA
PAN:AAIPA1562F
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 30(1) AND 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF PREMIER SYNTHETICS LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
16-AUG-2018
|
|
| 59 |
|
|
ANANDAM ENTERPRISES
(PAN:AAVFA1447J)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF MANGALAM CEMENT LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF J.K.CEMENT LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,00,000 VIDE CONSENT ORDER)
16-JAN-2018
|
|
| 60 |
|
|
ANANDAMOY INFRAPROJECTS PVT.LTD.
(PAN:AAKCA0513B)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(2) OF SAST REGULATIONS, 2011 IN MATTER OF KNITWORTH EXPORTS LTD.
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
25-JUN-2020
|
SEBI VIDE ITS NOTICE DATED 21/12/2020 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
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 3 of 55
|
