| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
KSS LTD.
(PAN:AAACG5103D)
|
|
|
|
ASHOK GANGWANI
PAN:AAFPG0318J
|
|
|
PARAG M.SANGHAVI
PAN:ATYPS3041A
|
|
|
SANJAY BIPIN LAI
PAN:AAEPL6967H
|
|
WRONG AND DELAYED DISCLOSURE OF PLEDGED SHARES OF MANTRA TRADING CO.PVT.LTD. TO NSE VIOLATING REGULATION 8A(4) OF SAST (AMENDMENT) REGULATIONS, 2009 IN MATTER OF KSS LTD.
DID NOT MAKE DISCLOSURE OF PLEDGED SHARES OF PROMOTERS TO BSE IN MATTER OF KSS LTD.
DID NOT MAKE DISCLOSURE OF INVOCATION OF SHARES OF THE PROMOTERS TO NSE & BSE DESPITE RECEIVING THE SAME FROM THE PROMOTERS IN MATTER OF KSS LTD.
DID NOT MAKE DISCLOSURE OF NON-IMPLEMENTATION OF CORPORATE ANNOUNCEMENTS TO STOCK EXCHANGES VIOLATING CLAUSE 36(7) OF LISTING AGREEMENT READ WITH SECTION 21 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF KSS LTD.
DID NOT MAKE DISCLOSURE OF INVOCATION OF PLEDGED SHARES TO STOCK EXCHANGES VIOLATING CLAUSE 2.1 OF SCHEDULE II OF REGULATION 12(2) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF KSS LTD.
|
IMPOSED PENALTY RS.10,00,000
11-MAY-2018
|
|
| 82 |
|
|
KYRA LANDSCAPES LTD.
(CIN:L45200MH1991PLC062984
PAN:AAACT4757E)
|
|
|
INDULGED IN DELIVERY OF THOSE SECURITIES FOR WHICH TRADING PERMISSION WAS NOT GRANTED BY BSE VIOLATING SECTION 23F OF SCRA ACT, 1956 IN MATTER OF KYRA LANDSCAPES LTD.
DID NOT MAKE CORRECT DISCLOSURE OF SHAREHOLDING PATTERN TO BSE VIOLATING CLAUSE 35 OF LISTING AGREEMENT READ WITH REGULATION 103(2) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF KYRA LANDSCAPES LTD.
|
IMPOSED PENALTY RS.4,00,000
29-NOV-2019
|
SEBI VIDE ITS NOTICE DATED 27/04/2021 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1.ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) 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
SEBI VIDE ITS ORDER DATED 02/06/2021 DIRECTED ALL THE BANKS TO REMIT RS.4,73,460.00 TO THE EXTENT LYING IN THE ACCOUNT OF KYRA LANDSCAPES LTD. BY WAY OF EFT/NEFT/RTGS
|
| 83 |
|
|
LEEL ELECTRICALS LTD.
(PAN:AAACL0484G)
|
|
|
|
ACHIN KUMAR ROY
PAN:AACPR6406K
|
|
|
ANITA KAKAR SHARMA
PAN:ARBPK3057B
|
|
|
BHARAT RAJ PUNJ
PAN:AAHPP4196K
|
|
|
GEETA TEKCHAND
PAN:AAAPT0907H
|
|
|
MUKAT BIHARI SHARMA
PAN:AIYPS6825M
|
|
|
NIPUN SINGHAL
PAN:AFFPG0064A
|
|
|
SURJIT KRISHAN SHARMA
PAN:AUQPS5234A
|
|
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.
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 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 LEEL ELECTRICAL LTD.
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), 4(1)(E), 4(1)(G) TO 4(1)(J), 4(2)(F)(I)(2), 4(2)(F)(II)(2),(6)(7), 4(2)(F)(III)(7), 23(4) READ WITH 23(1) AND 33(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF LEEL ELECTRICAL LTD.
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING CLAUSE 41(1)(A) OF ERSTWHILE LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF LEEL ELECTRICAL LTD.
DID NOT ADHERE TO REGULATIONS 6(2)(A) TO 6(2)(C) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF LEEL ELECTRICAL LTD.
|
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.4,00,00,000
18-APR-2024
|
|
| 84 |
|
|
LEEL ELECTRICALS LTD.
(PAN:AAACL0484G)
|
|
|
|
ACHIN KUMAR ROY
PAN:AACPR6406K
|
|
|
ANITA KAKAR SHARMA
PAN:ARBPK3057B
|
|
|
BHARAT RAJ PUNJ
PAN:AAHPP4196K
|
|
|
MUKAT BIHARI SHARMA
PAN:AIYPS6825M
|
|
|
NIPUN SINGHAL
PAN:AFFPG0064A
|
|
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 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 LEEL ELECTRICAL LTD.
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), 4(1)(E), 4(1)(G) TO 4(1)(J), 4(2)(F)(I)(2), 4(2)(F)(II)(2),(6)(7), 4(2)(F)(III)(7), 23(4) READ WITH 23(1) AND 33(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF LEEL ELECTRICAL LTD.
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING CLAUSE 41(1)(A) OF ERSTWHILE LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF LEEL ELECTRICAL LTD.
DID NOT ADHERE TO REGULATIONS 6(2)(A) TO 6(2)(C) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF LEEL ELECTRICAL LTD.
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.
|
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-APR-2024 TO 17-APR-2029
18-APR-2024
|
|
| 85 |
|
|
MACRO SOFT TECHNOLOGY PVT.LTD.
(PAN:AACCM3329H)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF INDO PACIFIC SOFTWARE & ENTERTAINMENT LTD.
ENTERED INTO OFF-MARKET TRANSACTIONS WHICH WERE NOT IN THE NATURE OF SPOT DELIVERY CONTRACTS VIOLATING SECTIONS 13 AND 18 READ WITH SECTION 2(I) OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN SCRIP OF INDO PACIFIC SOFTWARE & ENTERTAINMENT LTD.
|
IMPOSED PENALTY RS.1,50,000
30-MAR-2012
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 86 |
|
|
MAHSUKHBHAI S.ADANI FAMILY TRUST
|
|
|
|
MAHSUKH S.ADANI
|
|
|
SUVARNA M.ADANI
|
|
VIOLATED SECTION 2 (I) (A) OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
VIOLATED SECTION 16 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
VIOLATED SECTION 24 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.30,00,000 BY THE ACCUSED TO SEBI
|
| 87 |
|
|
MALOO BUILDING MATERIALS PVT.LTD.
(PAN:AABCM0619D)
|
|
|
|
ANANT SURESHCHANDRA MALOO
PAN:ACSPM2958D
|
|
|
MANAN VIDHYAPATI PATEL
PAN:AFJPP0452P
|
|
TRANSFERRED AND RECEIVED SHARES IN OFF-MARKET TRANSACTIONS WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION VIOLATING SECTION 2(I) READ WITH SECTIONS 13, 16 AND 18 OF SCRA, 1956 READ WITH SEBI NOTIFICATION NO.LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013 IN MATTER OF TIMBOR HOME LTD.
|
IMPOSED PENALTY RS.1,15,000
06-JUL-2021
|
SAT: SAT VIDE ITS ORDER DATED 04/02/2022 CONDONED THE DELAY IN FILING OF THE APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTERA
SEBI VIDE ITS NOTICE DATED 13/04/2022 DIRECTED TO PAY RS.1,26,624.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 88 |
|
|
MANOJ JAIN (HUF)
(PAN:AAIHM8857K)
|
|
|
|
ABHISHEK UPADHYAY
PAN:AENPU4185K
|
|
|
MANOJ KANTILAL JAIN
PAN:AABPJ5401D
|
|
|
NITIN SEN
PAN:CMLPS6798A
|
|
|
RITESH VYAS
PAN:AEVPV9291H
|
|
|
SANDHYA DHARKAR
PAN:AHXPD0564A
|
|
|
VIJAY KUMAR TAYDE
PAN:ACGPT9190C
|
|
TRANSFERRED AND RECEIVED SHARES IN OFF-MARKET TRANSACTIONS WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION VIOLATING SECTION 2(I) OF SEBI SCRA ACT, 1956 READ WITH SECTIONS 13, 16 AND 18 OF SEBI SECURITIES CONTRACTS (REGULATION) ACT, 1956 READ WITH SEBI NOTIFICATION DATED 03/10/2013 IN MATTER OF STL GLOBAL LTD.
|
IMPOSED PENALTY RS.1,00,000
21-OCT-2021
|
SEBI VIDE ITS NOTICE DATED 17/02/2022 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
|
| 89 |
|
|
METICULOUS IT SOLUTIONS PVT.LTD.
(PAN:AAICM9850H)
|
|
|
EXECUTED OFF-MARKET TRANSACTION OF SHARES WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION IN STIPULATED TIME VIOLATING SECTION 16 OF SCRA, 1956 READ WITH SEBI NOTIFICATION DATED 03/10/2013 AND SECTIONS 13 AND 18 OF SCRA READ WITH SECTION 2(I) OF SCRA ACT, 1956 IN MATTER OF AMSONS APPARELS LTD.
|
IMPOSED PENALTY RS.2,00,000
11-NOV-2022
|
|
| 90 |
|
|
MUDIT FINLEASE LTD.
|
|
|
ALLEGED VIOLATION OF CLAUSE 3.2-1 AND CLAUSE 1.2 OF CODE OF CONDUCT SPECIFIED UNDER PART A OF SCHEDULE I READ WITH REGULATIONS 12(1) & 12(3) AND CLAUSE 2.1 OF CODE OF CORPORATE DISCLOSURE PRACTICES FOR PREVENTION OF INSIDER TRADING AS SPECIFIED UNDER REGULATION 12(2) OF SCHEDULE II OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
ALLEGED VIOLATION OF SECTION 21 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 READ WITH CLAUSE 41(I) (C) OF LISTING AGREEMENT
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.20,40,000 VIDE CONSENT ORDER)
14-AUG-2017
|
|
| 91 |
|
|
NALINI PROPERTIES PVT.LTD.
|
|
|
|
ANURADHA D.PENDSE
|
|
|
DILIP S.PENDSE
|
|
|
SUDHAKAR PENDSE
|
|
VIOLATED SECTION 13 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
DEALT IN SECURITIES WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
DEALT IN SECURITIES WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3 A OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
DISCHARGED
DISMISSED
|
| 92 |
|
|
NANDANVAN COMMERCIAL PVT.LTD.
(PAN:AABCN4876H)
(Along with : NANDANVAN COMMERCIAL PVT.LTD.)
|
|
|
EXECUTED OFF-MARKET TRANSFER OF SHARES WITHOUT RECEIPT OF CONSIDERATION VIOLATING SECTION 2(I) READ WITH SECTIONS 13 AND 18 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF URJA GLOBAL LTD.
|
IMPOSED PENALTY RS.10,00,000
10-FEB-2021
|
SAT: SAT VIDE ITS ORDER DATED 25/10/2021 DISMISSED THE APPEAL
|
| 93 |
|
|
NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE
(PAN:AAACN1797L)
|
|
|
|
AJAY SHAH
PAN:AAPPS2553M
|
|
|
CHITRA RAMKRISHNA
PAN:ABVPR7353M
|
|
|
RAVI NARAIN
PAN:AAYPN8382Q
|
|
|
SUPRABHAT LALA
PAN:ABEPL5061D
|
|
MISUSED CONFIDENTIAL DATA VIOLATING CODE OF CONDUCT FOR OFFICE BEARERS OF THE STOCK EXCHANGE AND PROVISIONS RELATED TO FAIRNESS & TRANSPARENCY, DUE DILIGENCE AND CONFLICT OF INTEREST AS SPECIFIED IN MASTER CIRCULAR NO.CIR/MRD/DSA/SE/43/2010 OF 31/12/ 2010 READ WITH SECTION 3(2)(B) OF SCRA, 1956 IN MATTER OF NSE CO-LOCATION AND CORPORATE GOVERNANCE
|
IMPOSED PENALTY RS.1,00,00,000
30-JUN-2022
|
SAT: SAT VIDE ITS ORDER DATED 11/08/2022 RESPONDENT FILE REPLIES IN ALL APPEALS AND REJOINDER FILE WITHIN THREE WEEKS FROM DATE OF THIS ORDER. DIRECTED AO PURSUANT TO THE IMPUGNED ORDER SHALL REMAIN STAYED DURING THE PENDENCY OF THE APPEAL.
SAT: SAT VIDE ITS ORDER DATED 24/07/2024 DISMISSED THE APPEAL AS WITHDRAWN
|
| 94 |
|
|
NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE
(PAN:AAACN1797L)
|
|
|
|
ANAND SUBRAMANIAN
PAN:AARPA8290K
|
|
|
CHITRA RAMKRISHNA
PAN:ABVPR7353M
|
|
MADE INCORRECT AND MISLEADING STATEMENT TO SEBI ON HIS APPOINTMENT AND SELECTION IN NSE VIOLATING SECTION 6(4) OF SCRA, 1956
SHARED INTERNAL CONFIDENTIAL INFORMATION OF NSE WITH UNKNOWN PERSON AND ALLOWED HER DECISIONS ON VARIOUS ASPECTS OF THE FUNCTIONING OF THE STOCK EXCHANGE TO BE INFLUENCED BY THAT PERSON VIOLATING CLAUSE V(D), (E) AND (F) OF CODE OF CONDUCT AS SPECIFIED UNDER PART A OF SCHEDULE II READ WITH REGULATION 26(1) OF SEBI (SECC) REGULATIONS, 2012
MADE INCORRECT AND MISLEADING STATEMENT BEFORE NSE THAT THE UNKNOWN PERSON WAS A ‘SIDDHA-PURUSHA’ AND ‘PARAMHANSA, WHO DID NOT HAVE PHYSICAL PERSONA AND COULD MATERIALIZE AT WILL VIOLATING SECTION 6(4) OF SCRA, 1956
|
RESTRAINED FROM ASSOCIATING WITH ANY MARKET INFRASTRUCTURE INSTITUTION OR ANY INTERMEDIARY REGISTERED WITH SEBI
IMPOSED PENALTY RS.6,00,00,000
11-FEB-2022
|
|
| 95 |
|
|
NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE
(PAN:AAACN1797L)
|
|
|
|
RAVI NARAIN
PAN:AAYPN8382Q
|
|
FAILED TO ADMINISTER THE STOCK EXCHANGE WITH PROFESSIONAL COMPETENCE, FAIRNESS, IMPARTIALITY, EFFICIENCY AND EFFECTIVENESS, DID NOT MAINTAIN HIGHEST STANDARDS OF PERSONAL INTEGRITY, TRUTHFULNESS, HONESTY AND FORTITUDE IN DISCHARGING THEIR DUTIES AND ENGAGED IN ACTS DISCREDITABLE TO THEIR RESPONSIBILITIES ETC. VIOLATING CLAUSES V(B), (E), (F) AND (G) OF CODE OF CONDUCT AS SPECIFIED UNDER PART A OF SCHEDULE II READ WITH REGULATION 26(1) OF SEBI (SECC) REGULATIONS, 2012
DID NOT MAINTAIN APPROPRIATE CONDUCT, PUTTING THE REPUTATION OF STOCK EXCHANGE IN JEOPARDY BY IGNORING VARIOUS IRREGULARITIES OF MS.CHITRA RAMKRISHNA VIOLATING CLAUSE III(C), (E) AND (F) OF CODE OF ETHICS AS SPECIFIED UNDER PART B OF SCHEDULE II READ WITH REGULATION 26(2) OF SEBI (SECC) REGULATIONS, 2012
MADE INCORRECT AND MISLEADING STATEMENT TO SEBI THAT HE DID NOT HAVE ANY ROLE IN APPOINTMENT AND SELECTION OF MR.ANAND SUBRAMANIAN VIOLATING SECTION 6(4) OF SCRA, 1956
|
RESTRAINED FROM ASSOCIATING WITH ANY MARKET INFRASTRUCTURE INSTITUTION OR ANY INTERMEDIARY REGISTERED WITH SEBI
IMPOSED PENALTY RS.4,00,00,000
11-FEB-2022
|
|
| 96 |
|
|
NATRAJ CAPITAL & CREDIT PVT.LTD.
(PAN:AAACN2928D)
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION
ISSUED FICTITIOUS CONTRACT NOTES
FALSIFIED/FABRICATED DOCUMENT TO GIVE IMPRESSION OF AUTHENTICITY ABOUT ITS TRANSACTIONS
DELAY IN TRANSFER OF SHARES TO TRANSFEREES SUBSEQUENT TO RECEIPT OF PAYMENT FROM TRANSFEREES VIOLATING SECTION 2(I)(A) OF SCRA, 1956 AND SECTIONS 13, 16 AND 18 OF SCRA, 1956 READ WITH SEBI NOTIFICATION G.S.R 219(E) DATED 02/03/2000 AND SEBI NOTIFICATION NO.LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013 IN MATTER OF DELTA LEASING AND FINANCE LTD.
DID NOT FURNISH REQUIRED INFORMATION IN RESPONSE TO SUMMONS ISSUED BY INVESTIGATION AUTHORITY IN MATTER OF DELTA LEASING AND FINANCE LTD.
STATED FALSE REASONS IN DELIVERY INSTRUCTION SLIP (DIS) FOR TRANSACTIONS AS LOAN OF SHARES, RETURN OF LOAN, BAD DELIVERY, RECTIFICATION OF BAD DELIVERY AND GIFT VIOLATING REGULATION 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DELTA LEASING AND FINANCE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JAN-2023 TO 30-APR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JAN-2023 TO 30-APR-2023
IMPOSED PENALTY RS.10,50,000
31-JAN-2023
|
|
| 97 |
|
|
NATURE INFOSOFT PVT.LTD.
(CIN:U72300DL2007PTC169758
PAN:AACCN6386M)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KALPA COMMERCIAL LTD.
TRANSFERRED AND RECEIVED SHARES IN OFF-MARKET TRANSACTIONS WITHOUT/PARTIAL CONSIDERATION VIOLATING SECTION 16 OF SCRA, 1956 READ WITH SEBI NOTIFICATION NO.G.S.R. 219(E) DATED 03/10/2013 AND SECTIONS 13 AND 18 OF SCRA, 1956 READ WITH SECTION 2(I) OF SEBI SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF KALPA COMMERCIAL LTD.
DID NOT PROVIDE INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON IN MATTER OF KALPA COMMERCIAL LTD.
|
IMPOSED PENALTY RS.9,00,000
24-NOV-2021
|
SEBI VIDE ITS ORDER DATED 09/09/2022 ENHANCED PENALTY FROM RS.4 LAC TO RS.5 LAC AND DIRECTED TO PAY ENHANCED PENALTY WITHIN FORTY FIVE DAYS FROM THE DATE OF COMING INTO FORCE OF THIS DIRECTIONS
|
| 98 |
|
|
NEEDFUL FINANCIAL CONSULTANTS PVT.LTD.
(PAN:AADCN3128J)
|
|
|
EXECUTED OFF-MARKET TRANSACTION OF SHARES WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION VIOLATING SECTION 2(I) OF SCRA, 1956 READ WITH SECTIONS 13, 16 AND 18 OF SCRA, 1956 AND READ WITH SEBI NOTIFICATION G.S.R.184 (E) DATED 01/03/2000 AND NOTIFICATION NO. LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013 IN MATTER OF METALYST FORGINGS LTD. (EARLIER KNOWN AS AHMEDNAGAR FORGINGS LTD.)
|
IMPOSED PENALTY RS.3,00,000
30-AUG-2022
|
SEBI VIDE ITS NOTICE DATED 03/03/2023 DIRECTED TO PAY RS.3,25,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 16/05/2023 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
|
| 99 |
|
|
NEELABH SPINNING MILLS PVT.LTD.
(PAN:AAACN5756H)
|
|
|
ENTERED OFF-MARKET TRANSACTION OF SHARES WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION VIOLATING SECTION 16 OF SCRA, 1956 READ WITH SEBI NOTIFICATION DATED 03/10/2013 AND SECTION 13 AND 18 OF SCRA, 1956 READ WITH SECTION 2(I) OF SCRA, 1956 IN MATTER OF OPTIEMUS INFRACOM LTD.
|
IMPOSED PENALTY RS.4,00,000
31-JUL-2024
|
SEBI VIDE ITS NOTICE DATED 13/03/2025 DIRECTED TO PAY RS.4,37,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 20/05/2025 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
|
| 100 |
|
|
NIKITA FOREX PVT.LTD.
(CIN:U74999WB2011PTC169277
PAN:AADCN8028M)
|
|
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INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KALPA COMMERCIAL LTD.
TRANSFERRED AND RECEIVED SHARES IN OFF-MARKET TRANSACTIONS WITHOUT/PARTIAL CONSIDERATION VIOLATING SECTION 16 OF SCRA, 1956 READ WITH SEBI NOTIFICATION NO.G.S.R. 219(E) DATED 03/10/2013 AND SECTIONS 13 AND 18 OF SCRA, 1956 READ WITH SECTION 2(I) OF SEBI SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF KALPA COMMERCIAL LTD.
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IMPOSED PENALTY RS.7,00,000
24-NOV-2021
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SEBI VIDE ITS ORDER DATED 09/09/2022 ENHANCED PENALTY FROM RS.4 LAC TO RS.5 LAC AND DIRECTED TO PAY ENHANCED PENALTY WITHIN FORTY FIVE DAYS FROM THE DATE OF COMING INTO FORCE OF THIS DIRECTIONS
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| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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