| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 61 |
|
AASTIK GOEL
(PAN:BEDPG0019P)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
26-NOV-2021
|
|
| 62 |
|
|
AAYUSH RAJENDRA SURANA
(PAN:BINPS1337Q)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF GAYATRI SUGARS LTD.
|
IMPOSED PENALTY RS.5,00,000
31-MAY-2023
|
SAT: SAT VIDE ITS ORDER DATED 08/08/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER. STAYED PENALTY AMOUNT IMPOSED UPON THE APPELLANTS
SEBI VIDE ITS NOTICE DATED 23/08/2023 DIRECTED TO PAY RS.5,16,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 31/08/2023, DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE. STAYED PENALTY AMOUNT IMPOSED UPON APPELLANTS
SAT: SAT VIDE ITS ORDER DATED 04/10/2024 GRANTED APPELLANTS FOUR WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 10/04/2026 CANCELLED RECOVERY CERTIFICATE AS PER SAT ORDER DATED 02/04/2026
|
| 63 |
|
|
ABBAS A.SHAIKH
(PAN:AGGPS2273K)
(Along with : HABIBUNISHA DHANANI,
KAYUM DHANANI,
GULSHAN I.MEMON,
SHAMIM DHANANI,
SHAJI NAIR,
SUBHASH PANDIT,
ABDUL RAZAK DHANANI,
SADIKA MD.I.MEMON,
MANSOOR I.MEMON,
ANISHA DHANANI,
RAJESH C.MODI,
AKITABANU MD.ISMAIL MEMON,
AKSHAY S.UDAR,
UDAY DHANANI,
ROHINI S.UDAR,
SHIRIN H.MEMON,
MUNAWAR GARBADAWALA,
SHYAMLAL BHASKAR PANDIT,
NOORMOHMAD VOHRA,
REKHA R.PANDIT,
RABIA RAZAK DHANANI,
PRADEEP B.MENON,
NASIM R.DHANANI,
SUCHITRA DHANANI)
|
|
|
|
ARIES HOTELS PVT.LTD.
PAN:AABCA6743N
|
|
|
BHARAT EQUITY SERVICES LTD.
PAN:AAACB7732M
|
|
|
EXCELLENT ESTATE DEVELOPERS PVT.LTD.
PAN:AAACE4152G
|
|
|
LIBERTY CONSTRUCTION & LEASING PVT.LTD.
PAN:AAACL3233H
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 11(1) AND 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SAYAJI HOTELS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SAYAJI HOTELS LTD.
|
IMPOSED PENALTY RS.3,10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-MAR-2018
|
SAT: SAT VIDE ITS ORDER DATED 20/10/2019 SEBI GRANTED APPROVAL IN TERMS OF REGULATION 24(2) OF SETTLEMENT REGULATIONS. NO COSTS
|
| 64 |
|
|
ABBAS KHAN CHAND KHAN
(PAN:AMFPK1852P)
|
|
|
INDULGED IN FUNDING IN FRAUDULENT MANNER THROUGH ITS SUBSIDIARIES/ASSOCIATED/CONNECTED ENTITIES, SUBSCRIPTION TO PREFERENTIAL ALLOTMENT OF WARRANTS AND CONVERSION OF WARRANTS INTO EQUITY SHARES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF HASTI FINANCE LTD.
|
IMPOSED PENALTY RS.15,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-JUL-2022
|
SEBI VIDE ITS NOTICE DATED 11/11/2022 DIRECTED TO PAY RS.15,,76,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 15/02/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6127 OF 2022 DATED 15/02/2023
|
| 65 |
|
|
ABDUL HAMEED ABDUL GAFFER MEMON
|
|
|
|
PARSOLI CORP.LTD.
PAN:AABCP9030F
|
|
INDULGED IN OFF-MARKET TRANSFER OF SHARES OF PARSOLI CORP.LTD.
|
IMPOSED PENALTY RS.10,00,000
05-MAY-2010
|
SEBI VIDE ITS NOTICE DATED 16/12/2013 DIRECTED ALL THE BANKS 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
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 66 |
|
|
ABDUL RAZAK DHANANI
(PAN:ABWPD8290J)
(Along with : HABIBUNISHA DHANANI,
KAYUM DHANANI,
GULSHAN I.MEMON,
SHAMIM DHANANI,
SHAJI NAIR,
SUBHASH PANDIT,
ABBAS A.SHAIKH,
SADIKA MD.I.MEMON,
MANSOOR I.MEMON,
ANISHA DHANANI,
RAJESH C.MODI,
AKITABANU MD.ISMAIL MEMON,
AKSHAY S.UDAR,
UDAY DHANANI,
ROHINI S.UDAR,
SHIRIN H.MEMON,
MUNAWAR GARBADAWALA,
SHYAMLAL BHASKAR PANDIT,
NOORMOHMAD VOHRA,
REKHA R.PANDIT,
RABIA RAZAK DHANANI,
PRADEEP B.MENON,
NASIM R.DHANANI,
SUCHITRA DHANANI)
|
|
|
|
ARIES HOTELS PVT.LTD.
PAN:AABCA6743N
|
|
|
BHARAT EQUITY SERVICES LTD.
PAN:AAACB7732M
|
|
|
EXCELLENT ESTATE DEVELOPERS PVT.LTD.
PAN:AAACE4152G
|
|
|
LIBERTY CONSTRUCTION & LEASING PVT.LTD.
PAN:AAACL3233H
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 11(1) AND 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SAYAJI HOTELS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SAYAJI HOTELS LTD.
|
IMPOSED PENALTY RS.3,10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-MAR-2018
|
SAT: SAT VIDE ITS ORDER DATED 20/10/2019 SEBI GRANTED APPROVAL IN TERMS OF REGULATION 24(2) OF SETTLEMENT REGULATIONS. NO COSTS
|
| 67 |
|
|
ABDUL SLAM
(DIN:03048245
PAN:CXEPS9337R)
|
|
|
|
BEETAL LIVESTOCK & FARMS PVT.LTD.
|
|
OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
|
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
09-AUG-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 25/11/2021 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
SEBI VIDE ITS ORDER DATED 10/12/2021 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNT OF BEETAL LIVESTOCK & FARMS PVT.LTD., MR.NIZZAMUDDIN SABBIR, MR.ABDUL SLAM, MR.MANISH GIRDHARI, MR.RAJU JHUNNI, MR.SARIF KHAN & MR.BHARAT KUMAR TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 68 |
|
|
ABDUL ZAMEER HAKIM KHAN
(PAN:ASXPK2911K)
(Along with : MOHAMMAD RAFI,
MOHD.SALIM KHAN,
AMIR HAMZA HAKIM KHAN,
TALAT WAHADATALI MOHAMAD,
REHANA KHAN)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT VIOLATING SECTION 12A(F) OF SEBI ACT, 1992 AND REQUIRED UNDER REGULATION 3(1) READ WITH 13 OF SAST REGULATIONS, 2011 IN MATTER OF FINALYSIS CREDIT & GURANTEE CO.LTD.
|
IMPOSED PENALTY RS.20,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-JUN-2020
|
SAT: SAT VIDE ITS ORDER DATED 29/06/2021 CONDONED THE DELAY IN FILING OF APPEAL.IN THE MEANWHILE, RESPONDENT MAY FILE THE REPLY
SAT: SAT VIDE ITS ORDER DATED 01/10/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 28/09/2022 CONDONED THE DELAY OF 689 DAYS IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY TO THE DELAY APPLICATION AS WELL AS MEMORANDUM OF APPEAL WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 21/10/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 24/01/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 11/08/2023 DIRECTED TO PAY RS.27,61,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 07/09/2023 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 09/10/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.28,01,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTG
SAT: SAT VIDE ITS ORDER DATED 09/08/2024 DISMISSED THE APPEALS. NO COSTS
|
| 69 |
|
|
ABDUL ZAMEER HAKIM KHAN
(PAN:ASXPK2911K)
|
|
|
|
FINALYSIS CREDIT & GUARANTEE CO.LTD.
PAN:AABCF9494P
|
|
DEVISED A SCHEME TO DEFRAUD ORIGINAL PUBLIC SHAREHOLDERS BY ISSUING FORGED CONSOLIDATED SHARE CERTIFICATES AND THEREAFTER FRAUDULENTLY SOLD THESE CONSOLIDATED SHARE CERTIFICATES TO PURCHASERS BROUGHT BY BIPIN DIVECHA VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) & 4(2)(H) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF FINALYSIS CREDIT & GURANTEE CO.LTD.
|
IMPOSED PENALTY RS.5,00,000
30-JUN-2020
|
SAT: SAT VIDE ITS ORDER DATED 29/06/2021 CONDONED THE DELAY IN FILING OF APPEAL.IN THE MEANWHILE, RESPONDENT MAY FILE THE REPLY
SAT: SAT VIDE ITS ORDER DATED 01/10/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 70 |
|
|
ABDUL ZAMEER HAKIM KHAN
(PAN:ASXPK2911K)
|
|
|
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 FINALYSIS CREDIT & GUARANTEE CO.LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
26-FEB-2019
|
SEBI VIDE ITS NOTICE DATED 31/12/2019 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
SEBI VIDE ITS ORDER DATED 30/03/2022 DIRECTED ALL THE BANKS TO REMIT RS.2,64,075.24 TO THE EXTENT LYING IN THE ACCOUNT OF MR.ABDUL ZAMEER HAKIM KHAN, MR.AMIR HAMZA HAKIM KHAN & MS.REHANA KHAN TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 71 |
|
|
ABDUL ZAMEER HAKIM KHAN
(PAN:ASXPK2911K)
(Along with : MOHAMMAD RAFI,
SHAMSHAD BEGUM KHAN,
MOHD.SALIM KHAN,
AMIR HAMZA HAKIM KHAN,
TALAT WAHADATALI MOHAMAD,
REHANA KHAN)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1), 29(2) AND 29(3)(A) OF SAST REGULATIONS, 2011 IN MATTER OF FINALYSIS CREDIT & GUARANTEE CO.LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-JUN-2020
|
SAT: SAT VIDE ITS ORDER DATED 29/06/2021 CONDONED THE DELAY IN FILING OF APPEAL.IN THE MEANWHILE, RESPONDENT MAY FILE THE REPLY
SAT: SAT VIDE ITS ORDER DATED 01/10/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 28/09/2022 CONDONED THE DELAY OF 689 DAYS IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY TO THE DELAY APPLICATION AS WELL AS MEMORANDUM OF APPEAL WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 21/10/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 24/01/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 09/08/2023 DIRECTED TO PAY RS.13,81,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 07/09/2023 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 09/10/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.14,01,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SAT: SAT VIDE ITS ORDER DATED 09/08/2024 DISMISSED THE APPEALS. NO COSTS
|
| 72 |
|
|
ABDULSAMAD ABDUL GAFFER MEMON
|
|
|
|
PARSOLI CORP.LTD.
PAN:AABCP9030F
|
|
INDULGED IN OFF-MARKET TRANSFER OF SHARES OF PARSOLI CORP.LTD.
|
IMPOSED PENALTY RS.10,00,000
05-MAY-2010
|
SEBI VIDE ITS NOTICE DATED 16/12/2013 DIRECTED ALL THE BANKS 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
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 73 |
|
|
ABHA MOHUNTA
(PAN:AAHPM9366N)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
31-AUG-2021
|
|
| 74 |
|
|
ABHAY BAHETI
(PAN:ADEPB2646N)
(Along with : GHANSHYAM DAS KANKANI,
AVINASH KANKANI,
MADHU LATA KANKANI,
UMESH KANKANI)
|
|
|
|
DWARIKA INVESTMENTS PVT.LTD.
PAN:AAACD9731A
|
|
|
KORAPUT INVESTMENTS PVT.LTD.
PAN:AABCK2228A
|
|
|
SPARTON LEASING & FINANACE LTD.
PAN:AAACS3597F
|
|
|
WESTERN INDIA CEMENTS LTD.
PAN:AAACW2577K
|
|
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 IN MATTER OF TIRRIHANNAH CO.LTD.
|
IMPOSED PENALTY RS.4,00,000 ALONG WITH OTHER ENTITIES/PERSONS
19-DEC-2018
|
|
| 75 |
|
|
ABHAY BAHETI
(PAN:ADEPB2646N)
(Along with : GHANSHYAM DAS KANKANI,
AVINASH KANKANI,
MADHU LATA KANKANI,
UMESH KANKANI)
|
|
|
DID NOT MENTION IN SPA THAT IN CASE OF NON-COMPLIANCE OF ANY PROVISION OF REGULATION 22 (16) OF SEBI TAKEOVER CODE, 1997, AGREEMENT FOR SUCH SALE SHALL NOT BE ACTED UPON BY SELLER OR ACQUIRER IN MATTER OF TIRRIHANNAH CO.LTD.
|
IMPOSED PENALTY RS.2,50,000 ALONG WITH OTHER ENTITIES/PERSONS
19-DEC-2018
|
|
| 76 |
|
|
ABHAY DATTATRAY JAVLEKAR
(PAN:ACVPJ4679B)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF GLOBAL SECURITIES LTD.
|
IMPOSED PENALTY RS.2,00,000
31-MAY-2022
|
|
| 77 |
|
|
ABHAY DATTATRAY JAVLEKAR
(PAN:ACVPJ4679B)
|
|
|
INDULGED IN FRAUDULENT TRANSACTIONS AND DEMATERIALIZATION OF SHARES OF DORMANT ACCOUNTS USING FORGED DOCUMENTS
|
IMPOSED PENALTY RS.30,00,000
28-SEP-2022
|
SAT: SAT VIDE ITS ORDER DATED 13/12/2022 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY
SAT: SAT VIDE ITS ORDER DATED 09/01/2023 ALLOWED RESPONDENT FURTHER TWO WEEKS TO FILE REPLY AND REJOINDER TO BE FILED WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 20/03/2023 DIRECTED TO FILE PHYSICAL COPY OF THE REJOINDER WITHIN TEN DAYS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 19/05/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 25/07/2023 DIRECTED TO PAY RS.33,31,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 19/07/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS ORDER DATED 05/09/2023 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 09/10/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.34,21,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SAT: SAT VIDE ITS ORDER DATED 08/12/2023 CONDONED THE DELAY IN FILING OF APPEAL AND DIRECTED APPELLANT TO DEPOSIT THE AMOUNT PURSUANT TO IMPUGNED ORDER. RESPONDENT TO FILE DOCUMENTS WITHIN TWO WEEKS AND REJOINDER TO BE FILED WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 19/01/2024 ALLOWED APPELLANT TWO WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 25/01/2024 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 05/09/2023
|
| 78 |
|
|
ABHAY DATTATRAY JAVLEKAR
(PAN:ACVPJ4679B)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF INCAP FINANCIAL SERVICES LTD.
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 10 AND 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF INCAP FINANCIAL SERVICES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(1) AND 13(3) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF INCAP FINANCIAL SERVICES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, SELF-TRADES, REVERSAL OF TRADES AND OFF-MARKET TRANSACTIONS IN SCRIP OF INCAP FINANCIAL SERVICES LTD.
DID NOT SUBMIT DOCUMENTARY PROOF OF PAYMENT MADE OR RECEIPT OF CONSIDERATION BY COUNTERPARTY 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 INCAP FINANCIAL SERVICES LTD.
|
IMPOSED PENALTY RS.18,50,000
20-APR-2020
|
SEBI VIDE ITS NOTICE DATED 08/06/2021 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
SEBI VIDE ITS ORDER DATED 10/05/2022 DIRECTED ALL THE BANKS TO REMIT RS.23,32,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.ABHAY DATTATRAY JAVLEKAR TO SEBI BY WAY OF EFT/NEFT/RTGS
SAT: SAT VIDE ITS ORDER DATED 30/10/2023 ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER DATED 30/04/2020 MATTER REMITTED TO AO TO DECIDE THE MATTER AFRESH
SEBI VIDE ITS NOTICE DATED 01/11/2023 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 08/06/2021
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| 79 |
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ABHAY DHUMAL
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DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING AS REQUIRED UNDER REGULATIONS 7(1) AND 7(2) OF SEBI TAKEOVER CODE, 1997
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IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
08-DEC-2006
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| 80 |
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ABHAY JAIN
(PAN:AAEPJ3124C)
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MAGNUM VENTURES LTD.
PAN:AAACM6054H
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INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF MAGNUM VENTURES LTD.VIOLATING REGULATIONS 4(1), 4(2)(E), 4(2)(F)(II)(7), 4(2)(F)(II)(8), 4(2)(F)(III)(3), 33(1)(A), 33(1)(C), 33(3)(C)(II), 33(3)(D), 33(3)(I), 34(2)(A), 34(3) AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27(2) OF SEBI ACT, 1992 IN MATTER OF MAGNUM VENTURES LTD.
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF MAGNUM VENTURES LTD. VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF MAGNUM VENTURES LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-MAY-2023 TO 30-MAY-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAY-2023 TO 30-MAY-2024
IMPOSED PENALTY RS.6,00,000
31-MAY-2023
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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 4 of 591
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