| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 941 |
|
VIMLA SOMANI
(PAN:ALBPS1701N)
|
|
|
ENGAGED INDIRECTLY IN INSIDER TRADING ACTIVITIES WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT. 1992 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ZEE ENTERTAINMENT ENTERPRISES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-AUG-2021 UNTIL FURTHER ORDERS
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
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 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 BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 12-AUG-2021 UNTIL FURTHER ORDERS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND CREDITS MADE IN DEMAT ACCOUNTS
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
12-AUG-2021
|
SEBI VIDE ITS ORDER DATED 18/02/2022 A) LIFT THE RESTRICTIONS IMPOSED ON THE ENTITIES VIDE ITS INTERIM ORDER DATED 12/08/2021 B) FUNDS DEPOSITED BY THE ENTITIES IN INTEREST BEARING ESCROW ACCOUNT WILL REMAIN IN THE SAID ACCOUNT WITH LIEN IN FAVOUR OF SEBI UNTIL FURTHER ORDERS
|
| 942 |
|
|
VINAY KUMAR SUTRAVE
(PAN:AHOPK9524E)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MINDTREE LTD.
|
IMPOSED PENALTY RS.1,00,000
27-JUN-2022
|
|
| 943 |
|
|
VINAY SHARMA
(PAN:AHBPS7555E)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF S.CHAND & CO.LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF S.CHAND & CO.LTD.
|
IMPOSED PENALTY RS.1,00,000
26-NOV-2019
|
|
| 944 |
|
|
VINAYKUMAR RANCHHODDAS MOHOTA
(PAN:ACDPM2559H)
|
|
|
DID NOT EXECUTE TRADE AS PER TRADING PLAN VIOLATING REGULATION 5(4) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MOHOTA INDUSTRIES LTD.
|
IMPOSED PENALTY RS.1,00,000
24-FEB-2022
|
|
| 945 |
|
|
VINEET JAIN
(PAN:AEHPJ3012L)
|
|
|
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF ASHOKA MARKETING LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ASHOKA MARKETING LTD.
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,12,01,300 VIDE CONSENT ORDER)
12-SEP-2022
|
|
| 946 |
|
|
VINEET JAIN
(PAN:AEHPJ3012L)
|
|
|
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF ARTH UDYOG LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ARTH UDYOG LTD.
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,12,01,300 VIDE CONSENT ORDER)
12-SEP-2022
|
|
| 947 |
|
|
VINEET JAIN
(PAN:AEHPJ3012L)
|
|
|
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF BHARAT NIDHI LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BHARAT NIDHI LTD.
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,12,01,300 VIDE CONSENT ORDER)
12-SEP-2022
|
|
| 948 |
|
|
VINODKUMAR R.MOHOTA
(PAN:ACDPM2554L)
|
|
|
EXECUTED TRADES WITHIN RESTRICTED PERIOD AND DEVIATED FROM THE TRADING PLAN VIOLATING REGULATIONS 5(2)(II) AND 5(4) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MOHOTA INDUSTRIES LTD.
|
IMPOSED PENALTY RS.1,00,000
29-MAR-2022
|
|
| 949 |
|
|
VIPUL DILEEP LATHI
(PAN:ACQPL5044B)
|
|
|
|
PRAKASH CONSTROWELL LTD.
PAN:AABCP3573F
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 4(1) AND 4(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PRAKASH CONSTROWELL LTD. (NOW KNOWN AS “SETUBANDHAN INFRASTRUCTURE 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 24-JUL-2024 TO 23-JUL-2026
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
DIRECTED TO DISGORGE RS.55,50,000
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
24-JUL-2024
|
SAT: SAT VIDE ITS ORDER DATED 17/10/2024 GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND REJOINDER, IF ANY, TO BE FILED WITHIN TWO WEEKS THEREAFTER. DIRECTED TO DEPOSIT 50% OF THE PENALTY AND DISGORGEMENT AMOUNT I.E.RS.5 LAC AND RS.28 LAC RESPECTIVELY WITHIN SIX WEEKS FROM DATE OF THIS ORDER. STAYED DIRECTIONS AT PARAGRAPH 75(A)(B) AND (C)
SAT: SAT VIDE ITS ORDER DATED 24/01/2025 GRANTED APPELLANT TWO WEEKS TO FILE REJOINDER
|
| 950 |
|
|
VIPUL DILEEP LATHI
(PAN:ACQPL5044B)
|
|
|
|
PRAKASH CONSTROWELL LTD.
PAN:AABCP3573F
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 4(1) AND 4(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PRAKASH CONSTROWELL LTD. (NOW KNOWN AS “SETUBANDHAN INFRASTRUCTURE LTD.)
|
IMPOSED PENALTY RS.10,00,000
24-JUL-2024
|
SAT: SAT VIDE ITS ORDER DATED 24/01/2025 GRANTED APPELLANT TWO WEEKS TO FILE REJOINDER
|
| 951 |
|
|
VIPUL DILEEP LATHI
(PAN:ACQPL5044B)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF GALACTICO CORPORATE SERVICES LTD.
|
IMPOSED PENALTY RS.2,00,000
25-MAY-2023
|
|
| 952 |
|
|
VIPUL J.MODI
(PAN:AABPM1417A)
|
|
|
|
QUICK TRADING & NVESTMENT ADVISORS LLP
PAN:AAAFQ5700B
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 4(1) READ WITH 4(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF RELIGARE ENTERPRISES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.22,31,250 VIDE CONSENT ORDER)
10-JUN-2022
|
|
| 953 |
|
|
VIPUL THAKKAR
(PAN:ADJPT6708J)
|
|
|
ALLEGED FAILURE IN CLOSING TRADING WINDOW DURING THE TIME OF UPSI PERIOD VIOLATING CLAUSE 4 OF MINIMUM STANDARDS FOR CODE OF CONDUCT TO REGULATE, MONITOR AND REPORT TRADING BY INSIDERS AS SPECIFIED IN SCHEDULE B READ WITH REGULATIONS 9(1) AND 9(3) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BLISS GVS PHARMA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.12,75,000 VIDE CONSENT ORDER)
30-JUN-2021
|
|
| 954 |
|
|
VIRAT KUMAR YERRAMALLA
(PAN:ABNPY0529Q)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MINDTREE LTD.
|
IMPOSED PENALTY RS.1,00,000
21-OCT-2021
|
|
| 955 |
|
|
VIRENDRA SAMANI
(PAN:APTPS2785J)
|
|
|
|
FUTURE CORPORATE RESOURCES LTD.
CIN:U74140MH2007PTC175603
PAN:AAJCS3979E
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND (E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF FUTURE RETAIL LTD.
|
IMPOSED PENALTY RS.10,00,000
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
03-FEB-2021
|
SAT: SAT VIDE ITS ORDER DATED 22/02/2021 DIRECTED RESPONDENT TO FILE REPLY WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER.
SAT: SAT VIDE ITS ORDER DATED 09/04/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 956 |
|
|
VISHAL MEHTA
(PAN:ACAPM2367C)
|
|
|
ALLEGED COMMUNICATION OF UNPUBLISHED PRICE SENSITIVE INFORMATION TO RELATIVES VIOLATING REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF INFIBEAM AVENUES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.66,93,750 VIDE CONSENT ORDER)
28-JUL-2021
|
|
| 957 |
|
|
VISHAL S.SHAH
(PAN:AJWPS2689A)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SAWACA BUSINESS MACHINES LTD.
|
IMPOSED PENALTY RS.1,00,000
28-APR-2022
|
|
| 958 |
|
|
VISHAL SHETH
(PAN:AAXPS7686G)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SHARP INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 12(1) AND 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SHARP INDUSTREIS LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
06-SEP-2017
|
|
| 959 |
|
|
VISHWA S.R.KULKARNI
(PAN:AZEPK1642D)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MINDTREE LTD.
|
IMPOSED PENALTY RS.1,00,000
28-JUN-2022
|
SEBI VIDE ITS NOTICE DATED 25/05/2023 DIRECTED TO PAY RS.1,13,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 26/07/2023 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS 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
|
| 960 |
|
|
VISHWARUPE NARAIN
(PAN:AFLPN8804M)
|
|
|
ALLEGED TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3(I) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 READ WITH REGULATIONS 12(1) AND 12(2) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF CRISIL LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.39,64,703 VIDE CONSENT ORDER)
20-MAY-2019
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 48 of 49
|
