| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 61 |
|
RIKHAV BROKERS PVT.LTD.
(PAN:AADCR3830K)
|
|
|
MADE BIDS WITHOUT HAVING SUFFICIENT FUNDS, MADE FIRST BID ON OPENING DAY OF IPO FOR HUGE NUMBER OF SHARES , DID NOT BANK BIDS APPLICATIONS, CHEQUE RETURNED ETC. IN MATTER OF IPO OF VASWANI INDUSTRIES LTD.
|
IMPOSED PENALTY RS.75,00,000
25-APR-2014
|
SAT: SAT VIDE ITS ORDER DATED 10/08/2016 SET ASIDED IMPUGNED ORDER DATED 25/04/2016 AND RESTORED THE MATTER TO FILE OF AO TO PASS FRESH ORDER ON MERITS AND IN ACCORDANCE WITH LAW. APPELLANTS ARE AT LIBERTY TO FILE ADDITIONAL DOCUMENTS BEFORE THE AO WITHIN TWO WEEKS FROM THE DATE OF THIS ORDER. NO COSTS
SEBI VIDE ITS ORDER DATED 25/02/2022 DISPOSED OFF THE ADJUDICATION PROCEEDINGS INITIATED VIDE SCN DATED 21/03/2013 AS THE ALLEGATIONS AGAINST THE NOTICE DID NOT ESTABLISH
|
| 62 |
|
|
RM BHANSALI (HUF)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
|
IMPOSED PENALTY RS.3,50,000 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
|
| 63 |
|
|
RM BHANSALI (HUF)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES IN WHATSOVER MANNER, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 3 YEARS FROM THE DATE OF THIS ORDER I.E.31/12/2008
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 64 |
|
|
SAFAL REALTY PVT.LTD.
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.99,03,451, (DISGORGEMENT AMOUNT RS.11,78,46,946,INTEREST RS.2,36,61,550 ALONG WITH OTHER ENTITIES/PERSONS) VIDE CONSENT ORDER)
20-APR-2009~
|
AD INTERIM EX-PARTE ORDER DATED 17/01/2007 DISPOSED OFF, AS APPLICANT AGREED TO TRANSFER WITH OTHER APPLICANTS AN AMOUNT OF RS.11,78,46,946.00 WITHHELD BY BSE, AS PER SEBI ORDER DATED 17/01/2007, TOGETHER WITH INTEREST AND PAY RS.99,03,451.00 TOWARDS SETTLEMENT CHARGES SEPERATELY, AS PER CONSENT ORDER DATED 20/04/2009
|
| 65 |
|
|
SANJAY RAMESHCHANDRA SHAH (HUF)
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
SETTLEMENT ( SETTLEMENT CHARGES RS.61,680, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.4,18,320 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
13-AUG-2008~
|
ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.418320 AGAINST NOTIONAL UNDUE GAIN AND SETTLEMENT CHARGES OF RS.61680 JOINTLY WITH RAMESH CHIMANLAL SHAH AND SANJAY R.SHAH AS PER CONSENT ORDER DATED 13/08/2008
|
| 66 |
|
|
SANJEEV RENIWAL (HUF)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.9,52,90,138, INTEREST RS.1,56,56,113 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
14-AUG-2008~
|
INTERIM EX-PARTE ORDER DATED 17/01/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.9,52,90,137.90 AS SETTLEMENT CHARGES ALONGWITH INTEREST ACCRUED THEREON JOINTLY WITH RAJEEV RENIWAL, HARIYANA SHIP BREAKERS LTD., SHANTI SARUP RENIWAL, SHANTI SARUP RENIWAL (HUF) AND INDUCTO STEELS LTD. AS PER CONSENT ORDER DATED 14/08/2008
|
| 67 |
|
|
SEER FINLEASE PVT.LTD.
|
|
|
|
DUSHYANT NATWARLAL DALAL
PAN:AAAPD5859Q
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
|
|
| 68 |
|
|
SHANTISARUP RENIWAL (HUF)
|
|
|
|
SHANTISARUP RENIWAL
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.9,52,90,138, INTEREST RS.1,56,56,113 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
14-AUG-2008~
|
INTERIM EX-PARTE ORDER DATED 17/01/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.9,52,90,137.90 AS SETTLEMENT CHARGES ALONGWITH INTEREST ACCRUED THEREON JOINTLY WITH RAJEEV RENIWAL, HARIYANA SHIP BREAKERS LTD., SANJEEV RENIWAL (HUF), SHANTI SARUP RENIWAL AND INDUCTO STEELS LTD. AS PER CONSENT ORDER DATED 14/08/2008
|
| 69 |
|
|
SUGANDH ESTATES & INVESTMENTS PVT.LTD.
(PAN:AACCS1085N)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF YES BANK LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-DEC-2005 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 15-DEC-2005 TILL FURTHER ORDERS
15-DEC-2005
|
|
| 70 |
|
|
SUGANDH ESTATES & INVESTMENTS PVT.LTD.
(PAN:AACCS1085N)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPOS OF VARIOUS COMPANIES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-MAR-2009 TO 28-FEB-2012
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 01-MAR-2009 TO 28-FEB-2012
27-APR-2006
SETTLEMENT ( SETTLEMENT CHARGES RS.1,80,00,000, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.24,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 01-MAR-2009 TO 28-FEB-2012
10-FEB-2009~
|
CONFIRMED INTERIM ORDER DATED APR. 27,2006
REVOKED DIRECTIONS ISSUED IN AD-INTERIM CONFIRMATORY ORDER DATED 09/05/2007. DIRECTED TO DISGORGE UNLAWFUL GAIN OF RS.24 LACS AND RS.180.00 LACS TOWARDS SETTLEMENT CHARGES AND UNDERGO VOLUNTARY DEBARMENT FOR 3 YEARS FROM 01/03/2009.DIRECTED NSDL TO PERMIT OPERATION OF DEMAT ACCOUNT FOR LIMITED PURPOSE OF SALE OF SPECIFIED SHARES. INSTRUCTED KARVY STOCKBROKING LTD. (DP) AND KHANDWALA INTEGRATED FINANCIAL SERVICES PVT.LTD. (STOCK BROKER) TO TAKE PRIOR CLEARANCE FROM NSDL AND AMOUNT OF SHARES SOLD SHOULD NOT EXCEED RS.2.04 CRORES. DIRECTED NSE TO PAY ENTIRE SALE PROCEEDS DIRECTLY TO SEBI WITHIN 7 DAYS. FURTHER DIRECTED TO COMPLETE SALE OF SHARES LATEST BY 20/02/2009
|
| 71 |
|
|
SUGANDH ESTATES & INVESTMENTS PVT.LTD.
(PAN:AACCS1085N)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF INFRASTRUCTURE DEVELOPMENT FINANCE CO.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-JAN-2006 TILL FURTHER ORDERS
12-JAN-2006
|
|
| 72 |
|
|
SUJAL LEASING & FINANCE PVT.LTD.
|
|
|
|
DUSHYANT NATWARLAL DALAL
PAN:AAAPD5859Q
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
|
|
| 73 |
|
|
TAURAS INFOSYS LTD.
|
|
|
|
DUSHYANT NATWARLAL DALAL
PAN:AAAPD5859Q
|
|
|
PULOMA DUSHYANT DALAL
PAN:AAEPD2909B
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
|
|
| 74 |
|
|
TRIVEDI VIJAY MAHIPATRAM (HUF)
(PAN:AACHT3689L)
(Along with : PANKAJ J.SHAH (HUF),
PINTU KACHARAJI TELI (HUF),
VANI DILIP SITARAM (HUF),
VIJAY MANGALDAS SHAH (HUF))
|
|
|
|
ANSOYABEN RAJENDRAKUMAR SHUKAL
PAN:BPPPS5842K
|
|
|
CHANDRESH KANAIYALAL BIJAVA
PAN:ALPPB2894R
|
|
|
CHHAYA RAKESH SABLE
PAN:BRBPS8409L
|
|
|
DAKSHABEN BANAVARILAL SHARMA
PAN:BPPPS5841L
|
|
|
DILIP SITARAM WANI
PAN:ABXPW6055B
|
|
|
GAWMATI MATHURBHAI PARMAR
PAN:AUBPP2964R
|
|
|
GEETABEN NAROTTAMBHAI PARMAR
PAN:AUBPP3076G
|
|
|
GITABEN VAHALABHAI JADAV
PAN:AIXPJ9862G
|
|
|
HANSABEN JAYESHKUMAR PARMAR
PAN:ATZPP4475C
|
|
|
HASUMATIBEN MANILAL PARMAR
PAN:AUBPP3083B
|
|
|
JOHNALI GULAMALI MOMIN
PAN:ARJPM1558K
|
|
|
KAMLABEN DHANSINGBHAI LODHA
PAN:ADMPL7536P
|
|
|
LEKHABEN DINESHBHAI SHAH
PAN:APCPS2087N
|
|
|
MAHERA JOHNALI MOMIN
PAN:ARJPM1559J
|
|
|
MANJULABEN CHANDRESHBHAI BIJAVA
PAN:AOIPB3569H
|
|
|
PARULBEN MANILAL PARMAR
PAN:ATZPP4014H
|
|
|
PINTU KACHARAJI TELI
PAN:ALZPT8200D
|
|
|
PREMLATA BHAGAVENDAS KOSHTI
PAN:AWYPK0197L
|
|
|
PUSHPABEN DILIPKUMAR VANI
PAN:AGJPV7559E
|
|
|
RINABEN PREMCHANDABHAI PARMAR
PAN:AUBPP3074E
|
|
|
SANGITABEN BHUPESHBHAI BHAVSAR
PAN:AOJPB6507Q
|
|
|
SHEELA ANJAY GUPTA
PAN:ALHPG9421D
|
|
|
SMITABEN BHARATBHAI KHAMBHATI
PAN:AKAPM2479D
|
|
|
SONALBEN NIMESHKUMAR RAVAL
PAN:AMAPR3470K
|
|
|
VIJAY MAHIPATRAY TRIVEDI
PAN:AGNPT7343N
|
|
INDULGED IN PROVIDING FUNDS TO OTHERS ENTITIES/PERSONS FOR CORNERING OF SHARES RESERVED FOR RETAIL INVESTORS IN IPOS OF L&T FINANCE HOLDINGS LTD., TREE HOUSE EDUCATION LTD. AND FUTURE VENTURES INDIA LTD.
|
IMPOSED PENALTY RS.20,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-AUG-2020
|
SAT: SAT VIDE ITS ORDER DATED 19/07/2021 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY TO RS.20 LAC FROM RS.35 LAC
SAT: SAT VIDE ITS ORDER DATED 05/10/2021 REJECTED MODIFICATION APPLICATION
|
| 75 |
|
|
VACUF LTD.
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.2,35,58,674 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
14-AUG-2008~
|
INTERIM EX-PARTE ORDER DATED 17/01/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.2,35,58,673.55 AS SETTLEMENT CHARGES ALONGWITH INTEREST ACCRUED THEREON JOINTLY WITH VENUS CAPITAL MANAGEMENT,INC. AND ITF MAURITIUS AS PER CONSENT ORDER DATED 14/08/2008
|
| 76 |
|
|
VANI DILIP SITARAM (HUF)
(PAN:AAHHV0378P)
(Along with : PANKAJ J.SHAH (HUF),
PINTU KACHARAJI TELI (HUF),
TRIVEDI VIJAY MAHIPATRAM (HUF),
VIJAY MANGALDAS SHAH (HUF))
|
|
|
|
ANSOYABEN RAJENDRAKUMAR SHUKAL
PAN:BPPPS5842K
|
|
|
CHANDRESH KANAIYALAL BIJAVA
PAN:ALPPB2894R
|
|
|
CHHAYA RAKESH SABLE
PAN:BRBPS8409L
|
|
|
DAKSHABEN BANAVARILAL SHARMA
PAN:BPPPS5841L
|
|
|
DILIP SITARAM WANI
PAN:ABXPW6055B
|
|
|
GAWMATI MATHURBHAI PARMAR
PAN:AUBPP2964R
|
|
|
GEETABEN NAROTTAMBHAI PARMAR
PAN:AUBPP3076G
|
|
|
GITABEN VAHALABHAI JADAV
PAN:AIXPJ9862G
|
|
|
HANSABEN JAYESHKUMAR PARMAR
PAN:ATZPP4475C
|
|
|
HASUMATIBEN MANILAL PARMAR
PAN:AUBPP3083B
|
|
|
JOHNALI GULAMALI MOMIN
PAN:ARJPM1558K
|
|
|
KAMLABEN DHANSINGBHAI LODHA
PAN:ADMPL7536P
|
|
|
LEKHABEN DINESHBHAI SHAH
PAN:APCPS2087N
|
|
|
MAHERA JOHNALI MOMIN
PAN:ARJPM1559J
|
|
|
MANJULABEN CHANDRESHBHAI BIJAVA
PAN:AOIPB3569H
|
|
|
PARULBEN MANILAL PARMAR
PAN:ATZPP4014H
|
|
|
PINTU KACHARAJI TELI
PAN:ALZPT8200D
|
|
|
PREMLATA BHAGAVENDAS KOSHTI
PAN:AWYPK0197L
|
|
|
PUSHPABEN DILIPKUMAR VANI
PAN:AGJPV7559E
|
|
|
RINABEN PREMCHANDABHAI PARMAR
PAN:AUBPP3074E
|
|
|
SANGITABEN BHUPESHBHAI BHAVSAR
PAN:AOJPB6507Q
|
|
|
SHEELA ANJAY GUPTA
PAN:ALHPG9421D
|
|
|
SMITABEN BHARATBHAI KHAMBHATI
PAN:AKAPM2479D
|
|
|
SONALBEN NIMESHKUMAR RAVAL
PAN:AMAPR3470K
|
|
|
VIJAY MAHIPATRAY TRIVEDI
PAN:AGNPT7343N
|
|
INDULGED IN PROVIDING FUNDS TO OTHERS ENTITIES/PERSONS FOR CORNERING OF SHARES RESERVED FOR RETAIL INVESTORS IN IPOS OF L&T FINANCE HOLDINGS LTD., TREE HOUSE EDUCATION LTD. AND FUTURE VENTURES INDIA LTD.
|
IMPOSED PENALTY RS.20,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-AUG-2020
|
SAT: SAT VIDE ITS ORDER DATED 19/07/2021 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY TO RS.20 LAC FROM RS.35 LAC
SAT: SAT VIDE ITS ORDER DATED 05/10/2021 REJECTED MODIFICATION APPLICATION
|
| 77 |
|
|
VENUS CAPITAL MANAGEMENT,INC.
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.2,35,58,674 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
14-AUG-2008~
|
INTERIM EX-PRATE ORDER DATED 17/01/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.2,35,58,673.55 AS SETTLEMENT CHARGES ALONGWITH INTEREST ACCRUED THEREON JOINTLY WITH ITF MAURITIUS AND VACUF LTD. AS PER CONSENT ORDER DATED 14/08/2008
|
| 78 |
|
|
VIJAY MANGALDAS SHAH (HUF)
(PAN:AAGHV9796J)
(Along with : PANKAJ J.SHAH (HUF),
PINTU KACHARAJI TELI (HUF),
VANI DILIP SITARAM (HUF),
TRIVEDI VIJAY MAHIPATRAM (HUF))
|
|
|
|
ANSOYABEN RAJENDRAKUMAR SHUKAL
PAN:BPPPS5842K
|
|
|
CHANDRESH KANAIYALAL BIJAVA
PAN:ALPPB2894R
|
|
|
CHHAYA RAKESH SABLE
PAN:BRBPS8409L
|
|
|
DAKSHABEN BANAVARILAL SHARMA
PAN:BPPPS5841L
|
|
|
DILIP SITARAM WANI
PAN:ABXPW6055B
|
|
|
GAWMATI MATHURBHAI PARMAR
PAN:AUBPP2964R
|
|
|
GEETABEN NAROTTAMBHAI PARMAR
PAN:AUBPP3076G
|
|
|
GITABEN VAHALABHAI JADAV
PAN:AIXPJ9862G
|
|
|
HANSABEN JAYESHKUMAR PARMAR
PAN:ATZPP4475C
|
|
|
HASUMATIBEN MANILAL PARMAR
PAN:AUBPP3083B
|
|
|
JOHNALI GULAMALI MOMIN
PAN:ARJPM1558K
|
|
|
KAMLABEN DHANSINGBHAI LODHA
PAN:ADMPL7536P
|
|
|
LEKHABEN DINESHBHAI SHAH
PAN:APCPS2087N
|
|
|
MAHERA JOHNALI MOMIN
PAN:ARJPM1559J
|
|
|
MANJULABEN CHANDRESHBHAI BIJAVA
PAN:AOIPB3569H
|
|
|
PARULBEN MANILAL PARMAR
PAN:ATZPP4014H
|
|
|
PINTU KACHARAJI TELI
PAN:ALZPT8200D
|
|
|
PREMLATA BHAGAVENDAS KOSHTI
PAN:AWYPK0197L
|
|
|
PUSHPABEN DILIPKUMAR VANI
PAN:AGJPV7559E
|
|
|
RINABEN PREMCHANDABHAI PARMAR
PAN:AUBPP3074E
|
|
|
SANGITABEN BHUPESHBHAI BHAVSAR
PAN:AOJPB6507Q
|
|
|
SHEELA ANJAY GUPTA
PAN:ALHPG9421D
|
|
|
SMITABEN BHARATBHAI KHAMBHATI
PAN:AKAPM2479D
|
|
|
SONALBEN NIMESHKUMAR RAVAL
PAN:AMAPR3470K
|
|
|
VIJAY MAHIPATRAY TRIVEDI
PAN:AGNPT7343N
|
|
INDULGED IN PROVIDING FUNDS TO OTHERS ENTITIES/PERSONS FOR CORNERING OF SHARES RESERVED FOR RETAIL INVESTORS IN IPOS OF L&T FINANCE HOLDINGS LTD., TREE HOUSE EDUCATION LTD. AND FUTURE VENTURES INDIA LTD.
|
IMPOSED PENALTY RS.20,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-AUG-2020
|
SAT: SAT VIDE ITS ORDER DATED 19/07/2021 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY TO RS.20 LAC FROM RS.35 LAC
SAT: SAT VIDE ITS ORDER DATED 05/10/2021 REJECTED MODIFICATION APPLICATION
|
| 79 |
|
|
VINOD MODHA (HUF)
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
SETTLEMENT ( SETTLEMENT CHARGES RS.9,83,573, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.25,16,427 VIDE CONSENT ORDER)
22-FEB-2010~
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AD INTERIM EX-PARTE ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.25,16,427 TOWARDS DISGORGEMENT (PAYABLE TO INVESTORS) AND RS.9,83,573 TOWARDS SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 22/02/2010
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WELVET FINANCIAL ADVISERS PVT.LTD.
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FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-DEC-2010 TO 19-JUN-2011
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 20-DEC-2010 TO 19-JUN-2011
27-APR-2006
SETTLEMENT ( SETTLEMENT CHARGES RS.1,72,20,811, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.85,60,406 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 20-DEC-2010 TO 19-JUN-2011
20-DEC-2010~
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AD INTERIM EX-PARTE ORDER DATED 27/04/2006 CONFIRMED AND DIRECTED THE NOTICEE NOT TO BUY, SELL OR DEAL IN SECURITIES INCLUDING IPOS, UNTIL FURTHER ORDERS.FURTHER DIRECTED TO ISSUE SHOW CAUSE NOTICE IF ANY, ARISING FROM THE INVESTIGATIONS AT THE EARLIEST, BUT NOT LATER THAN 15 DAYS FROM THE DATE OF THIS ORDER
INTERIM ORDER DATED 01/12/2008 REVOKED, AS APPLICANT AGREED TO PAY A TOTAL OF RS.2,57,81,217.00 (RS.1,71,20,811.00 TOWARDS DISGORGEMENT, RS.85,60,406.00 TOWARDS SETTLEMENT CHARGES AND RS.1,00,000 TOWARDS SETTLEMENT CHARGES FOR WITHDRAWING PROTEST PETITION) AND AGREED TO UNDERGO DEBARMENT FROM BUYING, SELLING OR OTHERWISE ACCESSING SECURITIES MARKET FOR A PERIOD OF SIX MONTHS FROM DATE OF ORDER, AS PER CONSENT ORDER
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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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