| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 61 |
|
ASHOK JAIN
|
|
|
|
PROFICIENT INFRA PVT.LTD.
|
|
|
PUSHPA DIAMOND PVT.LTD.
|
|
INDULGED IN CARRYING OUT SUSPICIOUS BANKING TRANSACTIONS AND APPEAR TO HAVE CHANNELED THESE FUNDS EITHER DIRECTLY OR INDIRECTLY IN STOCK MARKET IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-APR-2009 TILL FURTHER ORDERS
DIRECTED INCOME TAX DEPARTMENT TO TAKE NECESSARY ACTIONS IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
23-APR-2009
|
SEBI VIDE ITS ORDER DATED 31/03/2015 DISPOSED OFF THE PROCEEDINGS WITHOUT ANY FURTHER ORDERS, SINCE PROHIBITION AGAINST THE ENTITIES NEED NOT TO BE CONTINUED
|
| 62 |
|
|
ASHOK KUMAR MISHRA
|
|
|
|
UNIVERSAL MEDIA NETWORK LTD.
|
|
ISSUED MISLEADING ADVERTISEMENT OF ISSUE OF BONUS SHARES OF UNIVERSAL MEDIA NETWORK LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-OCT-2009 TO 30-SEP-2011
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-OCT-2009 TO 30-SEP-2011
01-OCT-2009
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
|
| 63 |
|
|
ASHOK MARWAH
(PAN:AGAPM9028L)
|
|
|
|
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
|
|
| 64 |
|
|
ASHOK PHOOLCHAND JAIN
|
|
|
INDULGED IN ISSUANCE OF FRAUDULENT ANNOUNCEMENTS IN MATTER OF TRIPEX OVERSEAS LTD.
|
IMPOSED PENALTY RS.5,00,000
06-DEC-2010
|
|
| 65 |
|
|
ASHOK RAMSWAROOP BHANWARLAL PANCHARIYA
(PAN:AEVPP6124P)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA INDIA LTD.
INDULGED IN ISSUANCE OF MISLEADING/PREMATURE CORPORATE ANNOUNCEMENTS IN MATTER OF ALKA INDIA LTD.
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
13-NOV-2009
|
SAT: IMPUGNED ORDER DATED 13/11/2009 UPHELD, VIDE ORDER DATED 06/05/2010. NO ORDER AS TO COSTS
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 66 |
|
|
ASHOK RATAN SONI
|
|
|
|
KUNAL GEMS
|
|
INDULGED IN CARRYING OUT SUSPICIOUS BANKING TRANSACTIONS AND APPEAR TO HAVE CHANNELED THESE FUNDS EITHER DIRECTLY OR INDIRECTLY IN STOCK MARKET IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-APR-2009 TILL FURTHER ORDERS
DIRECTED INCOME TAX DEPARTMENT TO TAKE NECESSARY ACTIONS IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
23-APR-2009
|
SEBI VIDE ITS ORDER DATED 31/03/2015 DISPOSED OFF THE PROCEEDINGS WITHOUT ANY FURTHER ORDERS, SINCE PROHIBITION AGAINST THE ENTITIES NEED NOT TO BE CONTINUED
|
| 67 |
|
|
ASHOK SHRISHRIMAL
|
|
|
|
SHREE EXPORT
|
|
INDULGED IN CARRYING OUT SUSPICIOUS BANKING TRANSACTIONS AND APPEAR TO HAVE CHANNELED THESE FUNDS EITHER DIRECTLY OR INDIRECTLY IN STOCK MARKET IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-APR-2009 TILL FURTHER ORDERS
DIRECTED INCOME TAX DEPARTMENT TO TAKE NECESSARY ACTIONS IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
23-APR-2009
|
SEBI VIDE ITS ORDER DATED 31/03/2015 DISPOSED OFF THE PROCEEDINGS WITHOUT ANY FURTHER ORDERS, SINCE PROHIBITION AGAINST THE ENTITIES NEED NOT TO BE CONTINUED
|
| 68 |
|
|
ASHUTOSH BAJPAYE
|
|
|
|
STOCKNET INTERNATIONAL LTD.
|
|
ISSUED MISLEADING PRICE SENSITIVE ANNOUNCEMENTS/STATEMENTS REGARDING TIE-UP WITH ARTILLIGENCE INC. AND DECLARATION OF INTERIM DIVIDEND IN MATTER OF STOCKNET INTERNATIONAL LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-JUL-2009 TO 26-JAN-2010
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-JUL-2009 TO 26-JAN-2010
27-JUL-2009
|
|
| 69 |
|
|
ASHWIN PATEL
|
|
|
|
MAHALAXMI CORP.
|
|
INDULGED IN CARRYING OUT SUSPICIOUS BANKING TRANSACTIONS AND APPEAR TO HAVE CHANNELED THESE FUNDS EITHER DIRECTLY OR INDIRECTLY IN STOCK MARKET IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-APR-2009 TILL FURTHER ORDERS
DIRECTED INCOME TAX DEPARTMENT TO TAKE NECESSARY ACTIONS IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
23-APR-2009
|
SEBI VIDE ITS ORDER DATED 31/03/2015 DISPOSED OFF THE PROCEEDINGS WITHOUT ANY FURTHER ORDERS, SINCE PROHIBITION AGAINST THE ENTITIES NEED NOT TO BE CONTINUED
|
| 70 |
|
|
ASHWINBHAI BABARBHAI PATEL
|
|
|
|
KASTBHANJANDEV DEVELOPERS
|
|
INDULGED IN CARRYING OUT SUSPICIOUS BANKING TRANSACTIONS AND APPEAR TO HAVE CHANNELED THESE FUNDS EITHER DIRECTLY OR INDIRECTLY IN STOCK MARKET IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-APR-2009 TILL FURTHER ORDERS
DIRECTED INCOME TAX DEPARTMENT TO TAKE NECESSARY ACTIONS IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
23-APR-2009
|
AD-INTERIM EX-PARTE ORDER DATED 23/04/2009 CONFIRMED VIDE ORDER DATED 12/01/2010
SEBI VIDE ITS ORDER DATED 31/03/2015 DISPOSED OFF THE PROCEEDINGS WITHOUT ANY FURTHER ORDERS, SINCE PROHIBITION AGAINST THE ENTITIES NEED NOT TO BE CONTINUED
|
| 71 |
|
|
ASPI B.BHESANIA
|
|
|
|
KOLAR BIOTECH LTD.
|
|
ISSUED MISLEADING ADVERTISEMENT REGARDING BONUS ISSUE OF SHARES AND ISSUE OF GDR OF KOLAR BIOTECH LTD.
|
IMPOSED PENALTY RS.25,00,000
11-FEB-2010
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 11/02/2010 SET ASIDE AND REMITTED CASE BACK TO AO TO PROCEED IN MATTER IN ACCORDANCE WITH LAW AND APPELLANT TO FILE HIS REPLY BEFORE AO ON OR BEFORE 01/08/2010. NO ORDER AS TO COSTS
INCLUDED IN SEBI LIST DATED 30/06/2012, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 72 |
|
|
ASPI B.BHESANIA
|
|
|
|
ADAM COMSOF LTD.
|
|
|
ADAM COMSOF LTD.
|
|
|
ADSUL TRADING PVT.LTD.
|
|
|
CAVALIER SECURITIES LIMITED
PAN:AAACC6370Q
|
|
|
GLORIOUS INVESTRADE PVT.LTD.
|
|
|
JUGNU SECURITIES PVT.LTD.
|
|
|
KOLAR BIOTECH LTD.
|
|
|
KOLAR SHAREX PVT.LTD.
PAN:AAACK6474D
(Member : BSE)
|
|
|
MASTERMIND MERCANTILE CO-OP.LTD.
|
|
|
MILLION INVESTRADE LTD.
|
|
|
SANGAM INFOTECH PVT.LTD.
PAN:AAGCS2995F
|
|
|
STRUCTURE HOUSING & FINANCE PVT.LTD.
|
|
INDULGED IN DISSEMINATION OF MISLEADING INFORMATION LEADING TO PRICE MANIPULATION IN THE SCRIP OF KOLAR BIOTECH LTD., SOUNDCRAFT INDUSTRIES LTD. & ADAM COMSOF LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-SEP-2004 TILL INVESTIGATIONS COMPLETED
30-SEP-2004
|
|
| 73 |
|
|
ASPI B.BHESANIA
|
|
|
|
ADAM COMSOF LTD.
|
|
|
ADAM COMSOF LTD.
|
|
|
ADSUL TRADING PVT.LTD.
|
|
|
CAVALIER SECURITIES LIMITED
PAN:AAACC6370Q
|
|
|
GLORIOUS INVESTRADE PVT.LTD.
|
|
|
JUGNU SECURITIES PVT.LTD.
|
|
|
KOLAR BIOTECH LTD.
|
|
|
KOLAR SHAREX PVT.LTD.
PAN:AAACK6474D
(Member : BSE)
|
|
|
MASTERMIND MERCANTILE CO-OP.LTD.
|
|
|
MILLION INVESTRADE LTD.
|
|
|
SANGAM INFOTECH PVT.LTD.
PAN:AAGCS2995F
|
|
|
STRUCTURE HOUSING & FINANCE PVT.LTD.
|
|
INDULGED IN DISSEMINATION OF MISLEADING INFORMATION LEADING TO PRICE MANIPULATION IN THE SCRIP OF KOLAR BIOTECH LTD., SOUNDCRAFT INDUSTRIES LTD. & ADAM COMSOF LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-SEP-2004 TILL INVESTIGATIONS COMPLETED
30-SEP-2004
|
|
| 74 |
|
|
ATULBHAI HIRALAL SHAH
(PAN:ALJPS4966M)
|
|
|
|
CHARMI INVESTMENTS
|
|
INDULGED IN ISSUANCE OF PUBLICATION/REPORT OF FALSE INFORMATION THROUGH FALSE AND MISLEADING DISCLOSURES/ANNOUNCEMENTS IN MATTER OF ADITYA INFOSOFT LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 26-AUG-2013 TO 25-AUG-2016
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 26-AUG-2013 TO 25-AUG-2016
26-AUG-2013
|
|
| 75 |
|
|
AUSHIM KHETRAPAL
(PAN:ANZPK1199C)
|
|
|
|
DIVINE ENTERTAINMENT LTD.
PAN:AAACD6670J
|
|
|
ORIENT TRADELINK LTD.
PAN:AAACO5359B
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(4) AND 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ORIENT TRADELINK LTD.
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 10 AND 12 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ORIENT TRADELINK LTD.
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF ORIENT TRADELINK LTD.
ALLEGED INDULGENCE IN ISSUANCE OF FALSE/MISLEADING PRESS RELEASES IN MATTER OF DIVINE ENTERTAINMENT LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000 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 23-JUL-2013 TO 22-JUL-2017
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO MAKE AN OPEN OFFER TO SHAREHOLDERS OF ORIENT TRADELINK LTD. AND DIVINE ENTERTAINMENT LTD.)
23-JUL-2013
|
SAT: SAT VIDE ITS ORDER DATED 30/11/2023 DISMISSED THE APPEAL
|
| 76 |
|
|
AVICHAL SONI
|
|
|
|
RAJ TRADERS
|
|
INDULGED IN CARRYING OUT SUSPICIOUS BANKING TRANSACTIONS AND APPEAR TO HAVE CHANNELED THESE FUNDS EITHER DIRECTLY OR INDIRECTLY IN STOCK MARKET IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-APR-2009 TILL FURTHER ORDERS
DIRECTED INCOME TAX DEPARTMENT TO TAKE NECESSARY ACTIONS IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
23-APR-2009
|
SEBI VIDE ITS ORDER DATED 31/03/2015 DISPOSED OFF THE PROCEEDINGS WITHOUT ANY FURTHER ORDERS, SINCE PROHIBITION AGAINST THE ENTITIES NEED NOT TO BE CONTINUED
|
| 77 |
|
|
AVINASH KUMAR AGARWAL
(PAN:ALQPA4274P)
|
|
|
|
URJA GLOBAL LTD.
PAN:AAACC0367M
|
|
ISSUED FALSE AND MISLEADING CORPORATE ANNOUNCEMENTS IN MATTER OF URJA GLOBAL LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-MAY-2022 TO 12-MAY-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-MAY-2022 TO 12-MAY-2024
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 13-MAY-2022 TO 12-MAY-2024
13-MAY-2022
|
SAT: SAT VIDE ITS ORDER DATED 04/01/2023 DISMISSED THE APPEAL
|
| 78 |
|
|
AVINASH TRIMAKE
|
|
|
|
NEW WAVE MERCANTILE CO.
|
|
INDULGED IN CARRYING OUT SUSPICIOUS BANKING TRANSACTIONS AND APPEAR TO HAVE CHANNELED THESE FUNDS EITHER DIRECTLY OR INDIRECTLY IN STOCK MARKET IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-APR-2009 TILL FURTHER ORDERS
DIRECTED INCOME TAX DEPARTMENT TO TAKE NECESSARY ACTIONS IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
23-APR-2009
|
SEBI VIDE ITS ORDER DATED 31/03/2015 DISPOSED OFF THE PROCEEDINGS WITHOUT ANY FURTHER ORDERS, SINCE PROHIBITION AGAINST THE ENTITIES NEED NOT TO BE CONTINUED
|
| 79 |
|
|
B.R.SHARMA
|
|
|
|
E.STAR INFOTECH LTD.
|
|
ISSUED MISLEADING ADVERTISEMENT OF ANNOUNCEMENT OF BONUS ISSUE OF SHARES OF E-STAR INFOTECH LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-FEB-2008 TO 12-FEB-2010
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-FEB-2008 TO 12-FEB-2010
13-FEB-2008
|
|
| 80 |
|
|
B.RAMA RAJU
(PAN:ACEPB2813Q)
|
|
|
|
SATYAM COMPUTER SERVICES LTD.
|
|
MISLED INVESTORS THROUGH ISSUANCE OF BONUS SHARES AND AMERICAN DEPOSITORY SHARES (ADS) AND BY GIVING MISLEADING ANNOUNCEMENTS OF BUY BACK OF SHARES IN MATTER OF SATYAM COMPUTER SERVICES LTD.
SOLD AND PLEDGED SHARES WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3 AND 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 AND SECTION 12A (D) & (E) OF SEBI ACT, 1992 IN MATTER OF SATYAM COMPUTER SERVICES LTD.
DID NOT ADHERE TO PRINCIPLES OF CORPORATE GOVERNANCE IN GENERAL AND OBLIGATION OF CEO/CFO CERTIFICATION STIPULATED IN CLAUSE 49 OF THE LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-JUL-2014 TO 14-JUL-2028
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-JUL-2014 TO 14-JUL-2028
DIRECTED TO DISGORGE UNLAWFUL GAINS ALONGWITH INTEREST @12% PER ANNUM FROM JANUARY 07, 2009 TILL THE DATE OF PAYMENT
15-JUL-2014
|
SAT: SAT VIDE ITS ORDER DATED 12/05/2017 SET ASIDED IMPUGNED ORDER DATED 15/07/2014 TO THE EXTENT IT RELATED TO THE PERIOD FOR WHICH THE APPELALANTS WERE RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND THE ILLEGAL GAIN DIRECTED TO BE DISGORGED BY THE APPLLANTS AND REMANDED THE MATTER TO FILE OF WTM OF SEBI TO PASS FRESH ORDER ON MERITS AND IN ACCORDANCE WITH LAW. FURTHER, DIRECTED THAT THE APPELLANTS SHALL NOT ACCESS THE SECURITIES MARKET AND SHALL NOT BUY, SELL OR OTHERWISE DEAL IN SECURITIES, DIRECTLY OR INDIRECTLY TILL FRESH ORDER IS PASSED BY WTM OF SEBI ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 21/08/2017 TIME TO PASS THE ORDER BY SEBI IS EXTENDED BY FOUR MONTHS FROM 11/08/2017. MISC.APPLICATION DISPOSED OFF ACCORDINGLY
|
| 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 43
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