| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 61 |
|
AAKANSHA ADVISORY SEVICES PVT.LTD.
(PAN:AACCA5459J)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
17-MAY-2019
|
|
| 62 |
|
|
AAKANSHA COMMERCE PVT.LTD.
(PAN:AACCA0968Q)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 63 |
|
|
AAKANSHA TREXIM PVT.LTD.
(PAN:AACCA3894K)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,20,000, LEGAL EXPENSES RS.13,570 VIDE CONSENT ORDER)
19-AUG-2024
|
|
| 64 |
|
|
AAKANSHA TREXIM PVT.LTD.
(PAN:AACCA3894K)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
21-AUG-2023
|
SAT: SAT VIDE ITS ORDER DATED 10/05/2024 CONDONED THE DELAY OF 189 DAYS IN FILING OF APPEAL. APPEAL DISMISSED WITH LIBERTY TO APPROACH THE SEBI TO SEEK RELIEF UNDER THE SETTLEMENT SCHEME
|
| 65 |
|
|
AAKARSH ASAWA BENIFICIARY TRUST
(PAN:AACTA0633M)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 66 |
|
|
AAKARSHAN DEALERS PVT.LTD.
(PAN:AAJCA4948F)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,20,000, LEGAL EXPENSES RS.13,570 VIDE CONSENT ORDER)
19-AUG-2024
|
|
| 67 |
|
|
AAKARSHAN VINIMAY PVT.LTD.
(PAN:AAHCA8203B)
(Along with : BRILLIANT CREDIT & FINANCE PVT.LTD.)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( CONSENT ORDER)
19-AUG-2024
|
|
| 68 |
|
|
AAKASH SHAH (HUF)
(PAN:AALHA9452K)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 69 |
|
|
AANCHAL JHUNJHUNWALABENEFICIAL TRUST
(PAN:AAETA6125C)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 70 |
|
|
AANUP J.AGARWAL (HUF)
(PAN:AAEHA5480J)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,20,000 VIDE CONSENT ORDER)
19-AUG-2024
|
|
| 71 |
|
|
AANYA DEVELOPERS PVT.LTD.
(PAN:AAHCA0828Q)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
31-JAN-2022
|
SAT: SAT VIDE ITS ORDER DATED 30/09/2022 DISPOSED OF THE APPEAL DIRECTING APPELLANT TO FILE APPROPRIATE APPLICATION FOR SETTLEMENT BEFORE THE AUTHORITY WITHIN TWO WEEKS FROM DATE OF THIS ORDER
|
| 72 |
|
|
AANYA DEVELOPERS PVT.LTD.
(PAN:AAHCA0828Q)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 73 |
|
|
AANYA JAIN BENEFIT TRUST
(PAN:AAETA1682N)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 74 |
|
|
AANYA SOLAR & WIND POWER PVT.LTD.
(PAN:AAICA5103H)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 75 |
|
|
AARB CAPITAL
(PAN:AADPB9990K)
|
|
|
INDULGED IN FRAUDULENT AND MANIPULATIVE SCHEME, DEVICE, ARTIFICE PERPETRATED BY KASSA FINVEST LTD. AND ITS DIRECTORS/PROMOTERS/EMPLOYEES IN VIOLATION OF REGULATIONS 3(A), (C), (D) AND 4(1) OF PFUTP REGULATIONS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-SEP-2017 TO 04-SEP-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-SEP-2017 TO 04-SEP-2027
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 TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED TO REPAY/REFUND TO INVESTORS / CLIENTS MONEY WITH INTEREST @15% P.A. FROM THE DATE OF REPAYMENT DUE TILL THE DATE OF ACTUAL PAYMENT
05-SEP-2017
|
SEBI VIDE ITS ORDER DATED 05/09/2017 DIRECTED TO 1) PROHIBITED FROM ACCESSING THE SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR DEALING IN SECURITIES, EITHER DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER, FOR A PERIOD OF TEN YEARS FROM THE DATE OF THIS ORDER 2) REPAY/REFUND THE INVESTORS/CLIENT’S MONEY WITH AN INTEREST OF 15% P.A. FROM THE DATE WHEN THE REPAYMENT BECAME DUE TILL THE DATE OF ACTUAL PAYMENT. THE PAYMENTS TO THE INVESTORS/CLIENTS IN RESPECT OF THE TRANSACTIONS EXECUTED THROUGH STOCK EXCHANGES SHALL BE MADE IN-COORDINATION WITH NSE AND BSE, AFTER TAKING INTO ACCOUNT THE PAYMENTS MADE BY SAID EXCHANGES TO THE INVESTORS/CLIENTS OF KASSA FINVEST OUT OF THE IPF ACCOUNT OF THE EXCHANGES 3) NOT TO DISPOSE OFF OR ALIENATE ANY ASSETS, WHETHER MOVABLE OR IMMOVABLE, OR CREATE ANY INTEREST OR CHARGE IN ANY SUCH ASSETS. PERMITTED TO SELL THEIR ASSETS FOR THE SOLE PURPOSE OF MAKING REPAYMENTS TO INVESTORS AND DEPOSIT THE PROCEEDS IN AN ESCROW ACCOUNT OPNED WITH A NATIONALIZED BANK. MONEY DEPOSITED IN THE ESCROW ACCOUNT HAS TO BE DISBURSED TO THE CLIENTS/INVESTORS ONLY IN COORDINATION WITH NSE AND BSE. UPTO THE EXTENT OF TOTAL MONEY DISBURSED BY THE EXCHANGES OUT OF THEIR IPF ACCOUNTS TO THE CLIENTS/INVESTORS OF KASSA FINVEST 5) DIRECTED TO PROVIDE FULL INVENTORY OF ALL THEIR ASSETS AND PROPERTIES AND DETAILS OF THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, IF HELD IN PHYSICAL SHARES
SEBI VIDE ITS NOTICE DATED 14/01/2019 DIRECTED ALL THE BANKS AND MUTUAL FUNDS 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
|
| 76 |
|
|
AARDEE MULTITRADE PVT.LTD.
(PAN:AAGCA2607J)
(Along with : RCD MULTITRADE PVT.LTD.)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( CONSENT ORDER)
19-AUG-2024
|
|
| 77 |
|
|
AARKAY TIE-UP PVT.LTD.
(PAN:AAECA0430F)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 78 |
|
|
AAROHI FINSTOCK PVT.LTD.
(PAN:AAACA5893L)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 79 |
|
|
AARTI SPONGE & POWER LTD.
(PAN:AAECA7235N)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.28,67,500 VIDE CONSENT ORDER)
14-JAN-2021
|
|
| 80 |
|
|
AARUSHI CONSULTANCY
|
|
|
|
MAHESHKUMAR HARIBHAI PATEL
|
|
ACTED IN CONCERT TO CREATE ARTIFICIAL MARKET/PRICE RISING/DEPRESSING PRICE THROUGH TRANSACTIONS WHICH WERE NOT GENUINE IN NATURE AND WITHOUT TRANSFERRING BENEFICIAL OWNERSHIP IN SCRIP OF SWORD AND SHIELD PHARMA LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 04-DEC-2006 TO 03-DEC-2008
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-DEC-2006 TO 03-DEC-2008
04-DEC-2006
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 4 of 594
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