| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
SHAM SADHURAM GANDHI
(PAN:AAAPG8353J)
|
|
|
|
FINALYSIS CREDIT & GUARANTEE CO.LTD.
PAN:AABCF9494P
|
|
DEVISED A SCHEME TO DEFRAUD ORIGINAL PUBLIC SHAREHOLDERS BY ISSUING FORGED CONSOLIDATED SHARE CERTIFICATES AND THEREAFTER FRAUDULENTLY SOLD THESE CONSOLIDATED SHARE CERTIFICATES TO PURCHASERS BROUGHT BY BIPIN DIVECHA VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) & 4(2)(H) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF FINALYSIS CREDIT & GURANTEE CO.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 05-MAY-2020 TO 04-MAY-2025
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 05-MAY-2020 TO 04-MAY-2025
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
DIRECTED TO DISGORGE RS.45,54,871
05-MAY-2020
|
SAT: SAT VIDE ITS ORDER DATED 20/04/2021 ALLOWED APPELLANTS TO THREE WEEKS FURTHER TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 11/06/2021 ALLOWED APPELLANT THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 01/10/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 09/08/2024 DISMISSED THE APPEALS. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 16/12/2024 DISMISSED THE APPEAL. NO COSTS
|
| 82 |
|
|
SHAMSHAD BEGUM KHAN
(PAN:AHMPP8481F)
|
|
|
|
FINALYSIS CREDIT & GUARANTEE CO.LTD.
PAN:AABCF9494P
|
|
DEVISED A SCHEME TO DEFRAUD ORIGINAL PUBLIC SHAREHOLDERS BY ISSUING FORGED CONSOLIDATED SHARE CERTIFICATES AND THEREAFTER FRAUDULENTLY SOLD THESE CONSOLIDATED SHARE CERTIFICATES TO PURCHASERS BROUGHT BY BIPIN DIVECHA VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) & 4(2)(H) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF FINALYSIS CREDIT & GURANTEE CO.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 05-MAY-2020 TO 04-MAY-2023
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 05-MAY-2020 TO 04-MAY-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
05-MAY-2020
|
|
| 83 |
|
|
SHARAD RAMCHANDRA GHADI
(PAN:AIQPG6396R)
|
|
|
|
FINALYSIS CREDIT & GUARANTEE CO.LTD.
PAN:AABCF9494P
|
|
DEVISED A SCHEME TO DEFRAUD ORIGINAL PUBLIC SHAREHOLDERS BY ISSUING FORGED CONSOLIDATED SHARE CERTIFICATES AND THEREAFTER FRAUDULENTLY SOLD THESE CONSOLIDATED SHARE CERTIFICATES TO PURCHASERS BROUGHT BY BIPIN DIVECHA VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) & 4(2)(H) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF FINALYSIS CREDIT & GURANTEE CO.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 05-MAY-2020 TO 04-MAY-2025
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 05-MAY-2020 TO 04-MAY-2025
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
05-MAY-2020
|
|
| 84 |
|
|
SHENKEY CHAURASIA
(PAN:ATJPC5720H)
|
|
|
|
BOURSE INDIA INVESTMENT ADVISOR
PAN:AANFB7695P
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
DISSEMINATED FALSE AND MISLEADING INFORMATION ON WEBSITE SHOWING FIRM AS AN INVESTMENT ADVISOR WITH LONG EXPERIENCE AND CLAIMED HIGH RETURNS AND MAXIMUM BENEFITS ETC.
|
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO ACCEPT REFUND CLAIMS/REQUESTS FROM THE PUBLIC
DIRECTED TO DEPOSIT REMAINING BALANCE AMOUNT WITH SEBI TO BE KEPT IN ESCROW ACCOUNT
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 25-AUG-2023 TO 24-AUG-2025
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-AUG-2023 TO 24-AUG-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-AUG-2023 TO 24-AUG-2025
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 25-AUG-2023 TO 24-AUG-2025
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY INVESTMENT ADVISORY SERVICES AND/OR RESEARCH ANALYST ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI FROM 25-AUG-2023 TO 24-AUG-2025
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
25-AUG-2023
|
SEBI VIDE ITS NOTICE DATED 17/10/2024 DIRECTED TO PAY RS.6,91,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 17/10/2024 DIRECTED TO PAY RS.1,22,82,409.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 06/12/2024 GRANTED RESPONDENT THREE WEEKS TO FILE REPLY
SAT: SAT VIDE ITS ORDER DATED 12/03/2025 GRANTED FOUR WEEKS TO FILE REJOINDER
|
| 85 |
|
|
SIVAPRASADA RAO BUDDI
(PAN:ABIPB0047K)
|
|
|
|
SEYA INDUSTRIES LTD.
PAN:AABCS4522R
|
|
MISREPRESENTED FINANCIAL STATEMENTS/RESULTS AND DID NOT GIVE A TRUE AND FAIR VIEW OF FINANCIAL PERFORMANCE AND POSITION VIOLATING SETIONS 12A(B) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(C) TO 3(D), 4(1), 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SEYA INDUSTRIES LTD.
SIPHONED OFF FUNDS/ASSETS TO PROMOTER GROUP COMPANY/COMPANIES RELATED TO PROMOTERS (VIZ. WHIZ ENTERPRISES PVT.LTD., ANEEKA UNIVERSAL PVT.LTD. AND SHRI BALAJI ENTERTAINMENTS PVT.LTD.) ON PRETEXT OF PURCHASES/SALES FROM/TO THEM AND/OR THROUGH UNDISCLOSED FUND TRANSFERS VIOLATING SETIONS 12A(B) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(C) TO 3(D), 4(1), 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SEYA INDUSTRIES LTD.
MISPRESENTED FINANCIAL STATEMENTS/RESULTS AND DID NOT GIVE A TRUE AND FAIR VIEW OF FINANCIAL PERFORMANCE AND POSITION VIOLATING REGULATIONS 4(1)(A) TO 4(1)(E), (G), (J), 4(2)(E)(I), 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEYA INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS WITH PROMOTER GROUP COMPANY/COMPANIES RELATED TO PROMOTERS (VIZ. WHIZ ENTERPRISES PVT.LTD., ANEEKA UNIVERSAL PVT.LTD. AND SHRI BALAJI ENTERTAINMENTS PVT.LTD.) AND DID NOT TAKE AUDIT COMMITTEE AND/OR SHAREHOLDER’S APPROVAL FOR UNDISCLOSED RELATED PARTY TRANSACTIONS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(B), 4(2)(E)(I), 23(2), 23(4), 23(9), 33(1)(C), 34(3) READ WITH PART A OF SCHEDULE V AND 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEYA INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF MATERIAL EVENTS/INFORMATION TO STOCK EXCHANGES VIOLATING REGULATIONS 4(1)(D) TO 4(1)(J) AND 30(2) AND 30(3) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEYA INDUSTRIES LTD.
SHOWN WRONG DETAILS OF ATTENDEES OF BOARD MEETINGS, AUDIT AND RISK MANAGEMENT COMMITTEE MEETINGS IN ANNUAL REPORT VIOLATING REGULATIONS 4(1)(C) AND 34(3) READ WITH CLAUSE 2(B) AND 3(C) OF PART C OF SCHEDULE V OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEYA INDUSTRIES LTD.
APPOINTED AUDITORS WHO DID NOT HAVE VALID PEER REVIEW CERTIFICATE ISSUED BY ICAI AS STATUTORY AUDITOR VIOLATING REGULATION 33(1)(D) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEYA INDUSTRIES LTD.
DID NOT DISCLOSE MATERIAL EVENTS/INFORMATION TO STOCK EXCHANGES VIOLATING REGULATION 8(1) READ WITH CLAUSE 1 OF SCHEDULE A OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SEYA INDUSTRIES LTD.
DID NOT PROVIDE INFORMATION AND/OR SUBMITTED WRONG AND MISLEADING INFORMATION TO SEBI IN MATTER OF SEYA INDUSTRIES LTD.
|
DIRECTED TO FILE PUBLIC DISCLOSURE TO THE STOCK EXCHANGES AS WELL AS PUBLISH ON COMPANY’S WEBSITE THE CONTENTS OF THIS ORDER-CUM-SHOW CAUSE NOTICE WITHIN THREE DAYS FROM DATE OF RECEIPT THIS ORDER
DIRECTED TO DISCLOSE UPDATED STATUS OF ALL UNDISCLOSED MATERIAL EVENTS/INFORMATION TO STOCK EXCHANGES WITHIN FIFTEEN DAYS FROM DATE OF RECEIPT OF THIS ORDER
DIRECTED NOT TO SELL/DISPOSE OF/DILUTE SHAREHOLDING IN COMPANY, HELD DIRECTLY OR INDIRECTLY THROUGH FAMILY MEMBERS OR THROUGH COMPANIES IN WHICH THEY OR THEIR FAMILY MEMBERS DIRECTORS
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 02-MAY-2025 TO 01-MAY-2030
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 02-MAY-2025 TO 01-MAY-2030
IMPOSED PENALTY RS.50,00,000
20-MAR-2023
|
SEBI VIDE ITS ORDER DATED 02/05/2025 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER, FOR 5 YEARS, FROM DATE OF THIS ORDER B) RESTRAINED FROM BEING ASSOCIATED WITH SECURITIES MARKET INCLUDING AS A DIRECTOR OR KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY OR ANY INTERMEDIARY REGISTERED WITH SEBI, FOR 5 YEARS, FROM DATE OF THIS ORDER C) PAY PENALTY TO RS.10 LAC U/S 15A(A), RS.10 LAC U/S 15A(B), RS.20 LAC U/S 15HA AND RS.10 LAC U/S 15HB OF SEBI ACT
SEBI VIDE ITS NOTICE DATED 13/08/2025 DIRECTED TO PAY RS.2,08,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 86 |
|
|
SUBBARATHNAM RAVI
(PAN:ADEPR0817K)
|
|
|
|
FALCON TYRES LTD.
CIN:L25114KA1973PLC002455
PAN:AAACF7258E
|
|
DID NOT ADHERE TO THE REQUIREMENT OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT VIOLATING CLAUSE 40A OF LISTING AGREEMENT READ WITH RULE 19A OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH SECTION 21 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
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-MAR-2021 TO 23-SEP-2021
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 24-MAR-2021 TO 23-SEP-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 24-MAR-2021 TO 23-SEP-2021
24-MAR-2021
|
|
| 87 |
|
|
SUDHA ANIL ROONGTA
(PAN:AAQPR4466F)
|
|
|
BOUGHT SHARES FROM PROMOTER ENTITIES AS PRINCIPAL & NOT AS BROKERS AND ISSUED ADVERTISEMENT SEEKING PURCHASERS FOR SHARES TO DEVISE A SCHEME TO MANIPULATE THE PRICE OF SHARES VIOLATING REGULATIONS 3(A) TO (D), 4(1) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF MISHKA FINANCE & TRADING 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 02-DEC-2020 TO 01-DEC-2024
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 02-DEC-2020 TO 01-DEC-2024
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 02-DEC-2020 TO 01-DEC-2024
02-DEC-2020
|
|
| 88 |
|
|
SUDHANGSHU SHEKHAR BISWAL
(PAN:ADVPB3594L)
|
|
|
|
OMAXE LTD.
PAN:AAACO0171H
|
|
INDULGED IN FALSIFICATION/FABRICATION OF BOOKS OF ACCOUNTS AND MANIPULATION OF FINANCIAL STATEMENTS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C), 3(D), 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF OMAXE LTD.
INDULGED IN FALSIFICATION/FABRICATION OF BOOKS OF ACCOUNTS AND MANIPULATION OF FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(2)(F)(I)(2), 4(2)(F)(II)(2), 4(2)(F)(II)(6), 4(2)(F)(II)(7), 4(2)(F)(III)(7), 4(1), 4(2)(E), 33(1)(A), 33(1)(C), 34(3) AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF OMAXE 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 30-JUL-2024 TO 29-JUL-2026
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 30-JUL-2024 TO 29-JUL-2026
IMPOSED PENALTY RS.6,00,000
30-JUL-2024
|
SAT: SAT VIDE ITS ORDER DATED 01/10/2024 ALLOWED RESPONDENT FOUR WEEKS TO FILE REPLY AND REJOINDER TO BE FILED WITHIN FOUR WEEKS THEREAFTER. STAYED THE DIRECTIONS IN PARAS NO.41(1) AND 41(2) SUBJECT TO DEPOSIT OF PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 16/12/2024 GRANTED APPELLANTS FOUR WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 08/05/2025 GRANTED APPELLANTS THREE WEEKS TO FILE REJOINDER
|
| 89 |
|
|
SUDHIR KUMAR JENA
(PAN:AASPS2187G)
|
|
|
|
MIDVALLEY ENTERTAINMENT LTD.
PAN:AABCC3634J
|
|
DID NOT MAKE DISCLOSURE OF DIRECTORSHIPS IN IPO PROSPECTUS IN MATTER OF MIDVALLEY ENTERTAINMENT 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 18-FEB-2020 TO 17-FEB-2027
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 18-FEB-2020 TO 17-FEB-2027
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
18-FEB-2020
|
|
| 90 |
|
|
SUNIL ARJAN LULLA
(PAN:AAAPL4639E)
|
|
|
INDULGED IN MANIPULATION OF BOOKS OF ACCOUNTS AND MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS OPERATIONS
DIVERTED/SIPHONED FUNDS TO OTHER GROUP COMPANIES
DID NOT HAVE ANY ACTUAL BUSINESS OPERATIONS OF COMPANIES
DID NOT ENGAGE IN ACTIVITIES RELATED TO ENTERTAINMENT INDUSTRY
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-JUN-2023 UNTIL FURTHER ORDERS
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
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
DIRECTED BSE TO APPOINT FORENSIC AUDITOR TO EXAMINE BOOKS OF ACCOUNTS OF THE COMPANY
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 22-JUN-2023 UNTIL FURTHER ORDERS
22-JUN-2023
|
SAT: SAT VIDE ITS ORDER DATED 22/08/2023 DISPOSED OF THE APPEAL BY DIRECTING APPELLANT TO FILE REPLY/OBJECTION ALONG WITH STAY VACATION APPLICATION TO AD-INTERIM EX-PARTE ORDER DATED 22/06/2023 WITHIN THREE WEEKS FROM DATE OF THIS ORDER. WTM TO FIX A DATE WITHIN A WEEK FROM DATE OF FILING OF REPLY
SEBI VIDE ITS ORDER DATED 13/10/2023 DIRECTED TO CONTINUE TO BE RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES, EITHER DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER UNTIL FURTHER ORDERS
SEBI VIDE ITS ORDER DATED 13/10/2023 DIRECTED TO CONTINUE TO BE RESTRAINED FROM HOLDING THE POSITION OF DIRECTOR OR KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY, INCLUDING EROS, OR ITS SUBSIDIARIES OR ANY SEBI REGISTERED INTERMEDIARY UNTIL FURTHER ORDERS
SAT: SAT VIDE ITS ORDER DATED 28/06/2024 DIRECTED TO ISSUE SCN IF ANY, WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND MATTER TO BE DECIDED WITHIN FIVE MONTHS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 31/01/2025 ALLOWED RESPONDENT FOUR WEEKS TO FILE REPLY AND REJOINDER TO BE FILED WITHIN TWO WEEKS THEREAFTER. STAYED RECOVERY SUBJECT TO DEPOSIT 50% PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 91 |
|
|
SUNIL ATODE
(DIN:07857476)
|
|
|
|
HIGHBROW MARKET RESEARCH PVT.LTD.
PAN:AACCH8077M
|
|
INDULGED IN NON-GENUINE INVESTMENT ADVISORY ACTIVITY VIOLATING CLAUSES 1 TO 6 AND 8 OF CODE OF CONDUCT FOR INVESTMENT ADVISERS READ WITH REGULATION 15(9) OF (INVESTMENT ADVISORS) REGULATIONS, 2013
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-SEP-2023 TO 19-SEP-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-SEP-2023 TO 19-SEP-2024
CEASED & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS AN INVESTMENT ADVISOR, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 20-SEP-2023 TO 19-SEP-2024
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
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 DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT NOT TRANSFERRED SECURITIES HELD JOINTLY OR SEVERALLY
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 20-SEP-2023 TO 19-SEP-2024
23-MAY-2019
|
SEBI VIDE ITS ORDER DATED 30/01/2020 CONFIRMED DIRECTIONS ISSUED VIDE ITS EX-PARTE AD-INTERIM ORDER DATED 23/01/2019
SEBI VIDE ITS ORDER DATED 20/09/2023 DIRECTED TO A) DEBARFROM ACCESSING SECURITIES MARKET, DIRECTLY OR INDIRECTLY AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER, FOR ONE YEAR FROM DATE OF THIS ORDER AND B) PROHIBITED FROM HOLDING POSITION OF A DIRECTOR OR A KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY OR REGISTERED INTERMEDIARIES
|
| 92 |
|
|
SUNIL BHANSALI
(PAN:AKRPB5641H)
|
|
|
|
FALCON TYRES LTD.
CIN:L25114KA1973PLC002455
PAN:AAACF7258E
|
|
DID NOT ADHERE TO THE REQUIREMENT OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT VIOLATING CLAUSE 40A OF LISTING AGREEMENT READ WITH RULE 19A OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH SECTION 21 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
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-MAR-2021 TO 23-MAR-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 24-MAR-2021 TO 23-MAR-2022
24-MAR-2021
|
|
| 93 |
|
|
SUNIL SHANKARBHAI KOTA
(PAN:BJAPK7820G)
|
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DIRECTED TO DEPOSIT REMAINING BALANCE AMOUNT WITH SEBI TO BE KEPT IN ESCROW ACCOUNT
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 31-MAY-2023 TO 30-MAY-2025
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-MAY-2023 TO 30-MAY-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAY-2023 TO 30-MAY-2025
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 31-MAY-2023 TO 30-MAY-2025
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY INVESTMENT ADVISORY SERVICES AND/OR RESEARCH ANALYST ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI FROM 31-MAY-2023 TO 30-MAY-2025
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
31-MAY-2023
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SEBI VIDE ITS NOTICE DATED 01/07/2025 DIRECTED TO PAY RS.10,68,220.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 94 |
|
|
SURJIT KRISHAN SHARMA
(PAN:AUQPS5234A)
|
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|
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LEEL ELECTRICALS LTD.
PAN:AAACL0484G
|
|
DID NOT EXERCISE DUE DILIGENCE AS A MEMBER OF AUDIT COMMITTEE VIOLATING REGULATION 18(3) READ WITH PART A OF PART C OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF LEEL ELECTRICAL LTD.
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RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 18-APR-2024 TO 17-APR-2027
IMPOSED PENALTY RS.10,00,000
18-APR-2024
|
SEBI VIDE ITS NOTICE DATED 30/09/2024 DIRECTED TO PAY RS.10,61,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 08/10/2024 CONDONED THE DELAY OF 100 DAYS IN FILING OF APPEAL. GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER. NO RECOVERY OF PENALTY AMOUNT SUBJECT TO DEPOSIT OF RS.3 LAC WITH SEBI WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 07/11/2025 STAYED RECOVERY OF PENALTY AMOUNT
|
| 95 |
|
|
SWAPNIL PRAJAPATI
(PAN:BTWPP9571K)
|
|
|
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HIGHBROW MARKET RESEARCH PVT.LTD.
PAN:AACCH8077M
|
|
INDULGED IN NON-GENUINE INVESTMENT ADVISORY ACTIVITY VIOLATING CLAUSES 1 TO 6 AND 8 OF CODE OF CONDUCT FOR INVESTMENT ADVISERS READ WITH REGULATION 15(9) OF (INVESTMENT ADVISORS) REGULATIONS, 2013
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-SEP-2023 TO 19-SEP-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-SEP-2023 TO 19-SEP-2024
CEASED & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS AN INVESTMENT ADVISOR, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 20-SEP-2023 TO 19-SEP-2024
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
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 DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT NOT TRANSFERRED SECURITIES HELD JOINTLY OR SEVERALLY
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 20-SEP-2023 TO 19-SEP-2024
23-MAY-2019
|
SEBI VIDE ITS ORDER DATED 30/01/2020 CONFIRMED DIRECTIONS ISSUED VIDE ITS EX-PARTE AD-INTERIM ORDER DATED 23/01/2019
SEBI VIDE ITS ORDER DATED 20/09/2023 DIRECTED TO A) DEBARFROM ACCESSING SECURITIES MARKET, DIRECTLY OR INDIRECTLY AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER, FOR ONE YEAR FROM DATE OF THIS ORDER AND B) PROHIBITED FROM HOLDING POSITION OF A DIRECTOR OR A KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY OR REGISTERED INTERMEDIARIES
|
| 96 |
|
|
TALAT WAHADATALI MOHAMAD
(PAN:AAHPM1979K)
|
|
|
|
FINALYSIS CREDIT & GUARANTEE CO.LTD.
PAN:AABCF9494P
|
|
DEVISED A SCHEME TO DEFRAUD ORIGINAL PUBLIC SHAREHOLDERS BY ISSUING FORGED CONSOLIDATED SHARE CERTIFICATES AND THEREAFTER FRAUDULENTLY SOLD THESE CONSOLIDATED SHARE CERTIFICATES TO PURCHASERS BROUGHT BY BIPIN DIVECHA VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) & 4(2)(H) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF FINALYSIS CREDIT & GURANTEE CO.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 05-MAY-2020 TO 04-MAY-2023
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 05-MAY-2020 TO 04-MAY-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
05-MAY-2020
|
|
| 97 |
|
|
VASAN CHIDAMBARAM
(DIN:01111703
PAN:ACEPV8596L)
|
|
|
|
MIDVALLEY ENTERTAINMENT LTD.
PAN:AABCC3634J
|
|
DID NOT MAKE DISCLOSURE OF DIRECTORSHIPS IN IPO PROSPECTUS IN MATTER OF MIDVALLEY ENTERTAINMENT 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 18-FEB-2020 TO 17-FEB-2027
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 18-FEB-2020 TO 17-FEB-2027
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
18-FEB-2020
|
|
| 98 |
|
|
VIDHI SINGH PARIHAR
(PAN:CDTPP2860D)
|
|
|
|
PROFICIENT RESEARCH
PAN:AAQFP1547F
|
|
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-NOV-2021 TO 31-OCT-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-NOV-2021 TO 31-OCT-2025
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 01-NOV-2021 TO 31-OCT-2025
DIRECTED TO REFUND MONEY RECEIVED FROM CLIENTS/INVESTORS/COMPLAINANT AS FEES OR CONSIDERATION OR IN ANY OTHER FORM IN RESPECT OF UNREGISTERED INVESTMENT ADVISORY AND/OR RESEARCH ANALYSIS ACTIVITIES
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
PROHIBITED FROM SELLING, TRANSFERRING, DIRECTLY OR INDIRECTLY, ASSETS, PROPERTIES (IMMOVABLE AND MOVABLE) AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 01-NOV-2021 TO 31-OCT-2025
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
01-NOV-2021
|
SEBI VIDE ITS NOTICE DATED 10/04/2024 DIRECTED TO PAY RS.62,41,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 10/07/2024 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
|
| 99 |
|
|
VIJAY KIRPALANI
(PAN:AALPK2981K)
|
|
|
DID NOT CONDUCT AUDIT COMMITTEE MEETINGS, DID NOT DISCUSS FINANCIAL STATEMENTS, DID NOT SCRUTINY INTER CORPORATE LOANS AND RELATED PARTY TRANSACTIONS IN AUDIT COMMITTEE MEETINGS VIOLATING CLAUSE 49(II)(D)(1) TO (13) AND 49(II)(E)(1) AND (2) OF SEBI LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF SHARON BIO-MEDICINE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-MAY-2023 TO 30-MAY-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAY-2023 TO 30-MAY-2026
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 31-MAY-2023 TO 30-MAY-2026
IMPOSED PENALTY RS.22,00,000
31-MAY-2023
|
SAT: SAT VIDE ITS ORDER DATED 06/11/2023 CONDONED THE DELAY IN FILING OF APPEAL AND REPLY IS TAKEN ON RECORD. ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 19/12/2023 ALLOWED RESPONDENT FURTHER TWO WEEKS TO FILE REPLY AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 09/02/2024 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 01/04/2024 DIRECTED TO PAY RS.24,43,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 15/04/2024 ALLOWED ADDITIONAL FOUR WEEKS TO FILE REJOINDER
SEBI VIDE ITS ORDER DATED 22/04/2024 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
SEBI VIDE ITS NOTICE DATED 27/05/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.24,65,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SEBI VIDE ITS NOTICE DATED 05/06/2024 ALLOWED THE APPEAL AND DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 22/04/2024
SEBI VIDE ITS ORDER DATED 05/06/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7745 OF 2024 DATED 01/04/2024
SAT: SAT VIDE ITS ORDER DATED 28/06/2024 GRANTED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 21/08/2024 GRANTED APPELLANTS THREE WEEKS TO FILE REJOINDER. BY CONSENT, CALL ON 21/10/2024
SAT: SAT VIDE ITS ORDER DATED 11/11/2024 GRANTED APPELLANTS TWO WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 03/03/2025 GRANTED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 01/07/2025 GRANTED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 100 |
|
|
VIMAL GUPTA
(PAN:AAGPG1293D)
|
|
|
|
OMAXE LTD.
PAN:AAACO0171H
|
|
INDULGED IN FALSIFICATION/FABRICATION OF BOOKS OF ACCOUNTS AND MANIPULATION OF FINANCIAL STATEMENTS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C), 3(D), 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF OMAXE LTD.
INDULGED IN FALSIFICATION/FABRICATION OF BOOKS OF ACCOUNTS AND MANIPULATION OF FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(1), 4(2)(E), 33(1)(A), 33(1)(C), 34(3) AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF OMAXE LTD.
ISSUED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF OMAXE 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 30-JUL-2024 TO 29-JUL-2026
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 30-JUL-2024 TO 29-JUL-2026
IMPOSED PENALTY RS.6,00,000
30-JUL-2024
|
SAT: SAT VIDE ITS ORDER DATED 01/10/2024 ALLOWED RESPONDENT FOUR WEEKS TO FILE REPLY AND REJOINDER TO BE FILED WITHIN FOUR WEEKS THEREAFTER. STAYED THE DIRECTIONS IN PARAS NO.41(1) AND 41(2) SUBJECT TO DEPOSIT OF PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 16/12/2024 GRANTED APPELLANTS FOUR WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 08/05/2025 GRANTED APPELLANTS THREE WEEKS TO FILE REJOINDER
|
| 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 5 of 6
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