SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE � PRESS RELEASES/ CHAIRMAN�S AND MEMBER�S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
UPDATED TILL : 03-JUL-2025

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

PERSONS: VIOLATED SEBI ACT, 1992

S.No.

PERSON

ENTITY

REGULATORY CHARGES

REGULATORY ACTION(S) / DATE OF ORDER

FURTHER DEVELOPMENTS

ARVIND MOHAN JOHARI

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CENTURY CONSULTANTS LTD.

CYBERSPACE LTD.

VIOLATED SEBI (PFUTP) REGULATIONS, 1995

VIOLATED REGULATION 7 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 11 (3) OF SEBI ACT, 1992

PROSECUTION LAUNCHED

15-MAY-2006

ARVIND VASWANI

BONANZA BIOTECH LTD.

FAILED TO PAY PENALTY

VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992

VIOLATED REGULATION 3 OF SEBI (PFUTP) REGULATIONS, 1995

VIOLATED REGULATIONS 4 (A) TO (D) OF SEBI (PFUTP) REGULATIONS, 1995

PROSECUTION LAUNCHED

15-MAY-2006

CASE DISMISSED BY COURT. IN REVISION FILED BY SEBI, THE CASE AGAINST ACCUSED NO. 1, 2 AND OTHER DIRECTORS OF ACCUSED NO. 1 WERE COMPOUNDED ON PAYMENT OF RS. 7,75,000/- AND CASE AGAINST ACCUSED NO. 3 TO 9 PENDING IN SESSION COURT

CLUBBED WITH CONSENT FOR RS.7,75,000

ARYA GUPTA

CRUICKSHANK & CO.LTD.

VIOLATED SECTION 24 OF SEBI ACT, 1992

VIOLATED SEBI TAKEOVER CODE, 1997

PROSECUTION LAUNCHED

15-MAY-2006

ASHA KOHLI

NITIN CAPITAL SERVICES LTD.

VIOLATED SECTION 24 (1) OF SEBI ACT, 1992

VIOLATED SECTION 11 (3) OF SEBI ACT, 1992

PROSECUTION LAUNCHED

31-MAR-2010

WITHDRAWN

ASHISH KELKAR

(PAN:ACAPK0708P)

ALLEGED PROVIDING NON-PUBLIC INFORMATION TO CERTAIN ENTITIES (PROFIT MAKERS) PRIOR TO BROADCASTING OF THEIR RECOMMENDATIONS

REACHED SETTLEMENT (CONSENT ORDER) (DIRECTED TO DISGORGE)

16-JAN-2025

ASHISH KELKAR

(PAN:ACAPK0708P)

ALLEGED PROVIDING NON-PUBLIC INFORMATION TO CERTAIN ENTITIES (PROFIT MAKERS) PRIOR TO BROADCASTING OF THEIR RECOMMENDATIONS

REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.62,40,000 VIDE CONSENT ORDER)

REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES) FROM 16-JAN-2025 TO 15-JUL-2025

REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 16-JAN-2025 TO 15-JUL-2025

16-JAN-2025

ASHISH PATNI

PATNI SHARES & DERIVATIVES CO.

VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992

PROSECUTION LAUNCHED

31-MAR-2010

ASHISH R.SHARMA

VIOLATED SECTION 24 (1) OF SEBI ACT, 1992

VIOLATED SECTION 11 B OF SEBI ACT, 1992

VIOLATED SECTION 11 (1) OF SEBI TAKEOVER CODE, 1997

VIOLATED SECTION 21 (3) OF SEBI TAKEOVER CODE, 1997

VIOLATED SECTION 44 OF SEBI TAKEOVER CODE, 1997

PROSECUTION LAUNCHED

15-MAY-2006

ASHOK AGGARWAL

SRG INFOTECH (INDIA) LTD.

VIOLATED SEBI ACT, 1992

DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD

PROSECUTION LAUNCHED

15-MAY-2006

ASHOK CAPOOR

(PAN:AAKPC0254G)

INDULGED IN DIVERSION OF FUNDS FROM UNITED SPIRITS LTD. TO VARIOUS COMPANIES/ENTITIES OF UB GROUP INCLUDING KINGFISHER AIRLINES LTD. VIOLATING SECTION 12A(C) OF SEBI ACT, 1992 IN MATTER OF UNITED SPIRITS LTD.

INDULGED IN DIVERSION OF FUNDS FROM UNITED SPIRITS LTD. TO VARIOUS COMPANIES/ENTITIES OF UB GROUP INCLUDING KINGFISHER AIRLINES LTD. VIOLATING REGULATIONS 3(D), 4(1) ALONGWITH 4(2)(E), (F) AND (K) OF SEBI (PROHIBITION OF FRAUDULENT AND UNFAIR TRADE PRACTICES) REGULATIONS, 2003 IN MATTER OF UNITED SPIRITS LTD.

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-JUN-2018 TO 31-MAY-2019

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-JUN-2018 TO 31-MAY-2019

RESTRAINED FROM HOLDING ANY MANAGERIAL POSITION IN ANY LISTED COMPANY FROM 01-JUN-2018 TO 31-MAY-2019

25-JAN-2017

SEBI VIDE ITS ORDER DATED 01/06/2018 DIRECTED MR ASHOK CAPOOR TO A) CONTINUE TO BE RESTRAINED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING OR OTHERWISE DEALING IN SECURITIES IN ANY MANNER WHATSOEVER, EITHER DIRECTLY OR INDIRECTLY, FOR A FURTHER PERIOD OF 1 YEAR FROM DATE OF THIS ORDER AND B) RESTRAINED FROM HOLDING POSITION AS DIRECTOR OR KEY MANAGERIAL PERSON OF A LISTED COMPANY FOR A PERIOD OF 1 YEAR FROM DATE OF THIS ORDER

SAT: SAT VIDE ITS ORDER DATED 29/08/2018 ACCEPTED APPEAL TO RESTORE AND APPEAL IS RESTORED TO ITS FILE. NO COSTS

ASHOK GAGWANI

(PAN:AAFPG0318J)

VIOLATED SECTIONS 12A(A) TO (C) OF THE 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 K SERA SERA LTD.

WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

05-SEP-2017

ASHOK KUMAR

(DIN:00405986
PAN:AAFPK7362N)

KASSA FINVEST PVT.LTD.

CIN:U74899DL1994PTC060668
PAN:AAACK1206B

VIOLATED SECTION 24 (1) OF SEBI ACT, 1992

PROSECUTION LAUNCHED

25-AUG-2016

ASHOK KUMAR CHAUDHARY

VIOLATED SECTION 24 (1) OF SEBI ACT, 1992

VIOLATED SECTION 27 OF SEBI ACT, 1992

PROSECUTION LAUNCHED

15-MAY-2006

ASHOK KUMAR KOHLI

EVERGROW FINANCIAL SERVICES PVT.LTD.

VIOLATED SEBI ACT, 1992

PROSECUTION LAUNCHED

15-MAY-2006

DURING THE TRIAL A21 (SHRI ASHOK KUMAR KOHLI) HAD EXPIRED, THEREFORE, PROCEEDINGS QUA HIM WAS ABATED. ACCUSED NO.20 (M/S EVERGROW FINANCIAL SERVICES PVT.LTD.) AND A22 ( SHRI PRADEEP SHARMA) FACED THE TRIAL AND THEY REMAINING ACCUSED WERE DECLARED POS. THE CAPTIONED MATTER WAS POSTED BEFORE THE LD. COURT ON JULY 30, 2012 FOR PRONOUNCEME NT OF JUDGMENT. AFTER RECORDING ITS REASONS THE COURT HELD THAT SEBI COULD NOT PROVE ITS CASE AGAINST A20 AND A22 BEYOND THE SHADOW OF ALL REASONABLE DOUBTS, AND THEREBY ACQUITTED A20 AND A22

ASHOK KUMAR KOLLA

MIDFIELD INDUSTRIES LTD.

CIN:U27109AP1990PLC011353
PAN:AAACM9490M

VIOLATED SECTION 207 OF COMPANIES ACT, 1956

VIOLATED SECTION 127 OF COMPANIES ACT, 2013

VIOLATED SECTION 24 (1) OF SEBI ACT, 1992

VIOLATED SECTION 24 (2) OF SEBI ACT, 1992

PROSECUTION LAUNCHED

15-DEC-2016

ASHOK KUMAR SHARMA

POWERFLOW HOLDING & TRADING PVT.LTD.

FAILED TO PAY PENALTY

VIOLATED SECTION 27 OF SEBI ACT, 1992

PROSECUTION LAUNCHED

15-MAY-2006

ASHOK NAVINCHANDRA CHOKSHI

MANNA GLASS-TECH INDUSTRIES LTD.

VIOLATED SECTION 59 OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996

VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995

VIOLATED REGULATION 6 SEBI (PFUTP) REGULATIONS, 1995

VIOLATED SECTION 60 OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996

VIOLATED SECTION 18 OF SEBI DEPOSITORIES ACT, 1996

VIOLATED SECTION 24 OF SEBI ACT, 1992

VIOLATED SECTION 20 OF SEBI DEPOSITORIES ACT, 1996

PROSECUTION LAUNCHED

15-MAY-2006

ASHOK PAMANI

(PAN:AOQPP2675G)

VIOLATED SECTIONS 12A(A) TO (C) OF THE 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 K SERA SERA LTD.

WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

05-SEP-2017

ASHOK PHOOLCHAND JAIN

TRIPEX OVERSEAS LTD.

CIN:L51100GJ1995PLC027414

VIOLATED SECTION 24 (1) OF SEBI ACT, 1992

PROSECUTION LAUNCHED

31-MAR-2013

ASHOK RAJMAL NAHAR

SURE CAPITAL PVT.LTD.

CIN:U67120PN1999PTC014178

VIOLATED SECTION 11 (1) OF SEBI ACT, 1992

PROSECUTION LAUNCHED

15-MAY-2006

The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.