| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 61 |
|
MUKAT BIHARI SHARMA
(PAN:AIYPS6825M)
|
|
|
|
LEEL ELECTRICALS LTD.
PAN:AAACL0484G
|
|
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND 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 LEEL ELECTRICAL LTD.
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), 4(1)(E), 4(1)(G) TO 4(1)(J), 4(2)(F)(I)(2), 4(2)(F)(II)(2),(6)(7), 4(2)(F)(III)(7), 23(4) READ WITH 23(1) AND 33(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF LEEL ELECTRICAL LTD.
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING CLAUSE 41(1)(A) OF ERSTWHILE LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF LEEL ELECTRICAL LTD.
DID NOT EXERCISE DUE DILIGENCE AS A MEMBER OF AUDIT COMMITTEE VIOLATING REGULATION 18(3) READ WITH PART A OF PART C OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF LEEL ELECTRICAL LTD.
|
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 18-APR-2024 TO 17-APR-2027
IMPOSED PENALTY RS.2,00,00,000
18-APR-2024
|
SAT: SAT VIDE ITS ORDER DATED 26/09/2024 GRANTED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SEBI VIDE ITS NOTICE DATED 30/09/2024 DIRECTED TO PAY RS.2,12,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT VIDE ITS ORDER DATED 08/10/2024 CONDONED THE DELAY OF 100 DAYS IN FILING OF APPEAL. GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER. NO RECOVERY OF PENALTY AMOUNT SUBJECT TO DEPOSIT OF RS.3 LAC WITH SEBI WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SEBI VIDE ITS ORDER DATED 12/12/2024 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 14/01/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.2,20,01,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SAT: SAT VIDE ITS ORDER DATED 07/11/2025 STAYED RECOVERY OF PENALTY AMOUNT
|
| 62 |
|
|
NIHAR RANJAN MISHRA
|
|
|
|
MEFCOM AGRO INDUSTRIES LTD.
CIN:071741
PAN:AAACM2047A
|
|
MADE FALSE AND MISLEADING PRICE SENSITIVE CORPORATE ANNOUNCEMENTS IN MATTER OF MEFCOM AGRO INDUSTRIES LTD.
|
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 12-FEB-2020 TO 11-FEB-2022
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 12-FEB-2020 TO 11-FEB-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
12-FEB-2020
|
|
| 63 |
|
|
NIPUN SINGHAL
(PAN:AFFPG0064A)
|
|
|
|
LEEL ELECTRICALS LTD.
PAN:AAACL0484G
|
|
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND 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 LEEL ELECTRICAL LTD.
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), 4(1)(E), 4(1)(G) TO 4(1)(J), 4(2)(F)(I)(2), 4(2)(F)(II)(2),(6)(7), 4(2)(F)(III)(7), 23(4) READ WITH 23(1) AND 33(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF LEEL ELECTRICAL LTD.
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING CLAUSE 41(1)(A) OF ERSTWHILE LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF LEEL ELECTRICAL LTD.
|
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 18-APR-2024 TO 17-APR-2027
IMPOSED PENALTY RS.2,00,00,000
18-APR-2024
|
SEBI VIDE ITS NOTICE DATED 15/07/2024 DIRECTED TO PAY RS.2,02,24,561.64 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 06/08/2024 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
SAT: SAT VIDE ITS ORDER DATED 09/08/2024 GRANTED APPELLANT TO FILE MEMORANDUM OF APPEAL WITHIN TWO WEEKS AND REPLY, IF ANY
SAT: SAT VIDE ITS ORDER DATED 03/09/2024 ALLOWED AMENDMENT APPLICATION. ALLOWED RESPONDENT FOUR WEEKS TO FILE REPLY AND REJOINDER TO BE FILED TWO WEEKS THEREAFTER
SEBI VIDE ITS NOTICE DATED 06/09/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.2,05,73,054.80 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SAT: SAT VIDE ITS ORDER DATED 26/09/2024 GRANTED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 08/10/2024 CONDONED THE DELAY OF 100 DAYS IN FILING OF APPEAL. GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER. NO RECOVERY OF PENALTY AMOUNT SUBJECT TO DEPOSIT OF RS.3 LAC WITH SEBI WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 07/11/2025 STAYED RECOVERY OF PENALTY AMOUNT
|
| 64 |
|
|
PAWAN KUMAR RUIA
(PAN:ACNPR3823K)
|
|
|
|
FALCON TYRES LTD.
CIN:L25114KA1973PLC002455
PAN:AAACF7258E
|
|
DID NOT ADHERE TO THE REQUIREMENT OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT VIOLATING CLAUSE 40A OF LISTING AGREEMENT READ WITH RULE 19A OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH SECTION 21 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
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 24-MAR-2021 TO 23-MAR-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 24-MAR-2021 TO 23-MAR-2023
24-MAR-2021
|
SAT: SAT VIDE ITS ORDER DATED 24/09/2021 ALLOWED APPELLANT THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 25/11/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 24/08/2022 ALLOWED THE APPEALS AND QUASHED IMPUGNED ORDER DATED 24/03/2021
|
| 65 |
|
|
PRADEEP KUMAR DWIVEDI
(PAN:AAFPD6402N)
|
|
|
INDULGED IN MANIPULATION OF BOOKS OF ACCOUNTS AND MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS OPERATIONS
DIVERTED/SIPHONED FUNDS TO OTHER GROUP COMPANIES
DID NOT HAVE ANY ACTUAL BUSINESS OPERATIONS OF COMPANIES
DID NOT ENGAGE IN ACTIVITIES RELATED TO ENTERTAINMENT INDUSTRY
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-JUN-2023 UNTIL FURTHER ORDERS
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 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 BSE TO APPOINT FORENSIC AUDITOR TO EXAMINE BOOKS OF ACCOUNTS OF THE COMPANY
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 22-JUN-2023 UNTIL FURTHER ORDERS
22-JUN-2023
|
SAT: SAT VIDE ITS ORDER DATED 22/08/2023 DISPOSED OF THE APPEAL BY DIRECTING APPELLANT TO FILE REPLY/OBJECTION ALONG WITH STAY VACATION APPLICATION TO AD-INTERIM EX-PARTE ORDER DATED 22/06/2023 WITHIN THREE WEEKS FROM DATE OF THIS ORDER. WTM TO FIX A DATE WITHIN A WEEK FROM DATE OF FILING OF REPLY
SEBI VIDE ITS ORDER DATED 13/10/2023 DIRECTED TO CONTINUE TO BE RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES, EITHER DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER UNTIL FURTHER ORDERS
SEBI VIDE ITS ORDER DATED 13/10/2023 DIRECTED TO CONTINUE TO BE RESTRAINED FROM HOLDING POSITION OF DIRECTOR OR KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY OTHER THAN EROS OR ANY SEBI REGISTERED INTERMEDIARY UNTIL FURTHER ORDERS
SAT: SAT VIDE ITS ORDER DATED 28/06/2024 DIRECTED TO ISSUE SCN IF ANY, WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND MATTER TO BE DECIDED WITHIN FIVE MONTHS FROM DATE OF THIS ORDER
|
| 66 |
|
|
PRAFULLA SUBHASHCHANDRA BHAT
(PAN:AMEPB0155F)
|
|
|
MISREPRESENTED FINANCIALS BY FICTITIOUS PURCHASES & SALES AND
DIVERSION OF FUNDS TO CONNECTED ENTITIES BY MAKING PAYMENT TOWARDS FICTITIOUS PURCHASES
MISREPRESENTED CLOSING BALANCES
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONIN ANNUAL REPORT
TRANSACTED WITH CONNECTED VENDORS AT NOMINAL PROFIT OR AT LOSS
DIVERTED FUNDS BY IMPROPER WRITE OFF OF PAYMENTS AND BALANCES
UNREASONABLE WRITE OFF FOR PROJECT WORK IN PROGRESS (WIP)
DID NOT RECOVER HIGH AGEING ADVANCES RESULTING IN MISUTILISATION OF FUNDS
DID NOT DOCUMENT PURCHASE AND SALE OF FIXED ASSETS WITH CONNECTED ENTITIES
MISREPRESENTED FINANCIALS BY FICTITIOUS PURCHASES & SALES AND DIVERSION OF FUNDS TO CONNECTED ENTITIES BY MAKING PAYMENT TOWARDS FICTITIOUS PURCHASES VIOLATING SECTIONS 12A(B) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(C) TO 3(D), 4(1), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SETUBANDHAN INFRASTRUCTURE LTD.
MISREPRESENTED CLOSING BALANCES VIOLATING SECTIONS 12A(B) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(C) TO 3(D), 4(1), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SETUBANDHAN INFRASTRUCTURE LTD.
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTION IN ANNUAL REPORT VIOLATING SECTIONS 12A(B) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(C) TO 3(D), 4(1), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SETUBANDHAN INFRASTRUCTURE LTD.
TRANSACTED WITH CONNECTED VENDORS AT NOMINAL PROFIT OR AT LOSS VIOLATING SECTIONS 12A(B) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(C) TO 3(D), 4(1), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SETUBANDHAN INFRASTRUCTURE LTD.
DIVERTED FUNDS BY IMPROPER WRITE OFF OF PAYMENTS AND BALANCES VIOLATING SECTIONS 12A(B) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(C) TO 3(D), 4(1), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SETUBANDHAN INFRASTRUCTURE LTD.
UNREASONABLE WRITE OFF FOR PROJECT WORK IN PROGRESS (WIP) VIOLATING SECTIONS 12A(B) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(C) TO 3(D), 4(1), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SETUBANDHAN INFRASTRUCTURE LTD.
DID NOT RECOVERHIGH AGEING ADVANCES RESULTING IN MISUTILISATION OF FUNDS VIOLATING SECTIONS 12A(B) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(C) TO 3(D), 4(1), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SETUBANDHAN INFRASTRUCTURE LTD.
DID NOT DOCUMENT PURCHASE AND SALE OF FIXED ASSETS WITH CONNECTED ENTITIES VIOLATING SECTIONS 12A(B) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(C) TO 3(D), 4(1), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SETUBANDHAN INFRASTRUCTURE LTD.
|
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 06-MAY-2024 TO 05-MAY-2025
06-MAY-2024
|
|
| 67 |
|
|
PRAKASH PUSARAM LADDHA
(PAN:AAHPL3023D)
|
|
|
MISREPRESENTED FINANCIALS BY FICTITIOUS PURCHASES & SALES AND
DIVERSION OF FUNDS TO CONNECTED ENTITIES BY MAKING PAYMENT TOWARDS FICTITIOUS PURCHASES
MISREPRESENTED CLOSING BALANCES
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONIN ANNUAL REPORT
TRANSACTED WITH CONNECTED VENDORS AT NOMINAL PROFIT OR AT LOSS
DIVERTED FUNDS BY IMPROPER WRITE OFF OF PAYMENTS AND BALANCES
UNREASONABLE WRITE OFF FOR PROJECT WORK IN PROGRESS (WIP)
DID NOT RECOVER HIGH AGEING ADVANCES RESULTING IN MISUTILISATION OF FUNDS
DID NOT DOCUMENT PURCHASE AND SALE OF FIXED ASSETS WITH CONNECTED ENTITIES
MISREPRESENTED FINANCIALS BY FICTITIOUS PURCHASES & SALES AND DIVERSION OF FUNDS TO CONNECTED ENTITIES BY MAKING PAYMENT TOWARDS FICTITIOUS PURCHASES VIOLATING SECTIONS 12A(B) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(C) TO 3(D), 4(1), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SETUBANDHAN INFRASTRUCTURE LTD.
MISREPRESENTED CLOSING BALANCES VIOLATING SECTIONS 12A(B) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(C) TO 3(D), 4(1), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SETUBANDHAN INFRASTRUCTURE LTD.
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTION IN ANNUAL REPORT VIOLATING SECTIONS 12A(B) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(C) TO 3(D), 4(1), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SETUBANDHAN INFRASTRUCTURE LTD.
TRANSACTED WITH CONNECTED VENDORS AT NOMINAL PROFIT OR AT LOSS VIOLATING SECTIONS 12A(B) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(C) TO 3(D), 4(1), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SETUBANDHAN INFRASTRUCTURE LTD.
DIVERTED FUNDS BY IMPROPER WRITE OFF OF PAYMENTS AND BALANCES VIOLATING SECTIONS 12A(B) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(C) TO 3(D), 4(1), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SETUBANDHAN INFRASTRUCTURE LTD.
UNREASONABLE WRITE OFF FOR PROJECT WORK IN PROGRESS (WIP) VIOLATING SECTIONS 12A(B) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(C) TO 3(D), 4(1), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SETUBANDHAN INFRASTRUCTURE LTD.
DID NOT RECOVERHIGH AGEING ADVANCES RESULTING IN MISUTILISATION OF FUNDS VIOLATING SECTIONS 12A(B) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(C) TO 3(D), 4(1), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SETUBANDHAN INFRASTRUCTURE LTD.
DID NOT DOCUMENT PURCHASE AND SALE OF FIXED ASSETS WITH CONNECTED ENTITIES VIOLATING SECTIONS 12A(B) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(C) TO 3(D), 4(1), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SETUBANDHAN INFRASTRUCTURE LTD.
|
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 06-MAY-2024 TO 05-MAY-2025
06-MAY-2024
|
SAT: SAT VIDE ITS ORDER DATED 19/08/2024 GRANTED RESPONDENT FIVE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 21/10/2024 GRANTED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 14/01/2025 GRANTED APPELLANT TWO WEEKS TO FILE REJOINDER
|
| 68 |
|
|
PRASHANT SUDHAKAR TALWALKAR
(PAN:AAAPT3528N)
|
|
|
|
TALWALKARS HEALTHCLUBS LTD.
CIN:U93090MH2016PLC280127
PAN:AAFCT7279N
|
|
DISCLOSED INFLATED BANK BALANCE IN FINANCIAL STATEMENTS
PROFITS INFLATED BY MIS-UTILISATION OF CAPITAL WORK IN PROGRESS ACCOUNT
INAPPROPRIATE RECOGNITION OF REVENUE AND EXPENSES
INAPPROPRIATE REVALUATION OF INVESTMENTS FOR INFLATION OF REVENUE
UNJUSTIFIED INVESTMENTS IN ENTITIES WITH LOW NET WORTH AND NON-PROVISION
OF IMPAIRMENT LOSSES
MISREPRESENTED FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(1)(A) TO4 (1)(C), (E), (G) & (H), 4(2)(F)(II)(6), (7) & (8), 4(2)(F)(III)(3), (6) AND (12) OF SEBI (LODR) REGULATION, 2015 IN MATTER OF TALWALKARS HEALTHCARE LTD.
ISSUED FALSE AND MISLEADING CERTIFICATE UNDER REGULATIONS 17(8) AND 33(2)(A) OF SEBI (LODR) REGULATION, 2015 IN MATTER OF TALWALKARS HEALTHCARE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-SEP-2023 TO 14-MAR-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-SEP-2023 TO 14-MAR-2025
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 15-SEP-2023 TO 14-MAR-2025
IMPOSED PENALTY RS.12,00,000
15-SEP-2023
|
|
| 69 |
|
|
PRASHANT SUDHAKAR TALWALKAR
(PAN:AAAPT3528N)
|
|
|
|
TALWALKARS BETTER VALUE FITNESS LTD.
CIN:L92411MH2003PLC140134
PAN:AABCT8207A
|
|
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-SEP-2023 TO 14-MAR-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-SEP-2023 TO 14-MAR-2025
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 15-SEP-2023 TO 14-MAR-2025
IMPOSED PENALTY RS.24,00,000
15-SEP-2023
|
SEBI VIDE ITS NOTICE DATED 21/02/2024 DIRECTED TO PAY RS.25,45,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 30/07/2024 GRANTED APPELLANT FOUR WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 29/01/2025 GRANTED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 06/05/2025 CONDONED THE DELAY IN FILING OF REPLY
SEBI VIDE ITS ORDER DATED 07/05/2026 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7677 OF 2024 DATED 21/02/2024
|
| 70 |
|
|
PUSHPENDRA CHOURASIYA
(PAN:DCFFP0828H)
|
|
|
|
CAPVISION INVESTMENT ADVISOR
PAN:AAJFC0782A
|
|
|
CAPVISION INVESTMENT ADVISOR LTD.
PAN:AAGCC2325P
|
|
|
CAPVISION,M/S
PAN:DCFFP0828H
|
|
ENGAGED IN NON-GENUINE AND DECEPTIVE ACTIVITY OF OBTAINING PAYMENTS FROM CLIENTS TO THIRD PARTY BANK ACCOUNTS VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CAPVISION INVESTMENT ADVISOR
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
PROVIDED INVESTMENT ADVICE ON FREE TRIALS TO CLIENTS
DID NOT DISPLAY COMPLAINTS STATUS ON WEBSITE
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2023 TO 27-FEB-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-FEB-2023 TO 27-FEB-2026
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 28-FEB-2023 TO 27-FEB-2026
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY AS INVESTMENT ADVISORY SERVICES OR ANY ACTIVITY IN SECURITIES MARKET FROM DATE OF ORDER FROM 28-FEB-2023 TO 27-FEB-2026
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO ACCEPT REFUND CLAIMS/REQUESTS FROM THE PUBLIC
DIRECTED TO DEPOSIT REMAINING BALANCE AMOUNT WITH SEBI TO BE KEPT IN ESCROW ACCOUNT
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 28-FEB-2023 TO 27-FEB-2026
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
28-FEB-2023
|
SAT: SAT VIDE ITS ORDER DATED 04/07/2023 DISMISSED THE APPEAL. NO COSTS
|
| 71 |
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R.CHANDRASEGARAN
(PAN:AHUPC1432D)
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MIDVALLEY ENTERTAINMENT LTD.
PAN:AABCC3634J
|
|
DID NOT MAKE DISCLOSURE OF DIRECTORSHIPS IN IPO PROSPECTUS IN MATTER OF MIDVALLEY ENTERTAINMENT LTD.
|
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 18-FEB-2020 TO 17-FEB-2025
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 18-FEB-2020 TO 17-FEB-2025
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
18-FEB-2020
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|
| 72 |
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RAHUL TRIVEDI
(PAN:AQNPT9607R)
|
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HIGHBROW MARKET RESEARCH PVT.LTD.
PAN:AACCH8077M
|
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INDULGED IN NON-GENUINE INVESTMENT ADVISORY ACTIVITY VIOLATING CLAUSES 1 TO 6 AND 8 OF CODE OF CONDUCT FOR INVESTMENT ADVISERS READ WITH REGULATION 15(9) OF (INVESTMENT ADVISORS) REGULATIONS, 2013
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-SEP-2023 TO 19-SEP-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-SEP-2023 TO 19-SEP-2024
CEASED & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS AN INVESTMENT ADVISOR, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 20-SEP-2023 TO 19-SEP-2024
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
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 BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT NOT TRANSFERRED SECURITIES HELD JOINTLY OR SEVERALLY
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 20-SEP-2023 TO 19-SEP-2024
23-MAY-2019
|
SEBI VIDE ITS ORDER DATED 30/01/2020 CONFIRMED DIRECTIONS ISSUED VIDE ITS EX-PARTE AD-INTERIM ORDER DATED 23/01/2019
SEBI VIDE ITS ORDER DATED 20/09/2023 DIRECTED TO A) DEBARFROM ACCESSING SECURITIES MARKET, DIRECTLY OR INDIRECTLY AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER, FOR ONE YEAR FROM DATE OF THIS ORDER AND B) PROHIBITED FROM HOLDING POSITION OF A DIRECTOR OR A KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY OR REGISTERED INTERMEDIARIES
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| 73 |
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RAVI PRAKASH MISHRA
(PAN:AWDPM5709M)
|
|
|
|
CAPVISION INVESTMENT ADVISOR
PAN:AAJFC0782A
|
|
ENGAGED IN NON-GENUINE AND DECEPTIVE ACTIVITY OF OBTAINING PAYMENTS FROM CLIENTS TO THIRD PARTY BANK ACCOUNTS VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CAPVISION INVESTMENT ADVISOR
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
PROVIDED INVESTMENT ADVICE ON FREE TRIALS TO CLIENTS
DID NOT DISPLAY COMPLAINTS STATUS ON WEBSITE
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2023 TO 27-FEB-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-FEB-2023 TO 27-FEB-2026
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 28-FEB-2023 TO 27-FEB-2026
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY AS INVESTMENT ADVISORY SERVICES OR ANY ACTIVITY IN SECURITIES MARKET FROM DATE OF ORDER FROM 28-FEB-2023 TO 27-FEB-2026
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO ACCEPT REFUND CLAIMS/REQUESTS FROM THE PUBLIC
DIRECTED TO DEPOSIT REMAINING BALANCE AMOUNT WITH SEBI TO BE KEPT IN ESCROW ACCOUNT
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 28-FEB-2023 TO 27-FEB-2026
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
28-FEB-2023
|
SAT: SAT VIDE ITS ORDER DATED 04/07/2023 DISMISSED THE APPEAL. NO COSTS
|
| 74 |
|
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REHANA KHAN
(PAN:BVFPK4495L)
|
|
|
|
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.
|
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 05-MAY-2020 TO 04-MAY-2023
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 05-MAY-2020 TO 04-MAY-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
05-MAY-2020
|
|
| 75 |
|
|
RISHABH JAIN
(PAN:AFKPJ6640Q)
|
|
|
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 21-JUL-2020 TO 20-JUL-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-JUL-2020 TO 20-JUL-2023
CEASED AND DESIST FROM ACTING AS AN INVESTMENT ADVISOR AND/OR ALTERNATIVE INVESTMENT FUND AND CEASE TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER UNREGISTERED ACTIVITIES IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 21-JUL-2020 TO 20-JUL-2023
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO THOSE SCHEMES / ACTIVITIES (INVESTMENT ADVISER AND ALTERNATIVE INVESTMENT FUND, AND/OR RESEARCH ANALYST) OR ANY UNREGISTERED ACTIVITIES FROM 21-JUL-2020 TO 20-JUL-2023
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 BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT NOT TRANSFERRED SECURITIES HELD JOINTLY OR SEVERALLY
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 21-JUL-2020 TO 20-JUL-2023
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 21-JUL-2020 TO 20-JUL-2023
20-MAR-2019
|
SEBI VIDE ITS ORDER DATED 21/07/2020 DIRECTED TO A) JOINTLY AND SEVERALLY REFUND THE MONEY RECEIVED FROM CLIENTS/INVESTORS AS FEES/PROFIT SHARING/COMPENSATION B) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING MODALITIES FOR REFUND C) REPAYMENTS TO THE CLIENTS/INVESTORS SHALL BE EFFECTED ONLY THROUGH BANK DEMAND DRAFT OR PAY ORDER D) PREVENTED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES IN DEMAT AND PHYSICAL FORM EXCEPT FOR SOLE PURPOSE OF MAKING THE REFUNDS AS DIRECTED FURTHER BANKS ARE ALLOWED DEBIT ONLY FOR PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS E) FILE REPORT OF SUCH COMPLETION OF WITH SEBI DULY CERTIFIED FROM INDEPENDENT CHARTERED ACCOUNTANTS LICENSED BY INSTITUTE OF CHARTERED ACCOUNTS OF INDIA F) DEBARRED FROM ACCESSING SECURITIES MARKET DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER FOR 3 (THREE) YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS G) RESTRAINED FROM ASSOCIATING WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC, OR ANY INTERMEDIARY REGISTERED WITH SEBI IN THE CAPACITY OF DIRECTOR/PROMOTER/SENIOR MANAGEMENT FOR 3 (THREE) YEARS FROM THE DATE OF COMPLETION OF REFUNDS TO INVESTORS H) NOT TO UNDERTAKE, EITHER DIRECTLY OR INDIRECTLY, INVESTMENT ADVISORY SERVICES OR ANY ACTIVITY IN THE SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
SAT: SAT VIDE ITS ORDER DATED 10/05/2021 CONDONED THE DELAY IN FILING OF APPEAL. ALLOWED RESPONDENT THREE WEEKS TIME TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SEBI VIDE ITS NOTICE DATED 22/07/2021 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
SAT: SAT VIDE ITS ORDER DATED 05/07/2021 ALLOWED APPELLANT THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 07/10/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 29/11/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 12/01/2022 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 18/02/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 27/04/2022 ALLOWED RESPONDENT NO.2 TO FILE REPLY WITHIN TWO WEEKS AND REJOINDER TO BE FILED TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 01/11/2022 DIRECTED THAT AMENDMENT OR AMENDED MEMO OF APPEAL TO BE FILED WITHIN 10 DAYS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 11/04/2023 DISMISSED THE APPEALS. NO COSTS
SEBI VIDE ITS NOTICE DATED 15/03/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.14,50,76,072.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SEBI VIDE ITS ORDER DATED 05/07/2024 A) PROHIBITED FROM DISPOSING, TRANSFERRING, ALIENATING OR CHARGING IN RESPECT OF ALL THE IMMOVABLE AND MOVABLE PROPERTIES LISTED IN THE ORDER B) PROHIBITED FROM TAKING ANY BENEFIT UNDER SUCH DISPOSAL, TRANSFER, ALIENATION OR CHARGE IN RESPECT OF THE PROPERTIES LISTED IN ORDER C) DIRECTED TO FURNISH COMPLETE DETAILS OF ALL MOVABLE AND IMMOVABLE PROPERTIES HELD BY DEFAULTERS AND CHARGES, IF ANY, ALONG WITH ORIGINAL TITLE DEEDS PERTAINING TO THE PROPERTIES, WITHIN TWO WEEKS FROM DATE OF THIS ORDER AT SEBI, SOUTHERN REGIONAL OFFICE, CHENNAI D) DIRECTED INSPECTORS GENERAL OF REGISTRATION OF NEW DELHI AND CONCERNED TEHSILDARS, DISTRICT REGISTRARS AND SUB-REGISTRARS OF THE RESPECTIVE AREAS WHERE THE PROPERTY IS LOCATED E) NOT TO ACT UPON ANY DOCUMENTS PURPORTING TO BE DEALING WITH TRANSFER, MORTGAGE, CHARGE, LEASE OR CREATION OR ALTERATION OF ANY INTEREST IN ANY OF THE PROPERTIES OWNED / HELD BY THE DEFAULTERS, INCLUDING THE SAID PROPERTY, IF PRESENTED FOR REGISTRATION
|
| 76 |
|
|
ROHTAS GOEL
(PAN:AAVPG9866B)
|
|
|
|
OMAXE LTD.
PAN:AAACO0171H
|
|
INDULGED IN FALSIFICATION/FABRICATION OF BOOKS OF ACCOUNTS AND MANIPULATION OF FINANCIAL STATEMENTS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C), 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 OMAXE LTD.
INDULGED IN FALSIFICATION/FABRICATION OF BOOKS OF ACCOUNTS AND MANIPULATION OF FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(2)(F)(I)(2), 4(2)(F)(II)(2), 4(2)(F)(II)(6), 4(2)(F)(II)(7), 4(2)(F)(III)(7), 4(1), 4(2)(E), 33(1)(A), 33(1)(C), 34(3) AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF OMAXE LTD.
ISSUED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF OMAXE LTD.
DID NOT EXERCISE DUE DILIGENCE AS A MEMBER OF AUDIT COMMITTEE VIOLATING REGULATION 18(3) READ WITH PART A OF PART C OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF OMAXE LTD.
|
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 30-JUL-2024 TO 29-JUL-2026
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 30-JUL-2024 TO 29-JUL-2026
IMPOSED PENALTY RS.6,00,000
30-JUL-2024
|
SAT: SAT VIDE ITS ORDER DATED 01/10/2024 ALLOWED RESPONDENT FOUR WEEKS TO FILE REPLY AND REJOINDER TO BE FILED WITHIN FOUR WEEKS THEREAFTER. STAYED THE DIRECTIONS IN PARAS NO.41(1) AND 41(2) SUBJECT TO DEPOSIT OF PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 16/12/2024 GRANTED APPELLANTS FOUR WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 08/05/2025 GRANTED APPELLANTS THREE WEEKS TO FILE REJOINDER
|
| 77 |
|
|
S.MADHAVAN
|
|
|
|
MIDVALLEY ENTERTAINMENT LTD.
PAN:AABCC3634J
|
|
DID NOT MAKE DISCLOSURE OF DIRECTORSHIPS IN IPO PROSPECTUS IN MATTER OF MIDVALLEY ENTERTAINMENT LTD.
|
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 18-FEB-2020 TO 17-FEB-2022
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 18-FEB-2020 TO 17-FEB-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
18-FEB-2020
|
SAT: SAT VIDE ITS ORDER DATED 23/08/2024 CONDONED THE DELAY OF 741 DAYS IN FILING OF APPEAL. ALLOWED THE APPEAL AND MATTER REMITTED TO SEBI FOR FRESH CONSIDERATION IN ACCORDANCE WITH LAW
|
| 78 |
|
|
SAHARSH MISHRA
(PAN:CSAPM7641F)
|
|
|
|
CAPVISION INVESTMENT ADVISOR LTD.
PAN:AAGCC2325P
|
|
ENGAGED IN NON-GENUINE AND DECEPTIVE ACTIVITY OF OBTAINING PAYMENTS FROM CLIENTS TO THIRD PARTY BANK ACCOUNTS VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CAPVISION INVESTMENT ADVISOR
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
PROVIDED INVESTMENT ADVICE ON FREE TRIALS TO CLIENTS
DID NOT DISPLAY COMPLAINTS STATUS ON WEBSITE
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2023 TO 27-FEB-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-FEB-2023 TO 27-FEB-2026
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 28-FEB-2023 TO 27-FEB-2026
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY AS INVESTMENT ADVISORY SERVICES OR ANY ACTIVITY IN SECURITIES MARKET FROM DATE OF ORDER FROM 28-FEB-2023 TO 27-FEB-2026
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO ACCEPT REFUND CLAIMS/REQUESTS FROM THE PUBLIC
DIRECTED TO DEPOSIT REMAINING BALANCE AMOUNT WITH SEBI TO BE KEPT IN ESCROW ACCOUNT
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 28-FEB-2023 TO 27-FEB-2026
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
28-FEB-2023
|
SAT: SAT VIDE ITS ORDER DATED 04/07/2023 DISMISSED THE APPEAL. NO COSTS
|
| 79 |
|
|
SATYENDER KUMAR
|
|
|
|
MEFCOM AGRO INDUSTRIES LTD.
CIN:071741
PAN:AAACM2047A
|
|
MADE FALSE AND MISLEADING PRICE SENSITIVE CORPORATE ANNOUNCEMENTS IN MATTER OF MEFCOM AGRO INDUSTRIES LTD.
|
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 12-FEB-2020 TO 11-FEB-2022
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 12-FEB-2020 TO 11-FEB-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
12-FEB-2020
|
|
| 80 |
|
|
SAVITA SATISH GOWDA
(PAN:AAOPM0195Q)
|
|
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INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF SHARON BIO-MEDICINE LTD. VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), (E) (G), (H) & (I), 4(2)(F)(II)(6)(7)(8), 4(2)(F)(III)(3)(6), (12) AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF SHARON BIO-MEDICINE LTD.
DELAY IN SUBMISSION OF QUARTERLY COMPLIANCE REPORT AND STATEMENT OF SHAREHOLDING PATTERN TO EXCHANGES VIOLATING REGULATIONS 27(2)(A) AND 31(1) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SHARON BIO-MEDICINE LTD.
DID NOT ADHERE TO REGULATIONS 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF SHARON BIO-MEDICINE LTD.
AIDED AND FACILITATED IN PUBLISHING OF MANIPULATED FINANCIAL STATEMENTS VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SHARON BIO-MEDICINE LTD.
DID NOT HAVE PROPER COMPOSITION OF BOARD OF DIRECTORS AND APPOINTMENT OF UNRELATED PERSONS AS INDEPENDENT DIRECTORS VIOLATING CLAUSE 49(I) OF SEBI LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF SHARON BIO-MEDICINE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-MAY-2023 TO 30-MAY-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAY-2023 TO 30-MAY-2026
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 31-MAY-2023 TO 30-MAY-2026
IMPOSED PENALTY RS.27,00,000
31-MAY-2023
|
SEBI VIDE ITS NOTICE DATED 09/11/2023 DIRECTED TO PAY RS.28,63,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 03/01/2024 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 12/02/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.28,31,715.70 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SAT: SAT VIDE ITS ORDER DATED 28/06/2024 GRANTED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 21/08/2024 GRANTED APPELLANTS THREE WEEKS TO FILE REJOINDER. BY CONSENT, CALL ON 21/10/2024
SAT: SAT VIDE ITS ORDER DATED 11/11/2024 GRANTED APPELLANTS TWO WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 03/03/2025 GRANTED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 01/07/2025 GRANTED APPELLANT THREE WEEKS TO FILE REJOINDER
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