| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
SAMIR N.SHAH
|
|
|
ALLEGED INDULGENCE IN CIRCULAR TRANSACTIONS IN SCRIP OF DATABASE FINANCE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 19-MAR-2009 TO 18-SEP-2009
19-MAR-2009
|
|
| 82 |
|
|
SANDHYA R.GANDHI
|
|
|
ALLEGED IRREGULAR TRADING ON BASIS OF UNPUBLISHED PRICE SENSITIVE INFORMATION AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN SCRIP OF WOCKHARDT LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 21-APR-2009 TO 20-OCT-2010
20-APR-2009
|
|
| 83 |
|
|
SANDHYA SHIRISH SHAH
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF HIGHLAND INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 07-SEP-2009 TO 06-MAR-2011
04-SEP-2009
|
|
| 84 |
|
|
SANJAY KUMAR JAIN
|
|
|
|
SHREE TULSI ONLINE.COM LTD.
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ADINATH BIO-LABS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 07-SEP-2009 TO 06-NOV-2009
01-SEP-2009
|
|
| 85 |
|
|
SANJAY SANGHVI
(PAN:AAIPS3640Q)
|
|
|
ALLEGED INDULGENCE IN FRONT RUNNING ACTIVITIES IN TRADING OF A NUMBER OF SCRIPS IN WHICH HDFC ASSET MANAGEMENT CO.LTD.TRADED
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 03-SEP-2012 TO 02-SEP-2015
03-SEP-2012
|
|
| 86 |
|
|
SANJIV KHURANA
|
|
|
|
KINETIC CAPITAL SERVICES LTD.
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS THROUGH CIRCULAR TRADING IN SCRIP OF KINETIC CAPITAL SERVICES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 28-OCT-2010 TO 27-APR-2011
22-OCT-2010
|
|
| 87 |
|
|
SANTOSH KUMAR JAIN
(PAN:ACQPJ7823E)
|
|
|
|
ATN INTERNATIONAL LTD.
CIN:L65993WB1983PLC080793
PAN:AACCA5744Q
|
|
|
SILICON VALLEY INFOTECH LTD.
CIN:L15311WB1993PLC061312
PAN:AABCP5702G
|
|
ALLEGED INDULGENCE IN OFF-LOADING OF SHARES WHILE IN POSSESSION OF PRICE SENSITIVE INFORMATION IN MATTER OF ATN INTERNATIONAL LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.20,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES) FROM 20-JUN-2011 TO 19-JUN-2013
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 20-JUN-2011 TO 19-JUN-2013
20-JUN-2011
|
|
| 88 |
|
|
SANTOSH P.GAYAKWAD
|
|
|
ALLEGED IRREGULARITIES IN SCRIP OF GENUS COMMU-TRADE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 22-DEC-2008 TO 21-DEC-2011
22-DEC-2008
|
|
| 89 |
|
|
SARYUBEN H.VORA
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF STOCKNET INTERNATIONAL LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 07-SEP-2009 TO 06-DEC-2009
01-SEP-2009
|
|
| 90 |
|
|
SATISH R.SHAH
(PAN:ACBPS8940G)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS THROUGH IRREGULAR ALLOTMENT OF SHARES AS REQUIRED UNDER REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995 IN MATTER OF SAWACA COMMUNICATION LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 18-JUN-2009 TO 17-JUN-2011
15-JUN-2009
|
|
| 91 |
|
|
SHABIR MENON
|
|
|
|
ASHOKA REFINERIES LTD.
|
|
ALLEGED DELAY IN TRANSFER OF SHARES OF ASHOKA REFINERIES LTD.
ALLEGED INDULGENCE IN PRICE RIGGING IN SCRIP OF ASHOKA REFINERIES LTD.
|
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 22-JUL-2009 TO 21-JUL-2011
22-JUL-2009
|
|
| 92 |
|
|
SHAILESH SUBODHCHANDRA JHAVERI
(PAN:ADTPJ0210B)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, CIRCULAR AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF AARTI INDUSTRIES LTD., AARTI DRUGS LTD., HAVELLS INDIA LTD. AND TASC PHARMACEUTICALS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 13-NOV-2009 TO 12-DEC-2009
20-MAR-2009
|
|
| 93 |
|
|
SHARAD CHHOTABHAI PATEL
|
|
|
|
SHREE RAMA MULTI-TECH LTD.
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SHRI RAMA MULTI-TECH LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 28-NOV-2008 TO 27-MAY-2010
28-NOV-2008
|
|
| 94 |
|
|
SIMI BHAUMIK
(PAN:AHPPB7419L)
|
|
|
ALLEGED PROVIDING NON-PUBLIC INFORMATION TO CERTAIN ENTITIES (PROFIT MAKERS) PRIOR TO BROADCASTING OF THEIR RECOMMENDATIONS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.46,80,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES) FROM 16-JAN-2025 TO 15-JUL-2025
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 16-JAN-2025 TO 15-JUL-2025
16-JAN-2025
|
|
| 95 |
|
|
SUDHIR DIXIT
|
|
|
|
ASHOKA REFINERIES LTD.
|
|
ALLEGED DELAY IN TRANSFER OF SHARES OF ASHOKA REFINERIES LTD.
ALLEGED INDULGENCE IN PRICE RIGGING IN SCRIP OF ASHOKA REFINERIES LTD.
|
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 22-JUL-2009 TO 21-JUL-2011
22-JUL-2009
|
|
| 96 |
|
|
SUNITI N.SHAH
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET THROUGH CIRCULAR TRANSACTIONS IN SCRIP OF DATABASE FINANCE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 01-APR-2009 TO 30-SEP-2009
19-MAR-2009
|
|
| 97 |
|
|
TARUN AGARWAL
|
|
|
ALLEGED INDULGENCE IN MANIPULATIVE TRANSACTIONS IN SCRIP OF COROMANDAL FERTILIZERS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 06-JAN-2009 TO 05-JAN-2010
06-JAN-2009
|
|
| 98 |
|
|
VASANT HARIKISHAN BISSA
(PAN:AABPB8108M)
|
|
|
ALLEGED INDULGENCE IN SYNCHRONIZED TRANSACTIONS IN SCRIP OF IT MICROSYSTEMS (INDIA) LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 28-APR-2009 TO 27-APR-2010
27-APR-2009
|
|
| 99 |
|
|
VIRAL V.MEWADA
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF ADITYA INFOSOFT LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 01-DEC-2009 TO 30-NOV-2014
19-NOV-2009
|
|
| 100 |
|
|
VISHNUBHAI PATEL
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF PROMACT PLASTICS LTD.
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS VIOLATING REGULATION 12(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 AND VIOLATED CLAUSE 3.2-3 OF PART A OF MODEL CODE OF CONDUCT IN MATTER OF PROMACT PLASTICS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 23-NOV-2010 TO 22-NOV-2013
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO HOLD DIRECTORSHIP IN ANY LISTED COMPANY)
23-NOV-2010
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 5 of 6
|
