| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
AMAN ANAND ARYA
(PAN:AIPPA0705R)
(Along with : ANAND KUMAR ARYA,
INDU ANAND ARYA)
|
|
|
|
ANAND KUMAR ARYA (HUF)
PAN:AAMHA0324H
|
|
|
CRESSIDA TRADERS PVT.LTD.
PAN:AAACC2388J
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 30(1) AND 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF PREMIER SYNTHETICS LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
16-AUG-2018
|
|
| 82 |
|
|
AMAN BAID
(PAN:APVPB4547D)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SASTALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF KARMA INDUSTRIES LTD. REGULATIONS, 2011 IN MATTER OF BAID LEASING & FINANCE LTD.
|
IMPOSED PENALTY RS.1,00,000
06-JUL-2017
|
|
| 83 |
|
|
AMAR GALA
(PAN:AEIPG9529A)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(1) OF SAST REGULATIONS, 2011 IN MATTER OF ENBEE TRADE & FINANCE LTD.
DID NOT DEPOSIT HUNDRED PERCENT OF CONSIDERATION PAYABLE UNDER OPEN OFFER IN ESCROW ACCOUNT AS REQUIRED UNDER REGULATION 24(1) OF SAST REGULATIONS, 2011 IN MATTER OF ENBEE TRADE & FINANCE LTD.
COMPLETED ACQUISITION OF SHARES OF TARGET COMPANY WITHOUT DEPOSITING HUNDRED PERCENT OF CONSIDERATION PAYABLE UNDER OPEN OFFER IN ESCROW ACCOUNT AS REQUIRED UNDER REGULATION 22(1) READ WITH 22(2) OF SAST REGULATIONS, 2011 IN MATTER OF ENBEE TRADE & FINANCE LTD.
|
IMPOSED PENALTY RS.25,00,000
26-JUL-2017
|
SAT: APPEAL DISMISSED. NO COSTS
|
| 84 |
|
|
AMARDEEP SINGH DAHIYA
(PAN:AANPD3910B)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4) AND 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF POLO HOTELS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF POLO HOTELS LTD.
|
IMPOSED PENALTY RS.2,00,000
28-FEB-2019
|
SEBI VIDE ITS NOTICE DATED 17/07/2019 DIRECTED ALL THE BANKS AND MUTUAL FUNDS 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
SEBI VIDE ITS ORDER DATED 02/08/2019 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 17/07/2019
|
| 85 |
|
|
AMARDEEP SINGH DAHIYA
(PAN:AANPD3910B)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED ON ACQUISITION OF PREFERENTIAL ALLOTMENT VIOLATING REGULATION 3(2) OF SAST REGULATIONS, 2011 IN MATTER OF POLO HOTELS LTD.
DID NOT FILE REPORT PERTAINING TO ALLOTMENT OF EQUITY SHARES TO STOCK EXCHANGE AS REQUIRED UNDER REGULATION 10(6) OF SAST REGULATIONS, 2011 IN MATTER OF POLO HOTELS LTD.
|
IMPOSED PENALTY RS.35,00,000
29-NOV-2019
|
SEBI VIDE ITS NOTICE DATED 16/03/2021 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 NOTICE DATED 04/10/2024 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 16/03/2021
|
| 86 |
|
|
AMBALAL CHIMANLAL PATEL
(PAN:AEHPP4248Q)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF KINTECH RENEWABLE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,96,414 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
02-JAN-2023
|
|
| 87 |
|
|
AMIR HAMZA HAKIM KHAN
(PAN:ASXPK2912L)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF FINALYSIS CREDIT & GUARANTEE CO.LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
26-FEB-2019
|
SEBI VIDE ITS NOTICE DATED 31/12/2019 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 30/03/2022 DIRECTED ALL THE BANKS TO REMIT RS.2,64,075.24 TO THE EXTENT LYING IN THE ACCOUNT OF MR.ABDUL ZAMEER HAKIM KHAN, MR.AMIR HAMZA HAKIM KHAN & MS.REHANA KHAN TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 88 |
|
|
AMIR HAMZA HAKIM KHAN
(PAN:ASXPK2912L)
(Along with : MOHAMMAD RAFI,
ROMA SHAMSHAD KHAN,
MOHD.SALIM KHAN,
ABDUL ZAMEER HAKIM KHAN,
TALAT WAHADATALI MOHAMAD,
REHANA KHAN)
|
|
|
|
FINALYSIS CREDIT & GUARANTEE CO.LTD.
PAN:AABCF9494P
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1), 29(2) AND 29(3)(A) OF SAST REGULATIONS, 2011 IN MATTER OF FINALYSIS CREDIT & GUARANTEE CO.LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-JUN-2020
|
SAT: SAT VIDE ITS ORDER DATED 29/06/2021 CONDONED THE DELAY IN FILING OF APPEAL.IN THE MEANWHILE, RESPONDENT MAY FILE THE REPLY
SAT: SAT VIDE ITS ORDER DATED 01/10/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 89 |
|
|
AMIR HAMZA HAKIM KHAN
(PAN:ASXPK2912L)
(Along with : MOHAMMAD RAFI,
MOHD.SALIM KHAN,
ABDUL ZAMEER HAKIM KHAN,
TALAT WAHADATALI MOHAMAD,
REHANA KHAN)
|
|
|
|
FINALYSIS CREDIT & GUARANTEE CO.LTD.
PAN:AABCF9494P
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT VIOLATING SECTION 12A(F) OF SEBI ACT, 1992 AND REQUIRED UNDER REGULATION 3(1) READ WITH 13 OF SAST REGULATIONS, 2011 IN MATTER OF FINALYSIS CREDIT & GURANTEE CO.LTD.
|
IMPOSED PENALTY RS.20,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-JUN-2020
|
SAT: SAT VIDE ITS ORDER DATED 29/06/2021 CONDONED THE DELAY IN FILING OF APPEAL.IN THE MEANWHILE, RESPONDENT MAY FILE THE REPLY
SAT: SAT VIDE ITS ORDER DATED 01/10/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 90 |
|
|
AMISHA ATUL MAGANLAL HEMANI
(PAN:AAJPH1738F)
|
|
|
DID NOT MAKE DISCLOSURES OF RELEASE OF PLEDGE AND INVOCATION OF PLEDGE OF SHARES TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1) AND 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF OMNITECH INFOSOLUTIONS LTD.
DELAY IN MAKING DISCLOSURES OF CREATION OF PLEDGE AND INVOCATION OF PLEDGE OF SHARES TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1) AND 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF OMNITECH INFOSOLUTIONS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED REGULATIONS 13(4) AND 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF OMNITECH INFOSOLUTIONS LTD.
|
IMPOSED PENALTY RS.4,00,000
17-OCT-2022
|
SAT: SAT VIDE ITS ORDER DATED 19/12/2022 DISMISSED THE APPEAL. NO COSTS
SEBI VIDE ITS NOTICE DATED 12/04/2023 DIRECTED TO PAY RS.4,29,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 91 |
|
|
AMIT BABBAR
(PAN:AGNPB2362F)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF VIKAS PROPPANT & GRANITE LTD.
AIDED AND ABETTED PROMOTERS AND DIRECTORS IN DEPLOYING FRAUDULENT SCHEME/DEVICE TO ALLOW TO DISPOSE-OFF THEIR LARGE QUANTITY OF SHARES OF VIKAS PROPPANT & GRANITE LTD. THROUGH THEIR RELATED/ASSOCIATED ENTITIES
|
IMPOSED PENALTY RS.6,00,000
20-MAR-2024
|
|
| 92 |
|
|
AMIT SETHI
(PAN:ASQPK2789N)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF PANKAJ PIYUSH TRADE & INVESTMENTS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF PANKAJ PIYUSH TRADE & INVESTMENTS LTD.
|
IMPOSED PENALTY RS.6,00,000
26-APR-2019
|
|
| 93 |
|
|
AMIT VALLABHBHAI GADHIYA
(PAN:AJTPG2291B)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF AKSHAR SPINTEX LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-AUG-2024
|
|
| 94 |
|
|
AMITA SAWHNEY
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF GEE GEE GRANITES LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
26-AUG-2014
|
SEBI VIDE ITS ORDER DATED 30/06/2017 IMPOSED A PENALTY OF RS.2,00,000.00 U/S 15A(B) PAYABLE JOINTLY AND SEVERALLY
|
| 95 |
|
|
AMITAVA SAMANTA
(PAN:BCQPS4197D)
|
|
|
DID NOT MAKE DISCLOSURES OF CREATION AND RELEASE OF PLEDGE OF SHARES TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1) AND 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF INDIA GREEN REALITY LTD.
|
IMPOSED PENALTY RS.2,00,000
23-NOV-2021
|
SEBI VIDE ITS NOTICE DATED 16/08/2022 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 20/09/2022 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 16/08/2022
|
| 96 |
|
|
AMITKUMAR ANAND DALMIA
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF R&B DENIMS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-OCT-2017
|
|
| 97 |
|
|
AMRATBHAI SHAKKARBHAI DESAI
(PAN:BVYPD3547H)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(1) OF SAST REGULATIONS, 2011 IN MATTER OF ART NIRMAN LTD.
|
IMPOSED PENALTY RS.2,00,000
31-MAY-2022
|
|
| 98 |
|
|
AMRITA PRABHAKAR DEODHAR
(PAN:ADFPD6231Q)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 10(5) OF SAST REGULATIONS, 2011 IN MATTER OF APLAB LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,31,500 VIDE CONSENT ORDER)
25-JAN-2022
|
|
| 99 |
|
|
AMRITH A.
(PAN:AIUPA0184B)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(2) OF SAST REGULATIONS, 1997 READ WITH REGULATION 35 OF SEBI (SAST) REGULATIONS, 2011 IN MATTER OF BEARDSELL LTD.
|
IMPOSED PENALTY RS.3,00,000 ALONG WITH OTHER ENTITIES/PERSONS
21-FEB-2018
|
|
| 100 |
|
|
AMRUT PREMJI SHAH
(PAN:AACPS8649D)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 10(5) & 10(6) OF SAST REGULATIONS, 2011 IN MATTER OF ACQUISITION OF 11,00,000 SHARES OF MEUSE KARA & SUNGRACE MAFATLAL LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,15,000 VIDE CONSENT ORDER)
17-MAY-2013
|
|
| 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 85
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