| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1141 |
|
SHRAWAN
(PAN:KVSPS2783B)
(Along with : RAJNEESH KUMAR,
DEEPIKA SHARMA,
ROMIKA,
SANTOSH SINGH KARKI,
SANJAY KUMAR PATHAK,
ANITA KARKI)
|
|
|
|
ANCIENT EDUCATION PVT.LTD.
PAN:AALCA2837R
|
|
|
ASHWORTH CONSTRUCTIONS PVT.LTD.
PAN:AALCA3008J
|
|
|
BALLEY BUILDERS & DEVELOPERS PVT.LTD.
PAN:AACCB7383E
|
|
|
JITNEY INVESTMENTS PVT.LTD.
PAN:AADCJ0092M
|
|
|
SPLENDID HOTELS RESORTS PVT.LTD.
PAN:AASCS5684F
|
|
AIDED AND ABETTED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUPERIOR FINLEASE LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUPERIOR FINLEASE LTD.
|
DIRECTED TO DISGORGE RS.2,24,000 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
25-JAN-2023
|
SEBI VIDE ITS ORDER DATED 22/05/2024 DIRECTED TO DISGORGE RS.2.24 LAC ALONG WITH SIMPLE INTEREST @ 12% P.A. CALCULATED FROM 14/09/2021 TILL DATE OF ACTUAL PAYMENT /IMPOUNDING AND AMOUNT TO BE REMITTED TO IPEF WITHIN FORTY FIVE DAYS FROM DATE OF RECEIPT OF THIS ORDER
|
| 1142 |
|
|
SHRAWAN
(PAN:KVSPS2783B)
(Along with : RAJNEESH KUMAR,
ANITA KARKI)
|
|
|
|
ANCIENT EDUCATION PVT.LTD.
PAN:AALCA2837R
|
|
|
ASHWORTH CONSTRUCTIONS PVT.LTD.
PAN:AALCA3008J
|
|
|
BALLEY BUILDERS & DEVELOPERS PVT.LTD.
PAN:AACCB7383E
|
|
|
JITNEY INVESTMENTS PVT.LTD.
PAN:AADCJ0092M
|
|
|
SPLENDID HOTELS RESORTS PVT.LTD.
PAN:AASCS5684F
|
|
AIDED AND ABETTED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUPERIOR FINLEASE LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUPERIOR FINLEASE LTD.
|
DIRECTED TO DISGORGE RS.2,05,000 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
25-JAN-2023
|
SEBI VIDE ITS ORDER DATED 22/05/2024 DIRECTED TO DISGORGE RS.2.05 LAC ALONG WITH SIMPLE INTEREST @ 12% P.A. CALCULATED FROM 14/09/2021 TILL DATE OF ACTUAL PAYMENT /IMPOUNDING AND AMOUNT TO BE REMITTED TO IPEF WITHIN FORTY FIVE DAYS FROM DATE OF RECEIPT OF THIS ORDER
SEBI VIDE ITS NOTICE DATED 14/11/2024 DIRECTED TO PAY RS.2,20,350.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 1143 |
|
|
SHRAWAN
(PAN:KVSPS2783B)
(Along with : RAJNEESH KUMAR,
ROMIKA,
SANTOSH SINGH KARKI,
SANJAY KUMAR PATHAK,
ANITA KARKI)
|
|
|
|
ANCIENT EDUCATION PVT.LTD.
PAN:AALCA2837R
|
|
|
ASHWORTH CONSTRUCTIONS PVT.LTD.
PAN:AALCA3008J
|
|
|
BALLEY BUILDERS & DEVELOPERS PVT.LTD.
PAN:AACCB7383E
|
|
|
JITNEY INVESTMENTS PVT.LTD.
PAN:AADCJ0092M
|
|
|
SPLENDID HOTELS RESORTS PVT.LTD.
PAN:AASCS5684F
|
|
AIDED AND ABETTED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUPERIOR FINLEASE LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUPERIOR FINLEASE LTD.
|
DIRECTED TO DISGORGE RS.2,14,000 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
25-JAN-2023
|
SEBI VIDE ITS ORDER DATED 22/05/2024 DIRECTED TO DISGORGE RS.2.14 LAC ALONG WITH SIMPLE INTEREST @ 12% P.A. CALCULATED FROM 14/09/2021 TILL DATE OF ACTUAL PAYMENT /IMPOUNDING AND AMOUNT TO BE REMITTED TO IPEF WITHIN FORTY FIVE DAYS FROM DATE OF RECEIPT OF THIS ORDER
|
| 1144 |
|
|
SIDDHARTH JAIN
(PAN:AEWPJ4559H)
|
|
|
INDULGED IN FRONT RUNNING ACTIVITIES IN VARIOUS FUNDS OF FIDELITY GROUP
|
DIRECTED TO DISGORGE RS.2,06,44,257 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT 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 AND DEPOSITORIES TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
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 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 TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-JUN-2022 TO 02-JUN-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-JUN-2022 TO 02-JUN-2024
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
07-JUN-2021
|
SEBI VIDE ITS ORDER DATED 03/06/2022 DIRECTED TO A) DISGORGE OF RS.2,06,44,257.00 ALONG WITH INTEREST JOINTLY AND SEVERALLY WITHIN A PERIOD OF 45 DAYS FROM THE DATE OF THIS ORDER B) DISGORGEMENT AMOUNT TRANSFERRED TO INVETOR PROTECTION & EDUCATION FUND (IPEF)
|
| 1145 |
|
|
SUCHITA BHOGTE
(PAN:ALEPB5301J)
|
|
|
INDULGED IN FRONT RUNNING TRADING ACTIVITIES VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) READ WITH REGULATION 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF GIRIK WEALTH ADVISORS PVT.LTD. AND GIRIK MULTICAP GROWTH EQUITY FUND BY MR.ASHOK YASHWANT BHOGTE
|
DIRECTED TO DISGORGE RS.1,08,29,597 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
09-AUG-2024
|
|
| 1146 |
|
|
SUDHA MAHENDRA AGRAWAL
(PAN:ACRPA9590N)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF KUSHAL 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 29-JUL-2022 TO 28-JUL-2023
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
DIRECTED TO DISGORGE RS.9,37,500
29-JUL-2022
|
SAT: SAT VIDE ITS ORDER DATED 21/11/2022 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER. DIRECTED THAT DIRECTIONS IN PARAGRAPH NO.71(II) TO REMAIN STAYED DURING PENDENCY OF APPEAL. FURTHER,50% OF DISGORGEMENT AND PENALTY AMOUNT TO BE PAID WITHIN FOUR WEEKS FROM DATE OF THIS ORDER. IF DEPOSITED, BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 23/01/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 1147 |
|
|
SUMIT KANUNGO
(PAN:AUCPK0661M)
|
|
|
INDULGED IN FRONT RUNNING ACTIVITIES IN VARIOUS FUNDS OF FIDELITY GROUP
|
DIRECTED TO DISGORGE RS.2,06,44,257 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT 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 AND DEPOSITORIES TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
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 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 TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-JUN-2022 TO 02-JUN-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-JUN-2022 TO 02-JUN-2024
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
07-JUN-2021
|
SEBI VIDE ITS ORDER DATED 03/06/2022 DIRECTED TO A) DISGORGE OF RS.2,06,44,257.00 ALONG WITH INTEREST JOINTLY AND SEVERALLY WITHIN A PERIOD OF 45 DAYS FROM THE DATE OF THIS ORDER B) DISGORGEMENT AMOUNT TRANSFERRED TO INVETOR PROTECTION & EDUCATION FUND (IPEF)
SEBI VIDE ITS NOTICE DATED 14/02/2025 DIRECTED TO PAY RS.18,92,180.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 1148 |
|
|
SUMITRA VISHRAM NANDA
(PAN:AGSPN3750G)
|
|
|
INDULGED IN FRONT RUNNING ACTIVITIES VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SANCTUM WEALTH MANAGEMENT PVT.LTD. (NOW KNOWN AS SANCTUM WEALTH PVT.LTD.)
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JAN-2024 TO 30-JAN-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JAN-2024 TO 30-JAN-2025
RESTRAINED FROM HOLDING ANY POSITION OF DIRECTOR OR KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY OR ANY INTERMEDIARY REGISTERED WITH SEBI AND FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY OR PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM 31-JAN-2024 TO 30-JAN-2025
DIRECTED TO DISGORGE RS.34,84,605 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
31-JAN-2024
|
|
| 1149 |
|
|
SURAJ G.PRAJAPATI
(PAN:ALYPP7089F)
(Along with : PRIJESH ARUNKUMAR KURANI,
ASHISH PANALAL SHAH,
PRIYANKBHAI V.PAJAPATI,
JIGAR D.CHAUDHARI,
PIYUSH B.PATEL,
NISHIL KANTILAL MALDE)
|
|
|
AIDED AND ABETTED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SVARNIM TRADE UDYOG LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SVARNIM TRADE UDYOG 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 31-MAY-2024 TO 30-MAY-2029
DIRECTED TO OPEN ESCROW ACCOUNT WITH A NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT TO BE PROCEEDS GENERATED FROM FRONT RUNNING TRADES WITHOUT PERMISSION FROM SEBI
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED DEPOSITORIES THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
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 NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS/PROPERTIES/ SECURITIES
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED TO DISGORGE RS.51,95,607 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
31-JAN-2023
|
SAT: SAT VIDE ITS ORDER DATED 04/05/2023 DISPOSED OF THE APPEAL DIRECTING THAT IF THE APPELLANTS DEPOSIT UNLAWFUL GAIN AS DEPICTED IN TABLE NO.21 OF IMPUGNED ORDER, DEMAT AND BANK ACCOUNTS SHALL BE DEFREEZED WITHIN FORTY EIGHT HOURS UPON THE DEPOSIT
SEBI VIDE ITS ORDER DATED 06/12/2023 DISPOSED OF THE REQUESTS MADE BY EMAILS DATED 18/10/2023 AND 31/10/2023 AND ADDITIONAL SUBMISSIONS DATED 27/11/2023 WITH THE DIRECTION THAT DEMAT ACCOUNTS/TRADING ACCOUNTS BE DE-FREEZED
|
| 1150 |
|
|
SUSHILA SARDA
(PAN:BXZPS6096K)
|
|
|
INDULGED IN FRONT RUNNING ACTIVITIES VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) READ WITH 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF PARSHVANATH FINVEST PVT.LTD., THAR SHARE BROKERS PVT.LTD. AND GANGWAL COMMODITIES PVT.LTD.
|
DIRECTED TO DISGORGE RS.15,60,820 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
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 28-NOV-2024 TO 27-NOV-2025
28-NOV-2024
|
|
| 1151 |
|
|
URMILA GUPTA
(PAN:AAEPG9149A)
|
|
|
|
CINEMA CAPITAL CONTRIBUTORY CO.PVT.LTD.
PAN:AAECC3609A
|
|
DID NOT WIND UP SCHEME AND DISTRIBUTE PROCEEDS ACCRUING TO INVESTORS EVEN AFTER THE EXPIRY OF TENURE
DID NOT DISCLOSE INVESTMENT OBJECTIVE AND DID NOT ADHERE TO INVESTMENT RECTRICTIONS
EXTENDED LOANS AND ADVANCES TO INVESTEE COMPANIES AND ITS DIRECTORS AT NO INTEREST COST
EXTENDED LOANS AND ADVANCE TO TRUSTEE AND STAFF AT NO INTEREST COST
CHARGED EXCESS FEE FROM INVESTORS
DID NOT FILE QUARTERLY REPORTS TO SEBI
DID NOT REDRESS INVESTOR COMPLAINTS
MISMANAGEMENT OF INVESTOR’S FUNDS
|
DIRECTED TO DISGORGE RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
30-APR-2025
|
SAT: SAT VIDE ITS ORDER DATED 09/06/2025 GRANTED THREE WEEKS TO FILE REPLY AND ONE WEEK TO FILE REJOINDER, IF ANY. STAYED DIRECTIONS AT PARAGRAPH 104.1 AND 104.6 SUBJECT TO DEPOSIT 50% PENALTY WITH RESPONDENT WITHIN THREE WEEKS FROM DATE OF THIS ORDER. SEBI CLARIFIED TO THE DEPOSITORIES THAT INDIVIDUAL ACCOUNTS OF NOTICEE NOS.5 AND 7 NEED NOT BE FROZEN
|
| 1152 |
|
|
VAIBHAV DHADDA (AKA.AVI DHADDA)
(PAN:DFAPD6039C)
|
|
|
INDULGED IN FRONT RUNNING ACTIVITIES IN VARIOUS FUNDS OF FIDELITY GROUP
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-JUN-2022 TO 02-JUN-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-JUN-2022 TO 02-JUN-2025
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 03-JUN-2022 TO 02-JUN-2025
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
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 BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 03-JUN-2022 TO 02-JUN-2025
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT 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 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 TO OPEN ESCROW ACCOUNT WITH A NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT RS.1,86,04,343.00 WHICH SHOULD NOT BE RELEASED WITHOUT PERMISSION FROM SEBI
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
DIRECTED BANKS AND DEPOSITORIES TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
DIRECTED TO DISGORGE RS.2,06,44,257 ALONG WITH OTHER ENTITIES/PERSONS
04-DEC-2019
|
SEBI VIDE ITS ORDER DATED 15/06/2020 DIRECTED TO A) RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET OR ASSOCIATING THEMSELVES WITH SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER TILL FURTHER DIRECTIONS B) CEASE AND DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER TILL FURTHER DIRECTIONS C) DURING THE PERIOD OF RESTRAINT, NOTICEES’ EXISTING HOLDING, INCLUDING UNITS OF MUTUAL FUNDS, OF THE NOTICEES SHALL REMAIN FROZEN INCLUDING DEMAT ACCOUNTS HELD BY INVIDYALLY OR JOINTLY AND SEVERALLY
SEBI VIDE ITS ORDER DATED 07/06/2021 DIRECTED TO A) IMPOUND ALLEGED UNLAWFUL GAINS OF RS. 2,06,44,257.00 ALONG WITH INTEREST JOINTLY AND SEVERALLY B) DIRECTED BANKS TO NO TO DEBITS, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK ACCOUNTS HELD BY ALL ENTITIES. FURTHER, DIRECTED C) DEPOSITORIES NOT TO DEBIT WITHOUT PERMISSION OF SEBI IN RESPECT OF DEMAT ACCOUNTS HELD BY THE ENTITIES B) BANKS AND DEPOSITORIES TO ENSURE THAT ALL THE DIRECTIONS ARE STRICTLY ENFORCED C) REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT TILL FURTHER DIRECTIONS THE SECURITIES / UNITS HELD IN THE NAME OF ENTITIES JOINTLY OR SEVERALLY ARE NOT TRANSFERRED / REDEEMED D) NOT TO DISPOSE OFF OR ALIENATE ANY OF ASSETS/PROPERTIES/SECURITIES TILL SUCH TIME THE AMOUNT CREDITED TO AN ESCROW ACCOUNT
|
| 1153 |
|
|
VIJAY GHANSHYAMBHAI PUJARA
(PAN:AGXPP5209R)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF CONTINENTAL SEEDS & CHEMICALS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-NOV-2024 TO 28-NOV-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-NOV-2024 TO 28-NOV-2026
DIRECTED TO DISGORGE RS.2,24,17,400 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
29-NOV-2024
|
SAT: SAT VIDE ITS ORDER DATED 06/01/2025 GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER. STAYED IMPUGNED ORDER SUBJECT TO DEPOSIT OF 50% OF PENALTY AMOUNT WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND ALSO STAYED THE DIRECTION IN PARAGRAPH 129.4 SUBJECT TO DEPOSIT OF RS.50 LAC DISGORGEMENT AMOUNT WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 15/01/2025 GRANTED APPELLANTS TWO MORE WEEKS TO DEPOSIT AMOUNT AS DIRECTED ON 06/01/2025
|
| 1154 |
|
|
VIJAY PRAKASH GUPTA
(PAN:ANCPV2725J)
|
|
|
|
AASHI TRADERS
PAN:ANCPV2725J
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF CONTINENTAL SEEDS & CHEMICALS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-NOV-2024 TO 28-NOV-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-NOV-2024 TO 28-NOV-2025
DIRECTED TO DISGORGE RS.2,24,17,400 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
29-NOV-2024
|
SAT: SAT VIDE ITS ORDER DATED 06/01/2025 GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER. STAYED IMPUGNED ORDER SUBJECT TO DEPOSIT OF 50% OF PENALTY AMOUNT WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND ALSO STAYED THE DIRECTION IN PARAGRAPH 129.4 SUBJECT TO DEPOSIT OF RS.50 LAC DISGORGEMENT AMOUNT WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 15/01/2025 GRANTED APPELLANTS TWO MORE WEEKS TO DEPOSIT AMOUNT AS DIRECTED ON 06/01/2025
|
| 1155 |
|
|
VIKRANT BHIMRAO KADAM
(PAN:BXXPK4344L)
|
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INDULGED IN FRONT RUNNING THE TRADES OF SVI CONSOLIDATED PVT.LTD. VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003
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DIRECTED TO DISGORGE RS.34,26,343 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-JAN-2025 TO 27-JUL-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JAN-2025 TO 27-JUL-2025
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
28-JAN-2025
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SEBI VIDE ITS NOTICE DATED 04/06/2025 DIRECTED TO PAY RS.36,32,923.72 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 24/06/2025 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
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| 1156 |
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VINOD VILAS SABLE
(PAN:BUQPS6087Q)
(Along with : PRIJESH ARUNKUMAR KURANI,
DHARINI PRIJESH KURANI,
ASHISH PANALAL SHAH)
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INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SVARNIM TRADE UDYOG LTD.
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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 31-MAY-2024 TO 30-MAY-2029
DIRECTED TO OPEN ESCROW ACCOUNT WITH A NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT TO BE PROCEEDS GENERATED FROM FRONT RUNNING TRADES WITHOUT PERMISSION FROM SEBI
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED DEPOSITORIES THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
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 NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS/PROPERTIES/ SECURITIES
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED TO DISGORGE RS.40,42,064 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
31-JAN-2023
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SEBI VIDE ITS ORDER DATED 31/05/2024 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER FOR FIVE YEARS FROM DATE OF THIS ORDER B) DISGORGE RS.40,42,063.98 ALONG WITH SIMPLE INTEREST @ 12% P.A. CALCULATED FROM THE 2ND RECOMMENDATION DAY TILL DATE OF ACTUAL PAYMENT /IMPOUNDING C)AMOUNT TO BE REMITTED TO INVESTOR PROTECTION AND EDUCATION FUND (IPEF) WITHIN FORTY FIVE DAYS FROM DATE OF RECEIPT OF THIS ORDER
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| 1157 |
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VIPUL DILEEP LATHI
(PAN:ACQPL5044B)
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PRAKASH CONSTROWELL LTD.
PAN:AABCP3573F
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TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 4(1) AND 4(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PRAKASH CONSTROWELL LTD. (NOW KNOWN AS “SETUBANDHAN INFRASTRUCTURE LTD.)
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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-JUL-2024 TO 23-JUL-2026
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
DIRECTED TO DISGORGE RS.55,50,000
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
24-JUL-2024
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SAT: SAT VIDE ITS ORDER DATED 17/10/2024 GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND REJOINDER, IF ANY, TO BE FILED WITHIN TWO WEEKS THEREAFTER. DIRECTED TO DEPOSIT 50% OF THE PENALTY AND DISGORGEMENT AMOUNT I.E.RS.5 LAC AND RS.28 LAC RESPECTIVELY WITHIN SIX WEEKS FROM DATE OF THIS ORDER. STAYED DIRECTIONS AT PARAGRAPH 75(A)(B) AND (C)
SAT: SAT VIDE ITS ORDER DATED 24/01/2025 GRANTED APPELLANT TWO WEEKS TO FILE REJOINDER
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| 1158 |
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VIVEK CHAUHAN
(PAN:CJZPC5706M)
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PLANTED FALSE AND MISLEADING INFORMATION THROUGH YOUTUBE VIDEOS AND ALSO RECOMMENDED TO BUY SHARES OF PRESSURE SENSITIVE SYSTEMS (INDIA) LTD. VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT. 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1), 4(2)(A), 4(2)(D), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003
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DIRECTED TO DISGORGE RS.1,78,805
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
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 31-JAN-2025 TO 30-JAN-2026
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
31-JAN-2025
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SEBI VIDE ITS NOTICE DATED 30/05/2025 DIRECTED TO PAY RS.1,86,957.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
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| 1159 |
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VIVEK KUMAR VARSHNEY
(PAN:AWTPV7908B)
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CONTINENTAL SEEDS & CHEMICALS LTD.
PAN:AAACC2341R
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INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF CONTINENTAL SEEDS & CHEMICALS LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF CONTINENTAL SEEDS & CHEMICALS LTD.
DID NOT MAKE DISCLOSURE OF SALE OF SHARES TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF CONTINENTAL SEEDS & CHEMICALS LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-NOV-2024 TO 28-NOV-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-NOV-2024 TO 28-NOV-2025
DIRECTED TO DISGORGE RS.2,24,17,400 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
29-NOV-2024
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SAT: SAT VIDE ITS ORDER DATED 06/01/2025 GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER. STAYED IMPUGNED ORDER SUBJECT TO DEPOSIT OF 50% OF PENALTY AMOUNT WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND ALSO STAYED THE DIRECTION IN PARAGRAPH 129.4 SUBJECT TO DEPOSIT OF RS.50 LAC DISGORGEMENT AMOUNT WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 15/01/2025 GRANTED APPELLANTS TWO MORE WEEKS TO DEPOSIT AMOUNT AS DIRECTED ON 06/01/2025
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| 1160 |
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YATENDRA KUMAR
(PAN:AFPPK9395C)
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TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3(I) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF WOCKHARDT LTD.
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DIRECTED TO DISGORGE RS.14,23,074
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
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 19-JUN-2023 TO 18-DEC-2023
19-JUN-2023
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SAT: SAT VIDE ITS ORDER DATED 10/10/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER TO BE FILED BY APPELLANT WITHIN THREE WEEKS THEREAFTER. STAYED DEBARMENT ORDER ISSUED BY WTM
SAT: SAT VIDE ITS ORDER DATED 21/12/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
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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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| Page 58 of 59
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