| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 7601 |
|
YASH CAPITAL
|
|
|
INDULGED IN MARKET MANIPULATION AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF ATUL AUTO LTD.
|
IMPOSED PENALTY RS.2,50,000
24-AUG-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 08/07/2022 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
|
| 7602 |
|
|
YASH PAL (HUF)
(PAN:AAAHY2884C)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
14-JUN-2023
|
SEBI VIDE ITS NOTICE DATED 27/10/2023 DIRECTED TO PAY RS.5,26,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 14/03/2024 CONDONED THE DELAY IN FILING OF APPEAL
|
| 7603 |
|
|
YASHODHAM MERCHANTS PVT.LTD.
(PAN:AAACY1075E)
|
|
|
INDULGED IN DIVERSION OF FUNDS OF RS.2,473.66 CRORE (APPROX) OF RELIGARE FINVEST LTD. THROUGH SUBSIDIARY OF REL FOR BENEFIT OF PROMOTERS/PROMOTER GROUP ENTITIES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RELIGARE ENTERPRISES LTD.
|
IMPOSED PENALTY RS.20,00,000
31-OCT-2022
|
SAT: SAT VIDE ITS ORDER DATED 19/01/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 16/03/2023 GRANTED RESPONDENT FURTHER TWO WEEKS TO FILE REPLIES AND ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
|
| 7604 |
|
|
YASHRAJ CONTAINEURS LTD.
(CIN:L28120MH1993PLC073160
PAN:AAACV4846L)
|
|
|
|
JAYESH VINODRAI VALIA
PAN:AAFPV5698G
|
|
|
MADHAV JAYESH VALIA
PAN:AENPV8401P
|
|
|
RAJ JAYESH VALIA
PAN:AENPV8400N
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF VAS INFRASTRUCTURE LTD.
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
24-JAN-2018
|
|
| 7605 |
|
|
YASHRAJ CONTAINEURS LTD.
(CIN:L28120MH1993PLC073160
PAN:AAACV4846L)
|
|
|
FURNISHED MISLEADING DISCLOSURE OF SHAREHOLDING OF PROMOTER GROUP IN MATTER OF YASHRAJ CONTAINEURS LTD.
FURNISHED UNAUDITED QUARTERLY RESULTS AND AUDITED ANNUAL RESULTS WITH MAJOR DISCREPANCIES IN MATTER OF YASHRAJ CONTAINEURS LTD.
DELAYED DISCLOSURE OF CORPORATE ACTIONS IN MATTER OF YASHRAJ CONTAINEURS LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF YASHRAJ CONTAINEURS LTD.
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 IN MATTER OF YASHRAJ CONTAINEURS LTD.
|
IMPOSED PENALTY RS.5,00,000
13-NOV-2009
|
SAT: APPEAL DISMISSED AS WITHDRAWN
|
| 7606 |
|
|
YASHRAJ CONTAINEURS LTD.
(CIN:L28120MH1993PLC073160
PAN:AAACV4846L)
|
|
|
|
JAYESH VINODRAI VALIA
PAN:AAFPV5698G
|
|
|
MADHAV JAYESH VALIA
PAN:AENPV8401P
|
|
|
RAJ JAYESH VALIA
PAN:AENPV8400N
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 11(1) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF VAS INFRASTRUCTURE LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF VAS INFRASTRUCTURE LTD
|
IMPOSED PENALTY RS.32,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-DEC-2017
|
SAT: SAT VIDE ITS ORDER DATED 15/05/2019 PARTLY ALLOWED THE APPEAL BY MODIFYING IMPUGNED ORDER DATED 29/12/2017 BY REDUCING PENALTY TO RS.30 LACS FROM RS.1.00 CRORE UNDER SECTION 15H(II) WITHIN SIX WEEKS FROM DATE OF THIS ORDER
|
| 7607 |
|
|
YASHRAJ CONTAINEURS LTD.
(CIN:L28120MH1993PLC073160
PAN:AAACV4846L)
|
|
|
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 VAS INFRASTRUCTURE LTD.
DELAY IN MAKING 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 VAS INFRASTRUCTURE LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF VAS INFRASTRUCTURE LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
19-MAR-2014
|
|
| 7608 |
|
|
YASOMATI DISTRIBUTORS PVT.LTD.
(PAN:AAACY5689G)
|
|
|
DID NOT FURNISH BANK STATEMENTS/CASH RECEIPT/SHARE BILL IN RESPECT OF TRANSACTIONS IN MATTER OF DELTA LEASING & FINANCE LTD.
|
IMPOSED PENALTY RS.1,00,000
29-SEP-2022
|
|
| 7609 |
|
|
YATIN PANDYA (HUF)
(PAN:AAAHY6896C)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH FICTITIOUS TRADE IN SCRIP OF STERLING INTERNATIONAL ENTERPRISES LTD.
|
IMPOSED PENALTY RS.2,00,000
08-SEP-2021
|
SAT: SAT VIDE ITS ORDER DATED 16/12/2021 STAYED EFFECT AND OPERATION OF THE IMPUGNED ORDER TILL FURTHER ORDER
SAT: SAT VIDE ITS ORDER DATED 23/12/2021 ADJOURNED THE PROCEEDINGS AND DIRECTED APPELLANT TO PRODUCE ORDER OF THE SUPREME COURT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 7610 |
|
|
YBRANT DIGITAL LTD.
|
|
|
|
M.SURESH KUMAR REDDY
PAN:AOOPM8696J
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF YBRANT DIGITAL LTD.
|
IMPOSED PENALTY RS.9,00,000
29-NOV-2019
|
|
| 7611 |
|
|
YELLOW CONSULTANTS PVT.LTD.
(PAN:AAACY2813N)
|
|
|
INDULGED IN OFF MARKET TRANSACTIONS OF SHARES WITHOUT SALE CONSIDERATION VIOLATING SECTION 16 OF SCRA, 1956 READ WITH SEBI NOTIFICATION NO.G.S.R.219 (E) DATED 02/03/2000 AND SECTIONS 13 AND 18 OF SCRA READ WITH SECTIONS 2(I) OF SCRA ACT, 1956 IN MATTER OF VERTEX SPINNING LTD.
|
IMPOSED PENALTY RS.5,00,000
26-SEP-2018
|
SAT: APPEAL FAILED AND DISMISSED. NO COSTS
|
| 7612 |
|
|
YES BANK LTD.
(PAN:AAACY2068D)
|
|
|
|
VIVEK KANWAR
PAN:AAIPK8816G
|
|
SOLD AT-1 BONDS TO CUSTOMER OF YES BANK LTD. WITHOUT ADOPTING ADEQUATE SAFEGUARDS TO PROTECT THEIR INTEREST AND WITHOUT SUFFICIENT DUE DILIGENCE VIOLATING SECTIONS 12A (B) TO (C) OF SEBI ACT, 1992 AND REGULATIONS 3(A), 3(C) AND 3(D), 4(1) AND 4(2)(S) READ WITH EXPLANATION (1) TO REGULATION 4(2) OF SEBI (PFUTP) REGULATIONS, 2003
|
IMPOSED PENALTY RS.25,00,00,000
12-APR-2021
|
SAT: SAT VIDE ITS ORDER DATED 21/05/2021 DIRECTED TO RESPONDENT TO FILE REPLY WITHIN FOUR WEEKS FROM THE DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 30/07/2021 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
|
| 7613 |
|
|
YES BANK LTD.
(PAN:AAACY2068D)
|
|
|
|
RANA KAPOOR
PAN:AHIPK0411A
|
|
SOLD AT-1 BONDS TO CUSTOMER OF YES BANK LTD. WITHOUT ADOPTING ADEQUATE SAFEGUARDS TO PROTECT THEIR INTEREST AND WITHOUT SUFFICIENT DUE DILIGENCE VIOLATING SECTIONS 12A (B) TO (C) OF SEBI ACT, 1992 AND REGULATIONS 3(A), 3(C) AND 3(D), 4(1) AND 4(2)(S) READ WITH EXPLANATION (1) TO REGULATION 4(2) OF SEBI (PFUTP) REGULATIONS, 2003
|
IMPOSED PENALTY RS.2,00,00,000
07-SEP-2022
|
|
| 7614 |
|
|
YES CAPITAL (INDIA) PVT.LTD.
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES FOR CREATION OF ENCUMBRANCE OF SHARES AS REQUIRED UNDER REGULATIONS 31(1) READ WITH 31(3) AND (28(3) OF SAST REGULATIONS, 2011 IN MATTER OF YES BANK LTD.
|
IMPOSED PENALTY RS.5,00,000
31-MAR-2020
|
SAT: SAT VIDE ITS ORDER DATED 13/06/2021 DISMISSED THE APPEAL
|
| 7615 |
|
|
YES INVESTMENTS
|
|
|
|
VISHAL KISHORE BHATIA
PAN:AINPB3663P
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN VARIOUS SCRIPS
|
IMPOSED PENALTY RS.2,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-AUG-2014
|
SAT: SAT VIDE ITS ORDER DATED 22/03/2016 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 25/03/2015 AND RESTORED THE MATTER TO FILE OF AO TO PASS FRESH ORDER ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
SEBI VIDE ITS ORDER DATED 14/12/2017 REDUCED THE PENALTY AMOUNT TO RS.20 LACS FROM RS.2.00 CRORES U/S 15HA OF SEBI ACT
|
| 7616 |
|
|
YES INVESTMENTS
|
|
|
|
DINESH CHUDASMA
|
|
INDULGED IN IRREGULAR TRANSACTIONS IN SCRIP OF SURYADEEP SALTS REFINERY & CHEMICAL WORKS LTD.
|
IMPOSED PENALTY RS.1,05,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-AUG-2004
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 7617 |
|
|
YM BHANSALI (HUF)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
|
IMPOSED PENALTY RS.3,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-MAY-2009
|
INCLUDED IN SEBI LIST DATED 30/06/2010, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 7618 |
|
|
YOCHANA VYAPAAR PVT.LTD.
(PAN:AAACY5598E)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.25,00,000
11-AUG-2020
|
|
| 7619 |
|
|
YODEL INSTRUMENTS PVT.LTD.
(PAN:AAACY4336Q)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF ERA INFRA ENGINEERING LTD.
|
IMPOSED PENALTY RS.10,000
28-JAN-2022
|
|
| 7620 |
|
|
YOGESH BHAI SHAH (HUF)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATIONS 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF GLOBAL SECURITIES LTD.
|
IMPOSED PENALTY RS.2,00,000
08-JAN-2021
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 381 of 385
|
