| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
PRIME CAPITAL MARKET LTD.
(CIN:L67120OR1994PLC003649
PAN:AABCP9313M)
|
|
|
|
SIBU PD.SINGH
|
|
|
VIMAL JOSHI
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF PRIME CAPITAL MARKET LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
14-DEC-2009
|
|
| 82 |
|
|
RAMESH CHALLANI (HUF)
(PAN:AALHR9880C)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
|
| 83 |
|
|
ROBINSON WORLDWIDE TRADE LTD.
(PAN:AABCR6814P)
|
|
|
ISSUED FALSE AND MISLEADING CORPORATE ANNOUNCEMENTS IN MATTER OF ROBINSON WORLDWIDE TRADE LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
10-SEP-2015
|
|
| 84 |
|
|
ROCKET TIPS
(PAN:AGPPJ1611H)
|
|
|
|
MEHUL PRAVINBHAI JIYANI
PAN:AGPPJ1611H
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
SUBMITTED FALSE INFORMATION AND CONCEALED MATERIAL INFORMATION FROM SEBI IN THE APPLICATION TO OBTAIN REGISTRATION AS RESEARCH ANALYST
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
09-JAN-2024
|
|
| 85 |
|
|
SAMIR SURESHCHANDRA SHAH (HUF)
(PAN:AAHHS5122G)
|
|
|
|
SAMIR SURESHCHANDRA SHAH
PAN:AGEPS0157L
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH REVERSAL OF TRADE TRANSACTIONS, SYNCHRONIZED, SELF TRADE AND OFF MARKET TRANSACTIONS IN SCRIP OF CRAZY INFOTECH LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
10-FEB-2015
|
|
| 86 |
|
|
SANGHVI SANJAY MADANLAL (HUF)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
|
| 87 |
|
|
SHEETAL S.MEHTA (HUF)
(PAN:AAFHS8024K)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
|
| 88 |
|
|
SHILPA MEDICARE LTD.
(PAN:AADCS8788F)
|
|
|
DID NOT MAKE DISCLOSURE OF INFORMATION PERTAINING TO REGULATORY ACTION WITH IMPACT VIOLATING CLAUSE 8 OF PARA B OF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE COMPLETE AND ADEQUATE DISCLOSURE TO STOCK EXCHANGES OF MATERIAL INFORMATION VIOLATING REGULATIONS 4(1)(D) AND 30(1) SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE COMPLETE AND ADEQUATE DISCLOSURE TO STOCK EXCHANGES OF MATERIAL INFORMATION VIOLATING SECTION 21 OF SCRA, 1956 READ WITH CLAUSE 2(I) OF LISTING AGREEMENT
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
30-JUN-2022
|
|
| 89 |
|
|
SIC STOCKS & SERVICES PVT.LTD.
(PAN:AAHCS8176P)
|
|
|
|
GITA HANDA
|
|
|
SIDHARTH HANDA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS, SYNCHRONIZED TRANSACTIONS AND SELF-TRADES IN SCRIP OF VERTEX SPINNING LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
21-SEP-2021
|
|
| 90 |
|
|
SRP INVESTMENT
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KARISHMA FLORICULTURE LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
19-JUL-2011
|
|
| 91 |
|
|
STATE BANK OF INDIA
(PAN:AAACS8577K)
|
|
|
SPONSORED MORE THAN ONE MUTUAL FUND AND HOLD MORE THAN 10% SHAREHOLDING IN MORE THAN ONE AMC AND TRUSTEE COMPANY VIOLATING REGULATION 7B OF SEBI (MF) REGULATIONS, 1996
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
14-AUG-2020
|
SAT: SAT VIDE ITS ORDER DATED 07/01/2021 PARTLY ALLOWED THE APPEAL BY SUBSTITUTING PENALTY OF RS.10 LACS TO WARNING. NO COSTS
|
| 92 |
|
|
SUFFOLK (MAURITIUS) LTD.
(PAN:AALCS8892G)
|
|
|
MADE OFFER FOR SALE OF SHARES TO SUBSEQUENTLY GET THE SHARES OF ASTRAZENECA PHARMA INDIA LTD.DELISTED
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
DIRECT THAT FRESH DELISTING PROPOSAL INITIATED BY PROMOTER COMPANY ANYTIME IN FUTURE, SAME SHALL BE INITIATED ONLY AFTER OBSERVING EXTANT PROVISIONS OF SEBI ACT AND REGULATIONS FRAMED THEREUNDER AND IN LETTER AND SPIRIT
DIRECTED BSE AND NSE TO CLOSELY MONITOR ENTIRE DELISTING PROCESS OF ASTRAZENECA PHARMA INDIA LTD.
05-JUN-2020
|
|
| 93 |
|
|
SUMAN NURSERY
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KARISHMA FLORICULTURE LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
19-JUL-2011
|
|
| 94 |
|
|
SURYA AGROILS LTD.
|
|
|
|
RAJESH KAPOOR
|
|
ACCEPTED APPLICATIONS AFTER CLOSURE OF RIGHTS ISSUE AND ALLOTTED SHARES WITHOUT RECEIPT OF APPLICATION MONEY IN MATTER OF RIGHTS ISSUE OF SURYA AGROILS LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
30-SEP-2009
|
|
| 95 |
|
|
TATA MOTORS LTD.
(PAN:AAACT2727Q)
|
|
|
FALSIFIED BOOKS OF ACCOUNTS OF NISKALP BY BACK DATING TRANSACTIONS OF SALE OF SHARES OF GLOBAL TELESYSTEMS LTD. AND GLOBAL E-COMMERCE SERVICES LTD. AND THEN MADE REVERSAL OF THESE TRADE
DID NOT MAKE DISCLOSURE OF TRUE AND CORRECT FINANCIAL STATUS TO STAKEHOLDERS AND CONCEALED MATERIAL FACTS IN OFFER DOCUMENT OF RIGHTS ISSUEOF TATA FINANCE LTD. IN MATTER OF GLOBAL TELESYSTEMS LTD. AND GLOBAL E-COMMERCE SERVICES LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
09-JUN-2022
|
|
| 96 |
|
|
TECHNOCRAT MARKETING PVT.LTD.
|
|
|
|
HARISH KUMAR
|
|
INDULGED IN CREATING FALSE AND MISLEADING APPEARANCE OF TRADING IN SHARES OF ELECTROLUX KELVINATOR LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
20-AUG-2008
|
|
| 97 |
|
|
UMANG PROJECTS LTD.
(PAN:AAACU8715B)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
SAT: SAT VIDE ITS ORDER DATED 17/11/2020 STAYED IMPUGNED ORDER IN SO FAR THE APPELLANT IS CONCERNED
SAT: SAT VIDE ITS ORDER DATED 08/06/2022 DIRECTED APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS FROM DATE OF THIS ORDER
|
| 98 |
|
|
URJA GLOBAL LTD.
(PAN:AAACC0367M)
|
|
|
|
ADITYA VENKETESH
PAN:AGHPV8923A
|
|
|
BHARAT PRANJIVANDAS MERCHANT
PAN:ANGPM6837N
|
|
ISSUED FALSE AND MISLEADING CORPORATE ANNOUNCEMENTS IN MATTER OF URJA GLOBAL LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
13-MAY-2022
|
|
| 99 |
|
|
VATICAN COMMERCIALS LTD.
|
|
|
INDULGED IN PRICE MANIPULATION BY CREATION OF ARTIFICIAL MARKET IN SCRIP OF SOUTH EAST ASIA MARINE ENGINEERING & CONSTRUCTIONS LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
12-DEC-2008
|
|
| 100 |
|
|
VFSL CAPITAL LTD.
|
|
|
|
NAZIR HAKEEM
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1),(1A),(2) AND 8 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF VERONICA LABORATORIES LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
06-JAN-2011
|
|
| 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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