| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 841 |
|
WEALTHMAX SOLUTION INVESTMENT ADVISER
(PAN:ATCPJ2297H)
|
|
|
|
PIYUSH JAIN
PAN:ATCPJ2297H
|
|
DID NOT INFORM REGARDING CHANGE OF REGISTERED OFFICE
REPRESENTATIVES/EMPLOYEES DID NOT HAVE REQUISITE QUALIFICATION AND CERTIFICATION
DID NOT POSSESS NISM CERTIFICATE
DID NOT EXECUTE AGREEMENT WITH CLIENTS
DID NOT MAINTAIN BASIC DETAILS, RECORDS AND DISCREPANCIES I.E.COPY OF AGREEMENT, KYC DOCUMENTS, INVOICES, RISK PROFILING, EMAIL COMMUNICATION AND CALL RECORDING ETC.
DID NOT CO-OPERATE AND SUBMITTED INSUFFICIENT/INCOMPLETE RESPONSE TO POST INSPECTION QUESTIONNAIRE
DID NOT FURNISH NET WORTH CERTIFICATE TO INSPECTION TEAM
|
IMPOSED PENALTY RS.7,00,000 ALONG WITH OTHER ENTITIES/PERSONS
13-MAR-2024
|
SEBI VIDE ITS NOTICE DATED 06/05/2024 DIRECTED TO PAY RS.7,22,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 842 |
|
|
WEALTHMAX SOLUTION INVESTMENT ADVISER
(PAN:ATCPJ2297H)
|
|
|
|
PIYUSH JAIN
PAN:ATCPJ2297H
|
|
DID NOT INFORM REGARDING CHANGE OF REGISTERED OFFICE
RECEIVED FEES WITHOUT EXECUTING ANY AGREEMENT WITH CLIENTS
DID NOT MAINTAIN BASIC DETAILS, RECORDS AND DISCREPANCIES I.E.COPY OF AGREEMENT, KYC DOCUMENTS, INVOICES, RISK PROFILING, EMAIL COMMUNICATION AND CALL RECORDING ETC.
DID NOT CO-OPERATE AND NOT SUBMITTED DOCUMENTS DURING INSPECTION
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
23-OCT-2024
|
|
| 843 |
|
|
WEB ARRIVALI TECHNOLOGY
(PAN:BZYPP9817N)
|
|
|
|
PRATIK SANJAYKUMAR PATEL
PAN:BZYPP9817N
|
|
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF SHRI KRISHNA PRASADAM LTD.
|
IMPOSED PENALTY RS.5,00,000
30-OCT-2023
|
|
| 844 |
|
|
WHITELINE COMMERCIAL PVT.LTD.
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI
|
IMPOSED PENALTY RS.30,000
19-MAY-2005
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 845 |
|
|
WIDESTAR TRADEWING 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
|
| 846 |
|
|
WINALL VINIMAY PVT.LTD.
(PAN:AAACW8004B)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF MURLI INDUSTRIES LTD.
|
IMPOSED PENALTY RS.2,00,000
24-OCT-2013
|
|
| 847 |
|
|
WITHAL COMMERCIAL PVT.LTD.
(PAN:AAACW2222R)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF MURLI INDUSTRIES LTD.
|
IMPOSED PENALTY RS.2,00,000
28-JUN-2013
|
|
| 848 |
|
|
WONDER VINCOM PVT.LTD.
(PAN:AAACW8578N)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF PG ELECTROPLAST LTD.
|
IMPOSED PENALTY RS.1,00,000
02-AUG-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 849 |
|
|
YADUKA FINANCIAL SERVICES LTD.
(PAN:AAECP3304K)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF MURLI INDUSTRIES LTD.
|
IMPOSED PENALTY RS.6,00,000
30-JUL-2013
|
|
| 850 |
|
|
YARE ENGINEERING PVT.LTD.
(PAN:AAACY1590J)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF WEBSITY INFOSYS LTD.
|
IMPOSED PENALTY RS.3,00,000
18-NOV-2011
|
|
| 851 |
|
|
YASOMATI DISTRIBUTORS PVT.LTD.
(PAN:AAACY5689G)
|
|
|
DID NOT FURNISH BANK STATEMENTS/CASH RECEIPT/SHARE BILL IN RESPECT OF TRANSACTIONS IN MATTER OF DELTA LEASING & FINANCE LTD.
|
IMPOSED PENALTY RS.1,00,000
29-SEP-2022
|
|
| 852 |
|
|
YOGI SUNGWON (INDIA) LTD.
|
|
|
|
RAJESH MULANI
|
|
DID NOT FURNISH REQUISITE INFORMATION TO SEBI IN TIME
|
IMPOSED PENALTY RS.2,00,000
19-OCT-2000
|
SAT: APPEAL ALLOWED BY REMAND FOR DE NOVO CONSIDERATION BY AO
|
| 853 |
|
|
ZENITH ESTATES LTD.
(CIN:U71909DL1985PLC021503)
|
|
|
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF MILLENIUM CYBERTECH LTD.
|
IMPOSED PENALTY RS.2,00,000
29-SEP-2010
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 17/07/2014 DIRECTED ALL THE BANKS 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
|
| 854 |
|
|
ZENSER MERCHANDISE PVT.LTD.
(PAN:AAACZ2276Q)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PRIME CAPITAL MARKET LTD.
DID NOT FURNISH TIMELY AND ACCURATE INFORMATION TO SEBI TO COMPLY WITH SUMMONS ISSUED IN SCRIP OF PRIME CAPITAL MARKET LTD.
|
IMPOSED PENALTY RS.20,00,000
30-MAY-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000, LEGAL EXPENSES RS.65,000 VIDE CONSENT ORDER)
13-MAR-2008~
|
SAT: APPEAL ALLOWED AS APPLICANT AGREED TO PAY RS.2,65,000 AS PER CONSENT ORDER
|
| 855 |
|
|
ZODIAC SOLUTIONS PVT.LTD.
(PAN:ABNPZ7758E)
|
|
|
|
ZALA PRATIPALSINH DHARMENDRASINH
PAN:ABNPZ7758E
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF GAYATRI SUGARS LTD.
|
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-MAY-2023
|
SAT: SAT VIDE ITS ORDER DATED 08/08/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER. STAYED PENALTY AMOUNT IMPOSED UPON THE APPELLANTS
SEBI VIDE ITS NOTICE DATED 21/08/2023 DIRECTED TO PAY RS.6,25,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 856 |
|
|
ZODIAC.COM SOLUTIONS PVT.LTD.
|
|
|
|
NAVNEET KUMAR AGGARWAL
|
|
|
SANDEEP KUMAR
|
|
ALLEGED NOT RESPONDING TO LETTERS/SUMMONS ISSUED BY SEBI
|
IMPOSED PENALTY RS.1,00,00,000
10-DEC-2003
|
SAT: APPEAL DISMISSED AS TIME BARRED
SAT: APPEAL ALLOWED AND IMPUGNED ORDER SET ASIDE WITH NO ORDER AS TO COSTS
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 43 of 43
|
