| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 7741 |
|
WILFUL FINANCE & INVESTMENT CO.PVT.LTD.
|
|
|
|
PRADEEP KUMAR
PAN:APWPK3686H
|
|
AIDED AND ABETTED JALCO GROUP IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF GHCL LTD.
|
IMPOSED PENALTY RS.50,000
13-NOV-2009
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 7742 |
|
|
WILFUL FINANCE & INVESTMENT CO.PVT.LTD.
|
|
|
|
MANOHAR RAM
PAN:AIIPR7659C
|
|
AIDED AND ABETTED JALCO GROUP IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF GHCL LTD.
|
IMPOSED PENALTY RS.75,000
31-MAY-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 7743 |
|
|
WILLIAMSON FINANCIAL SERVICES LTD.
(PAN:AAACW4504A)
|
|
|
MADE WRONG DISCLOSURE OF SHAREHOLDING PATTERN TO STOCK EXCHANGES VIOLATING CLAUSE 35B OF LISTING AGREEMENT AND REGULATION 31(1)(B) OF SEBI (LODR) REGULATIONS 2015 READ WITH SEBI CIRCULAR NO.CIR/CFD/CMD/13/2015 DATED 30/11/2015
|
IMPOSED PENALTY RS.5,00,000
30-JUN-2022
|
|
| 7744 |
|
|
WILLIAMSON MAGOR & CO.LTD.
(CIN:L01132WB1949PLC017715
PAN:AAACW2369P)
|
|
|
DID NOT TAKE PRIOR APPROVAL FROM AUDIT COMMITTEE FOR TRANSACTION I.E. SELLING OF 1,13,360 SHARES OF WOODLANDS MULTISPECIALTY HOSPITAL LTD. TO BABCOCK BORSIG LTD. AND ASSOCIATE COM VIOLATING CLAUSE 49(VII)(D) OF ERSTWHILE EQUITY LISTING AGREEMENT
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTION WITH BABCOCK BORSIG LTD. IN ANNUAL REPORT VIOLATING CLAUSES 32, 49(I) (C) (1) (D) AND 50 OF ERSTWHILE EQUITY LISTING AGREEMENT
|
IMPOSED PENALTY RS.2,00,000
10-APR-2024
|
|
| 7745 |
|
|
WILLIAMSON MAGOR & CO.LTD.
(CIN:L01132WB1949PLC017715
PAN:AAACW2369P)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES OF ENCUMBERED SHARES AS REQUIRED UNDER REGULATIONS 31(1) READ WITH 28(3) OF SAST REGULATIONS, 2011 READ WITH CLAUSES 2(III) AND 2(IV) OF SEBI CIRCULAR NO.SEBI/HO/CFD/DCR1/CIR/P/2019/90 DATED 07/08/2019
|
IMPOSED PENALTY RS.2,00,000
28-SEP-2023
|
|
| 7746 |
|
|
WINALL VINIMAY PVT.LTD.
(PAN:AAACW8004B)
(Along with : NISHIT AGARWAL BENEFICIARY TRUST,
PRATIK AGARWAL BENEFICIARY TRUST,
PRAVEEN KUMAR AGARWAL (HUF),
APEX COMMOTRADE PVT.LTD.,
BAZIGAR TRADING PVT.LTD.,
DHANLEELA INVESTMENTS & TRADING CO.LTD.,
PINE ANIMATION LTD.,
PYRAMID TRADING & FINANCE LTD.,
RUNICHA MERCHANTS PVT.LTD.,
SANKLAP VINCOM PVT.LTD.,
SIGNET VINIMAY PVT.LTD.,
DAGA INFOCOM PVT.LTD.,
SPICE MERCHANTS PVT.LTD.)
|
|
|
|
AMIT SINGH
PAN:BABPS7447D
|
|
|
PINKY AGARWAL
PAN:ACGPA7438L
|
|
|
PRAVEEN KUMAR AGARWAL
PAN:ACSPA4725A
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH INTRA GROUP TRADING IN SCRIP OF RADFORD GLOBAL LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
13-JUL-2021
|
SAT: SAT VIDE ITS ORDER DATED 06/01/2022 CONDONED THE DELAY IN FILING OF APPEAL. APPEAL ALLOWED AND QUASHED THE IMPUGNED ORDER DATED 13/07/2021
|
| 7747 |
|
|
WINALL VINIMAY PVT.LTD.
(PAN:AAACW8004B)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SULABH ENGINEERS & SERVICES LTD.
|
IMPOSED PENALTY RS.1,00,000
30-AUG-2022
|
SAT: SAT VIDE ITS ORDER DATED 05/01/2023LIST THE ORDER ON 18/01/2023 AND IN THE MEANWHILE, RESPONDENT MAY FILE REPLY AND STAY APPLICATION WILL BE CONSIDERED ON NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 18/01/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 06/06/2023 DIRECTED TO PAY RS.1,12,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 08/01/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6642 OF 2023 DATED 06/06/2023
|
| 7748 |
|
|
WINALL VINIMAY PVT.LTD.
(PAN:AAACW8004B)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF MURLI INDUSTRIES LTD.
|
IMPOSED PENALTY RS.2,00,000
24-OCT-2013
|
|
| 7749 |
|
|
WINCLIFF TECHNOLOGIES PVT.LTD.
(PAN:AAACW8951D)
|
|
|
ACTED AS CONDUITS FOR ROUTING OF FUNDS AND AIDED IN PURCHASE OF SHARES IN SCRIP OF DARSHAN ORNA LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-DEC-2022
|
SEBI VIDE ITS NOTICE DATED 16/01/2024 DIRECTED TO PAY RS.11,41,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 31/07/2024 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 16/08/2024 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 31/07/2024
SEBI VIDE ITS ORDER DATED 16/08/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7506 OF 2024 DATED 16/01/2024
|
| 7750 |
|
|
WINSHER COMMERCIAL PVT.LTD.
(PAN:AAACW3125H)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
23-MAY-2019
|
|
| 7751 |
|
|
WINSHER COMMOTRADE PVT.LTD.
(PAN:AAACW8434F)
(Along with : MADHUVAN DATAMATICS TRADERS PVT.LTD.,
MATARA ELECTRICAL TRADERS PVT.LTD.,
EVERLINK DISTRIBUTORS PVT.LTD.,
SAHAYTA FINANCIAL CONSULTANCY SERVICES INDIA PVT.LTD.,
NEHA CASSETTES PVT.LTD.,
JAIAMBE CASSETTES PVT.LTD.,
BRIJDHAM DEALCOM PVT.LTD.,
GULISTAN VANIJYA PVT.LTD.,
VIBHUTI MULTI TRADE PVT.LTD.,
ALLBRIGHT ELECTRICALS PVT.LTD.,
GRAFTON MERCHANT PVT.LTD.,
SCAN INFRASTRUCTURE LTD.,
GAUNGOUR SUPPLIERS PVT.LTD.,
JASPER VINTRADE PVT.LTD.,
CHANDRAMUKHI VANIJYA PVT.LTD.,
NATRAJ VINIMAY LTD.,
MIRACLE TRADECOM PVT.LTD.,
DOVE SUPPLIERS PVT.LTD.,
SILVERSON DEALTRADE PVT.LTD.,
HONESTY GOODS TRADER PVT.LTD.,
BHUSHAN POWER & STEEL LTD.,
UNISYS SOFTWARES & HOLDING INDUSTRIES LTD.)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET & PRICE MANIPULATION IN SCRIP OF UNISYS SOFTWARE & HOLDING INDUSTRIES LTD.
|
IMPOSED PENALTY RS.46,00,000 ALONG WITH OTHER ENTITIES/PERSONS
13-APR-2022
|
SEBI VIDE ITS NOTICE DATED 18/08/2022 DIRECTED TO PAY RS.48,31,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 05/07/2023 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 22/03/2024 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 05/07/2023
SEBI VIDE ITS ORDER DATED 22/03/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.5340 OF 2022 DATED 18/08/2022
|
| 7752 |
|
|
WINSHER MERCHANTS PVT.LTD.
(PAN:AAACW6191K)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
29-MAY-2019
|
|
| 7753 |
|
|
WINSOME TEXTILE INDUSTRIES LTD.
(PAN:AAACW1910G)
|
|
|
INDULGED IN FACILITATING SUBSCRIPTION OF GDRS AMOUNTING TO USD 9.99 MN.BY VINTAGE FZE, UAE THROUGH FINANCE OBTAINED FROM EURAM BANK, AUSTRIA FOR SUBSCRIPTION OF GDR AND ISSUER COMPANY (WINSOME) PLEDGED GDR WITH EURAM BANK VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 4(1), 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF WINSOME TEXTILE INDUSTRIES LTD.
DID NOT ADHERE TO ACCOUNTING STANDARD ON CASH FLOW STATEMENT (AS-3) VIOLATING CLAUSES 32 AND 50 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
DID NOT INFORM STOCK EXCHANGE ABOUT DELISTING OF GDRS ON LUXEMBOURG STOCK EXCHANGE VIOLATING CLAUSE 36(7) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
DIRECTED TO UNDERTAKE MEASURES OF BRING BACK OUTSTANDING USD 9.018 MN. INTO ITS BANK ACCOUNT IN INDIA
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 15-DEC-2021 TO 13-SEP-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
IMPOSED PENALTY RS.2,50,00,000
15-DEC-2021
|
SAT: SAT VIDE ITS ORDER DATED 23/09/2022 ALLOWED APPELLANT FURTHER TWO WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 13/09/2023 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY AMOUNT TO RS.25 LAC FROM RS.44 LAC AND ALSO REDUCED DEBARMENT PERIOD FROM THREE YEARS TO PERIOD UNDERGONE
|
| 7754 |
|
|
WINSOME YARNS LTD.
(CIN:L17115CH1990PLC010566
PAN:AAACW1911H)
|
|
|
|
MANISH BAGRODIA
PAN:ADLPB0308A
|
|
INDULGED IN FACILITATING SUBSCRIPTION OF 19,94,125 GDRS AMOUNTING TO USD 13.24 MN. GDRS BY VINTAGE FZE, UAE THROUGH FINANCE OBTAINED FROM EURAM BANK, AUSTRIA FOR SUBSCRIPTION OF GDR AND ISSUER COMPANY (WINSOME) PLEDGED GDR WITH EURAM BANK VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003
DID NOT INFORM STOCK EXCHANGES ABOUT TERMINATION OF GDR PROGRAM VIOLATING CLAUSE 36(7) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
DID NOT PREPARE FINANCIAL STATEMENTS AS PER IN ACCOUNTING STANDARDS (AS-3, AS-29 AND AS-1) VIOLATING CLAUSES 32 AND 50 5OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.11,00,00,000
28-MAY-2021
|
SEBI VIDE ITS NOTICE DATED 06/02/2023 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 ORDER DATED 16/02/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6207 OF 2023 DATED 12/01/2023
SEBI VIDE ITS NOTICE DATED 16/02/2023 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 06/02/2023
|
| 7755 |
|
|
WINWAY RESEARCH
(PAN:AGFPJ5226N)
|
|
|
|
ANKUR JAIN
PAN:AGFPJ5226N
|
|
DID NOT MAINTAIN CALL RECORDINGS OF CLIENTS
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.7,00,000 ALONG WITH OTHER ENTITIES/PERSONS
14-NOV-2024
|
SEBI VIDE ITS NOTICE DATED 22/01/2025 DIRECTED TO PAY RS.7,22,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 24/02/2026 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.8577 OF 2025 DATED 22/01/2025
|
| 7756 |
|
|
WISDOM GLOBAL ENTERPRISES LTD.
(PAN:AAACW5152G)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF CORE GLOBAL ENTERPRISES LTD.
|
IMPOSED PENALTY RS.1,00,000
30-JUL-2018
|
|
| 7757 |
|
|
WISEC GLOBAL LTD.
(PAN:AAACW0033C)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2)(B) OF SEBI (PIT) REGULATIONS, 2015
|
IMPOSED PENALTY RS.1,00,000
30-JUN-2022
|
SEBI VIDE ITS ORDER DATED 12/11/2024 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
|
| 7758 |
|
|
WITHAL COMMERCIAL PVT.LTD.
(PAN:AAACW2222R)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF MURLI INDUSTRIES LTD.
|
IMPOSED PENALTY RS.2,00,000
28-JUN-2013
|
|
| 7759 |
|
|
WIZARD CORP.PVT.LTD.
(PAN:AAACW2171K)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF SHIV-VANI OIL & GAS EXPLORATION SERVICES LTD.
|
IMPOSED PENALTY RS.2,00,000
31-MAY-2018
|
|
| 7760 |
|
|
WOCKHARDT LTD.
(PAN:AAACW2472M)
|
|
|
|
RAJIV B.GANDHI
|
|
DEALT IN SCRIP OF WOCKHARDT LTD.ON BASIS OF UNPUBLISHED PRICE SENSITIVE INFORMATION
|
IMPOSED PENALTY RS.5,00,000
30-NOV-2006
|
SAT: APPEAL DISMISSED WITH NO ORDER AS TO COSTS
|
| 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 388 of 394
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