| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 61 |
|
P.R.SUNDAR
(PAN:ANTPP8886F)
|
|
|
|
MANSUN CONSULTANCY PVT.LTD.
PAN:AALCM1703G
|
|
ALLEGED ACTED AS INVESTMENT ADVISOR WITHOUT SEBI REGISTRATION
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.46,80,000, DISGORGEMENT AMOUNT RS.4,59,95,763, INTEREST RS.1,47,74,100 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 25-MAY-2023 TO 24-MAY-2024
25-MAY-2023
|
|
| 62 |
|
|
PARESH R.PATEL
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS AND PRICE MANIPULATION IN SCRIP OF GENUS COMMU-TRADE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 31-DEC-2008 TO 30-DEC-2010
31-DEC-2008
|
|
| 63 |
|
|
PRADEEP H.AMBRE
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF FAST TRACK ENTERTAINMENT LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 15-APR-2009 TO 14-APR-2010
15-APR-2009
|
|
| 64 |
|
|
PRAVINA CHANDRAKANT SHAH
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF HIGHLAND INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 02-SEP-2009 TO 01-MAR-2011
01-SEP-2009
|
|
| 65 |
|
|
R.PALANIAPPAN
|
|
|
|
SMR UNIVERSAL SOFTECH LTD.
|
|
ISSUED MISLEADING ADVERTISEMENT OF BUYBACK OF SHARES OF SMR UNIVERSAL SOFTECH LTD. AND ALSO FAILED TO TAKE CONCLUSIVE ACTION THEREON
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 23-JUN-2009 TO 22-JUN-2011
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-JUN-2009 TO 22-JUN-2011
25-FEB-2008
SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000, LEGAL EXPENSES RS.75,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 23-JUN-2009 TO 22-JUN-2011
23-JUN-2009~
|
SAT: APPELLANT FILED AN APPEAL FOR CONSENT ORDER AND OFFERED TO DEPOSIT A SUM OF RS.1,00,000 TOWARDS SETTLEMENT CHARGES AND RS.75,000 TOWARDS LEGAL EXPENSES ALONGWITH VOLUNTARILY DEBARMENT OF TWO YEARS FROM SECURITIES MARKET. APPEAL ACCEPTED. IMPUGNED ORDER MODIFIED. NO ORDER AS TO COSTS
|
| 66 |
|
|
R.S.GAJRA
|
|
|
|
G.G.AUTOMOTIVE GEARS LTD.
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF G.G.AUTOMOTIVE GEARS LTD.
ALLEGED FAILURE IN APPEARING PERSONALLY AND/OR PROVIDING NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF G.G.AUTOMOTIVE GEARS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,00,000 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 31-MAR-2011 TO 30-MAR-2013
31-MAR-2011
|
COMPANY VIDE DEMAND DRAFT NO.450291 DATED 16/03/2011 DRAWN ON UNION BANK OF INDIA DEPOSITED RS 15 LACS TOWARDS SETTLEMENT CHARGES
|
| 67 |
|
|
RAJESH KUMAR VITTALBHAI PATEL
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS AND PRICE MANIPULATION IN SCRIP OF GENUS COMMU-TRADE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.30,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 31-DEC-2008 TO 30-DEC-2010
31-DEC-2008
|
|
| 68 |
|
|
RAJESH P.SHAH
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF KOSIAN INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 25-JUN-2009 TO 24-JUN-2010
22-JUN-2009
|
|
| 69 |
|
|
RAJIV B.GANDHI
|
|
|
ALLEGED IRREGULAR TRADING ON BASIS OF UNPUBLISHED PRICE SENSITIVE INFORMATION AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN SCRIP OF WOCKHARDT LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 21-APR-2009 TO 20-OCT-2010
DIRECTED NOT TO ACT AS COMPLIANCE OFFICER OF ANY LISTED COMPANY FROM 21-APR-2009 TO 20-OCT-2010
20-APR-2009
|
|
| 70 |
|
|
RAJU B.SHAH
|
|
|
ALLEGED IRREGULARITIES IN SCRIP OF GENUS COMMU-TRADE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 04-JUL-2008 TO 03-JUL-2009
04-JUL-2008
|
|
| 71 |
|
|
RAJU BACHUBHAI SHAH
|
|
|
ALLEGED INDULGENCE IN CREATION OF FALSE AND MISLEADING APPEARANCE OF TRADING IN SCRIP OF UNIVERSAL MEDIA NETWORK LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 18-SEP-2008 TO 17-SEP-2009
18-SEP-2008
|
|
| 72 |
|
|
RAJU BACHUBHAI SHAH
|
|
|
|
SHALIBHADRA INFOSEC LTD.
|
|
ALLEGED INDULGENCE IN ISSUANCE OF ADVERTISEMENTS IN NEWSPAPER REGARDING A PROPOSED BUYBACK OF SHARES OF SHALIBHADRA INFOSEC LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 18-SEP-2008 TO 17-SEP-2009
18-SEP-2008
|
|
| 73 |
|
|
RAMAMURTHY SRINIVASAN
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRADING IN SCRIP OF HITECH DRILLING SERVICES LTD. BY USING UNPUBLISHED PRICE SENSITIVE INFORMATION RELATING TO TAKEOVER OF ABAN LOYD CHILES OFFSHORE LTD.AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 07-SEP-2009 TO 06-SEP-2011
02-SEP-2009
|
|
| 74 |
|
|
RAMAWATAR LALCHAND CHOTIA
(PAN:ADIPC7123K)
|
|
|
ALLEGED AIDING AND ABETTING MR.NIRMAL KUMAR SONI TO EXECUTE TRADES IN HIS ACCOUNT AND IN THE ACCOUNTS OF SAAR COMMODITIES PVT.LTD., MANAN SHARECOM PVT.LTD. AND KANHYA TRADING CO.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.57,20,000 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
|
|
| 75 |
|
|
RAMILABEN S.PATEL
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS AND PRICE MANIPULATION IN SCRIP OF GENUS COMMU-TRADE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.20,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 31-DEC-2008 TO 30-DEC-2010
31-DEC-2008
|
|
| 76 |
|
|
RASIKLAL D.THAKKAR
|
|
|
|
GRAVITY (INDIA) LTD.
|
|
|
GRAVITY TEXTILES PVT.LTD.
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A),(2) AND (3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GRAVITY (INDIA) LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(3),13(5) AND (6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF GRAVITY (INDIA) LTD.
ALLEGED INDULGENCE IN MAKING MISLEADING CORPORATE ANNOUNCEMENT AND SALE OF SHARES AFTER SAID ANNOUNCEMENT IN MATTER OF GRAVITY (INDIA) 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 21-APR-2009 TO 20-APR-2011
20-APR-2009
|
|
| 77 |
|
|
RAVINDRA KUMAR KASERA
|
|
|
ALLEGED VIOLATION OF REGULATIONS 3,4(1),4(2)(A),(B),(G) & (N) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SBEC SUGAR LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,65,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 16-DEC-2008 TO 15-MAR-2009
16-DEC-2008
|
|
| 78 |
|
|
RIDDHI K.SHAH
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET THROUGH CIRCULAR TRANSACTIONS IN SCRIP OF DATABASE FINANCE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 01-APR-2009 TO 30-SEP-2009
19-MAR-2009
|
|
| 79 |
|
|
RUPESH KUMAR MATOLIYA
(PAN:AFRPM8024J)
|
|
|
ALLEGED AIDING AND ABETTING MR.NIRMAL KUMAR SONI TO EXECUTE TRADES IN HIS ACCOUNT AND IN THE ACCOUNTS OF SAAR COMMODITIES PVT.LTD., MANAN SHARECOM PVT.LTD. AND KANHYA TRADING CO.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.57,20,000 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
|
|
| 80 |
|
|
SACHIN JAIN
|
|
|
|
ATLANTA LTD.
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ATLANTA LTD.
DID NOT MAKE DISCLOSURE OF ACQUISITION OF 7.5% HOLDING OF ATLANTA LTD.
MADE MISLEADING STATEMENTS/ANNOUNCEMENTS WITH AN INTENSION TO DECEIVE INVESTORS
EMPLOYED DIFFERENT REVENUE RECOGNITION METHOD OF DIFFERENT PROJECTS IN ORDER TO SHOW HIGHER REVENUE
DECEIVED SHAREHOLDERS IN ORDER TO HIKE OWN SHAREHOLDING IN COMPANY AT A LOW PRICE COMPARED WITH MARKET PRICE WITHOUT MAKING PAYMENT FROM THEIR OWN FUNDS IN PREFERENTIAL ISSUE
MISAPPROPRIATED FUNDS RECEIVED FROM IPO
MISUSED EMPLOYEE’S QUOTA UNDER IPO
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-SEP-2008 TO 29-SEP-2009
DIRECTED STOCK EXCHANGES NOT TO APPROVE LISTING OF CONVERTIBLE WARRANTS AND SHARES ISSUED ON CONVERSION
DIRECTED DEPOSITORIES NOT TO DEMATERIALIZE CONVERTIBLE WARRANTS AND SHARES ISSUED UPON CONVERSION AND NOT TO GIVE EFFECT TO STOCK SPLIT FROM 30-SEP-2008 TO 29-SEP-2009
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
22-FEB-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 30-SEP-2008 TO 29-SEP-2009
30-SEP-2008~
|
AD-INTERIM EX-PARTE ORDER DATED 22/02/2007 REVOKED AS AGREED TO PAY RS.50,000 TOWARDS SETTLEMENT CHARGES AND A BAR FROM BUYING, SELLING OR DEALING IN SECURITIES FOR ONE YEAR I.E. FROM 30/09/2008 TO 29/09/2009, AS PER CONSENT ORDER DATED 30/09/2008
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 4 of 6
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