| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 61 |
|
HARI BALLABH AGARWAL
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF ADITYA INFOSOFT LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
11-MAY-2011
|
|
| 62 |
|
|
HARISH KUMAR
|
|
|
|
A.H.HOLDINGS PVT.LTD.
|
|
|
ASIATIC ENGINEERS PVT.LTD.
|
|
|
ELECTROLUX KELVINATOR LTD.
|
|
|
HARISH KUMAR (HUF)
|
|
|
OMPRAKASH (HUF)
|
|
|
TECHNOCRAT MARKETING PVT.LTD.
|
|
INDULGED IN CREATING FALSE AND MISLEADING APPEARANCE OF TRADING IN SHARES OF ELECTROLUX KELVINATOR LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
20-AUG-2008
|
|
| 63 |
|
|
HEMA PARESH PATEL
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF GENUS COMMU-TRADE LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-MAR-2010
|
|
| 64 |
|
|
HEMA PRABHAKAR DESHMUKH
(PAN:AAZPD5085B)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
|
| 65 |
|
|
HEMANT MADHUSUDAN SETH
(DIN:01533972
PAN:ANOPS8607E)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH REVERSAL OF TRADE TRANSACTIONS, CIRCULAR, SYNCHRONIZED AND SELF TRADES IN SCRIP OF CRAZY INFOTECH LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-FEB-2015 TO 09-FEB-2017
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-FEB-2015 TO 09-FEB-2017
10-FEB-2015
|
|
| 66 |
|
|
HEMENDRA KANJIBHAI SHAH
(PAN:AKGPS2064L)
|
|
|
VIOLATED 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.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
05-SEP-2017
|
|
| 67 |
|
|
HIMANSHU PANDYA
|
|
|
INDULGED IN OPENING OF FICTITIOUS DEMAT ACCOUNTS USING FORGED AND FABRICATED DOCUMENTS IN MATTER OF PREFERENTIAL ALLOTMENT OF EQUITY SHARES OF SOFTRAK TECHNOLOGY EXPORT LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
28-JUL-2010
|
|
| 68 |
|
|
INDRAPRATAP GAJRAJ SINGH
(PAN:APEPS7258B)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH REVERSAL OF TRADE TRANSACTIONS, SYNCHRONIZED, SELF TRADE AND OFF MARKET TRANSACTIONS IN SCRIP OF CRAZY INFOTECH LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
10-FEB-2015
|
|
| 69 |
|
|
JAIN DINESH KUMAR
(PAN:AFAPD5513L)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
|
| 70 |
|
|
JAYA LALIT SHAH
(PAN:ACTPR0863K)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
|
| 71 |
|
|
JAYA TALAKSHI CHHEDA
(PAN:AAJPB7882N)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH REVERSAL OF TRADE TRANSACTIONS, SYNCHRONIZED, SELF TRADE AND OFF MARKET TRANSACTIONS IN SCRIP OF CRAZY INFOTECH LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
10-FEB-2015
|
|
| 72 |
|
|
JAYSHREE SHRIPRAKASH SARDESAI
(PAN:AAQPS2141G)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH REVERSAL OF TRADE TRANSACTIONS, SYNCHRONIZED, SELF TRADE AND OFF MARKET TRANSACTIONS IN SCRIP OF CRAZY INFOTECH LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
10-FEB-2015
|
|
| 73 |
|
|
JITENDRA MEHTA
(PAN:ALWPM4683J)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH REVERSAL OF TRADE TRANSACTIONS, SYNCHRONIZED, SELF TRADE AND OFF MARKET TRANSACTIONS IN SCRIP OF CRAZY INFOTECH LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
10-FEB-2015
|
|
| 74 |
|
|
JYOTI DHIRAJLAL PAREKH
(PAN:AAGPP4875J)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
|
| 75 |
|
|
JYOTI JHA
(PAN:ACYPJ9442K)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF MAPRO INDUSTRIES LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
24-MAR-2020
|
SAT: SAT VIDE ITS ORDER DATED 29/10/2020 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY TO WARNING
|
| 76 |
|
|
KAMINI PAMANI
(PAN:ARAPP5304K)
|
|
|
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
|
|
| 77 |
|
|
KANNAPPAN VELAYUTHAM
(PAN:AABPV9743Q)
|
|
|
VIOLATED SECTIONS 12(A) TO (C) OF SEBI ACT. READ WITH REGULATIONS 3(B) TO 3(D) & 4(2)(C), 4(2)(F) AND 4(2)(K) OF PFUTP REGULATIONS, 2003 IN MATTER OF GDR ISSUES MAARS SOFTWARE INTERNATIONAL LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
05-SEP-2017
|
|
| 78 |
|
|
KAPILABEN U.JOSHI
(PAN:AFLPD0265J)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
|
| 79 |
|
|
KARNESH PANNALAL SHYAMSUKHA
(PAN:AQSPS3383G)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
SAT: SAT VIDE ITS ORDER DATED 08/04/2022 CONDONED THE DELAY IN FILING OF APPEALS. ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANTS TO FILE REJOINDER TWO WEEKS THEREAFTER. EFFECT AND OPERATION OF IMPUGNED ORDER TO REMAIN STAYED UNTIL FURTHER ORDERS
SAT: SAT VIDE ITS ORDER DATED 08/06/2022 DIRECTED APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS FROM DATE OF THIS ORDER
|
| 80 |
|
|
KAVITA ANAND
(PAN:ABHPA9289M)
|
|
|
|
F6 FINSERVE PVT.LTD.
PAN:AABCF0080D
|
|
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
FUNDS RECEIVED IN CLIENT A/C TRANSFERRED TO OVERDRAFT BANK A/C
USED SECURITIES FROM CLIENTS TO MEET OBLIGATION OF ANOTHER CLIENT
MIS-UTILIZED SECURITIES FOR SETTLEMENT OF PRO/OWN OBLIGATION
RECEIVED SECURITIES FROM THIRD PARTY IN ITS CLIENTS A/C
DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES
RAISED FUNDS BY PLEDGING SECURITIES OF CLIENTS
INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES
DID NOT CO-OPERATE AND PROVIDE COMPLETE INFORMATION TO INSPECTION AUTHORITY VIOLATING OF REGULATION 21 OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO THE STATUTORY REQUIREMENTS VIOLATING REGULATION 9(F) READ WITH CLAUSES A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
INDULGED IN TRANSFER OF RS.5.51 CRORE (APPROX) BETWEEN F6 SECURITIES PVT.LTD. AND F6 COMMODITIES PVT.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-MAY-2018 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-MAY-2018 TILL FURTHER ORDERS
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 29-MAY-2018 TILL FURTHER ORDERS
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
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 UTILIZE ASSETS OF THE ENTITIES ONLY FOR THE PURPOSE OF PAYMENT OF MONEY AND/OR DELIVERY OF SECURITIES, AS THE CASE MAY BE, TO CLIENTS/INVESTORS UNDER THE SUPERVISION OF CONCERNED STOCK EXCHANGE(S)
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
29-MAY-2018
|
SEBI VIDE ITS ORDER DATED 14/12/2018 A) CONFIRMED THE DIRECTIONS ISSUED VIDE AD INTERIM EX-PARTE ORDER DATED 29/05/2018 B) DIRECTED DEPOSITORIES, REGISTRAR AND TRANSFER AGENTS AND BANKS THAT NO DEBITS/TRANSFER MADE FROM THE ACCOUNTS OF THE NOTICEES
SEBI VIDE ITS ORDER DATED 09/06/2022 DIRECTED TO BE CAREFUL BEFORE ASSOCIATING THEMSELVES AS A DIRECTOR IN ANY INTERMEDIARY OF THE SECURITIES MARKET
|
| 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 11
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