| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 61 |
|
ANUSHREE TRADELINK PVT.LTD.
(PAN:AADCA9333L)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUBH LAXMI PROJECTS LTD.
DID NOT FURNISH COMPLETE DETAILS TO SEBI OF TRANSACTIONS IN SCRIP OF SUBH LAXMI PROJECTS LTD.
|
IMPOSED PENALTY RS.75,00,000
27-FEB-2009
|
|
| 62 |
|
|
ANUSHREE TRADELINK PVT.LTD.
(PAN:AADCA9333L)
|
|
|
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF BACCHHAT INVESTMENT & FINANCE LTD.
|
IMPOSED PENALTY RS.3,00,000
15-OCT-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 63 |
|
|
ANUSHREE TRADELINK PVT.LTD.
(PAN:AADCA9333L)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF AMLUCKIE INVESTMENT CO.LTD.
|
IMPOSED PENALTY RS.2,00,000
26-OCT-2010
|
SEBI VIDE ITS NOTICE DATED 19/08/2015 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
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 64 |
|
|
ANUSHREE TRADELINK PVT.LTD.
(PAN:AADCA9333L)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF SANGOTRI CONSTRUCTIONS LTD.
|
IMPOSED PENALTY RS.5,00,000
20-JUN-2011
|
SEBI VIDE ITS NOTICE DATED 30/07/2015 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 24/01/2023 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 30/07/2015
|
| 65 |
|
|
ANUSHREE TRADELINK PVT.LTD.
(PAN:AADCA9333L)
|
|
|
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF NAGESHWAR INVESTMENT LTD.
|
IMPOSED PENALTY RS.3,00,000
02-JUL-2009
|
SEBI VIDE ITS NOTICE DATED 30/07/2015 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
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 66 |
|
|
APLAYA CREATIONS LTD.
(PAN:AAACG1479J)
|
|
|
|
PRAMOD KUMAR GUPTA
PAN:ABRPG4589Q
|
|
|
RAMAWTAR GUPTA
PAN:AGEPG2765Q
|
|
DID NOT UTILIZE THE FUNDS AS STATED IN OBJECTS AND DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES VIOLATING CLAUSES 43 OF LISTING AGREEMENT READ WITH REGULATION 32 OF SEBI (LODR) REGULATIONS, 2015
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
|
IMPOSED PENALTY RS.11,00,000
27-OCT-2020
|
SEBI VIDE ITS NOTICE DATED 17/08/2021 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
SEBI VIDE ITS ORDER DATED 02/09/2021 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNT OF APLAYA CREATIONS LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 67 |
|
|
APNAPAN VAYPAR PVT.LTD.
|
|
|
DID NOT PROVIDE INFORMATION TO SEBI
MANIPULATED PRICE IN SCRIP OF SHARADRAJ TRADE FIN LTD.
|
IMPOSED PENALTY RS.25,000
31-MAY-2007
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 68 |
|
|
APNAPAN VAYPAR PVT.LTD.
|
|
|
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF PATRIOT TRADING CO.LTD.
|
IMPOSED PENALTY RS.1,00,000
13-APR-2009
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 69 |
|
|
ARMA FINANCIAL SERVICES LTD.
(PAN:AAACA7464K)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF AGNITE EDUCATION LTD. (FORMERLY KNOWN AS TELEDATA INFORMATICS LTD.)
|
IMPOSED PENALTY RS.2,00,000
26-MAY-2017
|
|
| 70 |
|
|
ARSS INFRASTRUCTURE PROJECTS LTD.
(CIN:L14103OR2000PLC006230
PAN:AADCA4203D)
|
|
|
|
RAJESH AGRAWAL
PAN:ACEPA5209R
|
|
|
SOUMENDRA KESHARI PATTANAIK
PAN:AFNPP7713B
|
|
|
SUBASH AGARWAL
PAN:AATPA3716A
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF ARSS INFRASTRUCTURE PROJECTS LTD. AND SUBSIDIARIES VIOLATING SECTIONS 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 ARSS INFRASTRUCTURE PROJECTS LTD.
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS
DID NOT MAKE DISCLOSURE OF RELATIONSHIP BETWEEN DIRECTORS
DID NOT PLACE INFORMATION OF ANNUAL OPERATING PLANS AND CAPITAL BUDGETS BEFORE BOARD OF DIRECTORS
DID NOT LAY DOWN PROCEDURES TO INFORM BOARD OF DIRECTORS ABOUT RISK ASSESSMENT AND MINIMIZATION PROCEDURES
OVERSTATED REVENUE AND SUB-CONTRACTING EXPENSES
DISCREPANCIES AND INCONSISTENCIES IN ACCOUNTING AND FINANCIAL DATA AND WITHIN TALLY DATA
DID NOT PROVIDE INTEREST ON OUTSTANDING BANK BORROWINGS AND INCOMPLETE DISCLOSURE OF FIRE INCIDENT
MADE MISREPRESENTATION IN FINANCIAL STATEMENTS AND ANNUAL REPORT VIOLATING REGULATION 4(1)(C) OF SEBI (LODR) REGULATIONS, 2015
MISREPRESENTED ACCOUNTING STANDARD AND FINANCIAL DISCLOSURE VIOLATING REGULATION 33(2) (A) OF SEBI (LODR) REGULATIONS, 2015
DID NOT FURNISH INFORMATION AND DID NOT COOPERATE WITH FORENSIC AUDITOR
|
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 25-NOV-2021 TO 24-NOV-2022
IMPOSED PENALTY RS.25,00,000
25-NOV-2021
|
SAT: SAT VIDE ITS ORDER DATED 02/05/2022 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 30/06/2022 ALLOWED APPELLANTS FURTHER THREE WEEKS TO FILE REJOINDER
|
| 71 |
|
|
ASAHI INFRASTRUCTURE & PROJECTS LTD.
(PAN:AAACA8777F)
|
|
|
INDULGED IN FINANCING OF OWN GDR ISSUE AND MISLED INVESTORS BY MAKING FALSE DISCLOSURES TO SEBI VIOLATING SECTION 77(2) READ WITH 77(4) OF THE COMPANIES ACT, 1956
INDULGED IN FINANCING OF OWN GDR ISSUE AND MISLED INVESTORS BY MAKING FALSE DISCLOSURES TO SEBI VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT. READ WITH REGULATIONS 3(B) TO 3(D) & 4(2)(C), 4(2)(F), 4(2)(K) AND 4(2)(R) OF PFUTP REGULATIONS, 2003 IN MATTER OF GDR ISSUES OF ASAHI INFRASTRUCTURE & PROJECTS LTD.
DID NOT PROVIDE CORRECT INFORMATION AND CONCEALED MATERIAL INFORMATION FROM SEBI IN MATTER OF GDR ISSUES OF ASAHI INFRASTRUCTURE & PROJECTS LTD.
|
DIRECTED NOT TO ISSUE EQUITY SHARES OR ANY OTHER INSTRUMENT CONVERTIBLE INTO EQUITY SHARE OR ANY OTHER SECURITY FROM 05-SEP-2017 TO 20-SEP-2021
05-SEP-2017
|
|
| 72 |
|
|
ASAHI INFRASTRUCTURE & PROJECTS LTD.
(PAN:AAACA8777F)
|
|
|
|
LAXMINARAYAN JAINARAYAN RATHI
PAN:ABDPR9730L
|
|
DID NOT PROVIDE CORRECT INFORMATION AND CONCEALED MATERIAL INFORMATION FROM SEBI IN MATTER OF GDR ISSUES OF ASAHI INFRASTRUCTURE & PROJECTS LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
26-MAY-2020
|
SEBI VIDE ITS NOTICE DATED 03/12/2021 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 31/03/2022 DIRECTED ALL THE BANKS TO REMIT RS.11,83,099.27 TO THE EXTENT LYING IN THE ACCOUNT OF ASAHI INFRASTRUCTURE & PROJECTS LTD. & MR.LAXMINARAYAN JAINARAYAN RATHI TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 73 |
|
|
ASHI FORGE PVT.LTD.
|
|
|
|
GOPI CHAND BANSHAL
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF G.R.INDUSTRIES & FINANCE LTD.
|
IMPOSED PENALTY RS.2,00,000
28-MAR-2011
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 74 |
|
|
ASHI FORGE PVT.LTD.
|
|
|
|
RAJENDRA BUBNA
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF G.R.INDUSTRIES & FINANCE LTD.
|
IMPOSED PENALTY RS.2,00,000
28-MAR-2011
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 75 |
|
|
ASHI FORGE PVT.LTD.
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS/CROSS DEALS IN SCRIP OF TWENTY FIRST CENTURY (INDIA) LTD.
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF TWENTY FIRST CENTURY (INDIA) LTD.
|
IMPOSED PENALTY RS.3,00,000
23-SEP-2009
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 76 |
|
|
ASIA TEXX ENTERPRISES LTD.
|
|
|
DID NOT MAKE DISLOSURE OF RELATED PARTY TRANSACTION TO SEBI IN MATTER OF ISSUANCE OF GDRS OF CALS REFINERIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-DEC-2014 TO 30-DEC-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2014 TO 30-DEC-2024
DIRECTED NOT TO DEAL IN SECURITIES OR INSTRUMENT WITH INDIAN SECURITIES AS UNDERLYING, IN ANY MANNER WHATSOEVER FROM 31-DEC-2014 TO 30-DEC-2024
DIRECTED TO DISGORGE RS.5,82,64,79,600 ALONG WITH OTHER ENTITIES/PERSONS
31-DEC-2014
|
SAT: SAT VIDE ITS ORDER DATED 12/07/2019 UPHELD IMPUGNED ORDER DATED 31/12/2014 AND DISMISSED BOTH THE APPEALS. NO COSTS. DIRECTED APPELLANTS TO JOINTLY AND SEVERALLY PAY SEBI US$ 92 MILLION ALONGWITH SIMPLE INTEREST @ 6% PA. FROM 27/03/2019 TILL DATE OF PAYMENT WITHIN 30 DAYS FROM DATE OF THIS ORDER
SEBI VIDE ITS NOTICE DATED 05/11/2019 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
|
| 77 |
|
|
ASIAN FILMS PRODUCTION & DISTRIBUTION LTD.
(CIN:L92410GJ1995PLC028341
PAN:AAACT5649P)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF K.C.BOKADIA FILMS LTD.
|
IMPOSED PENALTY RS.10,00,000
28-OCT-2010
|
SAT: APPEAL FAILED AND DISMISSED. NO COSTS
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 78 |
|
|
ASTROL DEALCOM PVT.LTD.
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH IRREGULAR TRANSACTIONS IN SCRIP OF SAUMYA CONSULTANTS LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF SAUMYA CONSULTANTS LTD.
|
IMPOSED PENALTY RS.14,00,000
28-FEB-2011
|
SAT: ORDER DATED 28/02/2011 MODIFIED BY REDUCING PENALTY AMOUNT TO RS.4,00,000 FROM RS.14,00,000 WITH NO ORDER AS TO COSTS
INCLUDED IN SEBI LIST DATED 30/09/2011, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 79 |
|
|
AURELIAN SUPPLIERS PVT.LTD.
(PAN:AAKCA7459G)
|
|
|
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF DELTA LEASING & FINANCE LTD.
DELAY IN SETTLING TRANSACTIONS IN RESPECT OF SALE OF SHARES VIOLATING SECTIONS 13, 16 AND 18 OF SC(R)A READ WITH SEBI NOTIFICATION G.S.R.219(E) DATED 02/03/2000 & SEBI NOTIFICATION NO.LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013 IN MATTER OF DELTA LEASING & FINANCE LTD.
|
IMPOSED PENALTY RS.1,50,000
18-OCT-2022
|
SEBI VIDE ITS NOTICE DATED 18/05/2023 DIRECTED TO PAY RS.1,63,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 14/06/2023 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
|
| 80 |
|
|
AUTO INVESTMENT PVT.LTD.
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
|
IMPOSED PENALTY RS.75,00,000
09-AUG-2004
|
SAT: ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.15,000 FROM RS.75,00,000
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 4 of 43
|
