| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1161 |
|
VIMAL NARSHIBHAI DOBARIYA
(PAN:AMEPD0174G)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KAUSAMBI VANIJYA LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 26-MAR-2019 TO 25-MAR-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 26-MAR-2019 TO 25-MAR-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
26-MAR-2019
|
|
| 1162 |
|
|
VINAY KUMAR AGARWAL
(PAN:ACAPA3335N)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF-TRADES IN SCRIP OF SULABH ENGINEERS & SERVICES 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 27-JAN-2023 TO 26-JAN-2026
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
03-SEP-2020
|
SAT: SAT VIDE ITS ORDER DATED 23/04/2021 RESPONDENT MAY FILE REPLY TO THE MEMO OF APPEAL AS WELL AS TO APPLICATION FOR CONDONATION OF DELAY ON OR BEFORE THE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 13/07/2021 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED RESPONDENT TO FILE REPLY WITHIN TWO WEEKS AND REJOINDER MAY BE FILED WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 25/04/2023 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 27/01/2023
SEBI VIDE ITS ORDER DATED 27/01/2023 DIRECTED TO A) RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH THE SECURITIES MARKET IN ANY MANNER, WHATSOEVER FOR THREE YEARS FROM DATE OF THIS ORDER B) DURING PERIOD OF RESTRAINT EXISTING HOLDING, INCLUDING MUTUAL FUNDS UNITS TO REMAIN FROZEN
|
| 1163 |
|
|
VINEET GUPTA
(PAN:AAIPG1297R)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF RAM MINERALS & CHEMICALS LTD. (FORMERLY KNOWN AS IVCL CHEMICALS LTD.)
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 04-JUN-2019 TO 03-JUN-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-JUN-2019 TO 03-JUN-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
04-JUN-2019
|
|
| 1164 |
|
|
VINEET JAIN
(PAN:AEDPJ2960D)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PINE ANIMATION 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-NOV-2019 TO 17-NOV-2024
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
18-NOV-2019
|
|
| 1165 |
|
|
VINOD GAJANAN DHADAVE
(PAN:AIYPD1020H)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-AUG-2020 TO 30-NOV-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-AUG-2020 TO 30-NOV-2020
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
31-AUG-2020
|
|
| 1166 |
|
|
VINOD HARI MHATRE
(PAN:ANQPM0834M)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF MAHAVIR ADVANCED REMEDIES LTD. (EARLIER KNOWN AS INDO AMERICAN ADVANCE PHARMACEUTICALS)
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-AUG-2019 TO 29-AUG-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-AUG-2019 TO 29-AUG-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
30-AUG-2019
|
|
| 1167 |
|
|
VINOD KUMAR KAUSHIK
(PAN:AMAPK7964P)
|
|
|
|
CHROMATIC INDIA LTD.
PAN:AAACC6220B
|
|
DID NOT MAKE CORRECT DISCLOSURE TO STOCK EXCHANGES ABOUT SUBSCRIPTION OF GDR ISSUE VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) & 4(1) OF PFUTP REGULATIONS, 2003 IN MATTER OF CHROMATIC INDIA LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-SEP-2019 TO 29-SEP-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-SEP-2019 TO 29-SEP-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
30-SEP-2019
|
SAT: SAT VIDE ITS ORDER DATED 12/05/2021 DISMISSED THE APPEAL
|
| 1168 |
|
|
VINOD KUMAR SARAF
(PAN:ALRPS6933L
DIN:02081178)
|
|
|
|
ADHUNIK PLANTATIONS PVT.LTD.
PAN:AACCA8921D
|
|
|
PRIME PLANTATIONS PVT.LTD.
PAN:AACCP1731G
|
|
|
TWENTIETH CENTURY PLANTATION PVT.LTD.
PAN:AAACT1328F
|
|
OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
|
DIRECTED TO SUBMIT REPORT IN REGARD TO WINDING UP OF CIS AND REPAYMENT OF MONIES TO SEBI IN ACCORDANCE TO CIS REGULATIONS
DIRECTED TO SUBMIT REPAYMENT REPORT TO SEBI CERTIFIED BY TWO INDEPENDENT CHARTERED ACCOUNTANTS WHO ARE IN PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 19-MAR-2021 TO 18-MAR-2025
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-MAR-2021 TO 18-MAR-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-MAR-2021 TO 18-MAR-2025
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM INVESTORS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS/PROPERTIES/ SECURITIES
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
19-MAR-2021
|
SAT: SAT VIDE ITS ORDER DATED 07/07/2021 CONDONED THE DELAY OF 10 DAYS IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER. FURTHER, DIRECTED TO SUSPEND RESTRAINED ORDER DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 30/07/2021 REJECTED THE APPLICATION AND ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 14/12/2021 ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER DATED 19/03/2021. MATTER REMITTED TO WTM TO DECIDE AFRESH WITHIN SIX WEEKS FROM DATE OF THIS ORDER. FURTHER, DIRECTED APPELLANT TO TRANSFER RS 3.80 LAC TO SEBI WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SEBI VIDE ITS ORDER DATED 24/01/2022 DIRECTED TO A) INTIMATE/FILE A REPORT WITHIN 15 DAYS OF EACH REFUND MADE TO ANY OF THE INVESTORS TO SEBI B) FILE WINDING UP AND REPAYMENT REPORT (WRR) IN THE PRESCRIBED FORMAT CONTAINING THE DETAILS OF THE CONTRIBUTORS/INVESTORS WHO HAVE BEEN SO REFUNDED AND STATEMENT OF ESCROW ACCOUNT DULY SUPPORTED BY LIST OF ALL CONTRIBUTORS/INVESTORS, THEIR CONTACT DETAILS, DETAILS OF INVESTMENTS AND CORRESPONDING REFUNDS MADE TO SUCH INVESTORS, THE SUPPORTING BANK ACCOUNT STATEMENTS OF ALL THE NOTICEE, INDICATING REFUNDS SO MADE TO THE INVESTORS AND THE RECEIPTS TAKEN FROM THE INVESTORS ACKNOWLEDGING SUCH REFUNDS, ALONG WITH A CONSOLIDATED STATEMENT OF SUCH REPAYMENTS HAVING BEEN MADE, DULY CERTIFIED BY TWO INDEPENDENT CHARTERED ACCOUNTANTS, WITHIN A PERIOD OF TWO (02) MONTHS FROM MAKING REFUNDS TO ALL THE INVESTORS OR TRANSFERRING OF FUNDS TO IPEF, WHICHEVER IS EARLIER
SAT: SAT VIDE ITS ORDER DATED 09/05/2022 DIRECTED REPLY BE FILED WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND REJOINDER MAY BE FILED WITHIN FOUR WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 25/07/2022 CONDONED THE DELAY IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 21/09/2022 DIRECTED A) THAT RS.3.80 LACS DEPOSITED WITH SEBI TO BE TRANSFERRED TO INVESTOR PROTECTION & EDUCATION FUND ALONG WITH ACCRUED INTEREST, IF ANY, WITHIN FOUR WEEKS FROM DATE OF THIS ORDER B) APPELLANTS TO FILE WINDING UP REPORT AND REPAYMENT REPORT TO WHOM MONEY HAS BEEN REFUNDED WITHIN FOUR WEEKS FROM DATE OF THIS ORDER C) APPELLANTS TO FILE DETAILS LIST OF ALL CONTRIBUTORS/INVESTORS CONTACT DETAILS, DETAILS OF INVESTMENT OF THOSE INVESTORS WHOSE INVESTMENT HAVE NOT BEEN REFUNDED WITHIN FOUR WEEKS FROM DATE OF THIS ORDER D) REPORT TO CERTIFIED BY CHARTED ACCOUNTANT IN THE PRESCRIBE FORMAT WITHIN SIX WEEKS FROM DATE OF THIS ORDER
|
| 1169 |
|
|
VINODKUMAR CHOTAMAL JAIN
(PAN:AACPJ4690H)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF DHANLEELA INVESTMENT & TRADING CO.LTD. (FORMERLY KNOWN AS RATNI INVESTMENTS CO.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-MAR-2020 TO 17-MAR-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
18-MAR-2020
|
|
| 1170 |
|
|
VIPUL DILEEP LATHI
(PAN:ACQPL5044B)
|
|
|
|
PRAKASH CONSTROWELL LTD.
PAN:AABCP3573F
|
|
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.)
|
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
|
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
SAT: SAT VIDE ITS ORDER DATED 21/04/2025 GRANTED APPELLANT TWO WEEKS TO FILE REJOINDER
|
| 1171 |
|
|
VIPUL MOHANLAL JOSHI
(PAN:ACVPJ2550R)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SHREEKRISHNA BIOTECH LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JAN-2019 TO 30-JAN-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JAN-2019 TO 30-JAN-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
31-JAN-2019
|
SAT: SAT VIDE ITS ORDER DATED 07/11/2019 QUASHED IMPUGNED ORDER DATED 31/01/2019 IN SO FAR AS IT RELATED TO APPLICANT. NO COSTS
|
| 1172 |
|
|
VIRBHADRASINH JADEJA
(PAN:AWIPJ5038K)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF EXCEL CASTRONICS 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 01-OCT-2021 TO 31-DEC-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
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
01-OCT-2021
|
SAT: SAT VIDE ITS ORDER DATED 05/01/2022 CONDONED THE DELAY IN FILING OF APPEAL. RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANTS TO FILE REJOINDER WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 11/01/2022 CONDONED THE DELAY OF 14 DAYS IN FILING OF APPEAL AND DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER ON OR BEFORE THE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 25/02/2022 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 07/04/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 14/09/2022 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 14/10/2022 DIRECTED TO FILE THE REJOINDER, IF ANY, ON OR BEFORE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 06/06/2023 REJECTED THE APPLICATION
|
| 1173 |
|
|
VIRENDRA KUMAR JAIN
(PAN:ABPPJ9524Q)
|
|
|
AIDED AND ABETTED SCHEME AND ARTIFICE UTILIZED BY NEFM GROUP FOR TRADING IN MENTHA OIL CONTRACTS THROUGH A NUMBER OF ENTITIES WHO TRADED IN MENTHA OIL FUTURES AS CLIENT OF RCS VIOLATING REGULATION 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2019 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-FEB-2019 TILL FURTHER ORDERS
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
28-FEB-2019
|
SAT: SAT VIDE ITS ORDER DATED 30/04/2019 QUASHED THE IMPUGNED ORDER SO FAR IT RELATED TO THE APPLELLANT
SEBI VIDE ITS ORDER DATED 06/12/2019 REVOKED ITS DIRECTIONS ISSUED VIDE ITS EX-PARTE INTERIM ORDER DATED 28/02/2019
SAT: SAT VIDE ITS ORDER DATED 03/07/2023 ALLOWED RESPONDENT FURTHER TWO WEEKS TO FILE REPLY AND REJOINDER TO BE FILED WITHIN TWO WEEKS
SAT: SAT VIDE ITS ORDER DATED 09/08/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 1174 |
|
|
VIRENDRA SAMANI
(PAN:APTPS2785J)
|
|
|
|
FUTURE CORPORATE RESOURCES LTD.
CIN:U74140MH2007PTC175603
PAN:AAJCS3979E
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND (E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF FUTURE RETAIL LTD.
|
IMPOSED PENALTY RS.10,00,000
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
03-FEB-2021
|
SAT: SAT VIDE ITS ORDER DATED 22/02/2021 DIRECTED RESPONDENT TO FILE REPLY WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER.
SAT: SAT VIDE ITS ORDER DATED 09/04/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 20/12/2023 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 03/02/2021. NO COSTS
|
| 1175 |
|
|
VISHAL KUMAR SHAH
(PAN:AYBPS0534J)
|
|
|
|
KELVIN FINCAP LTD.
PAN:AAACD1881H
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH MATCHED TRANSACTIONS IN SCRIP OF KELVIN FINCAP LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING PATTERN TO BSE VIOLATING SECTION 21 OF SCRA, 1956 READ WITH CLAUSE 35 OF LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-AUG-2014 TO 13-JUL-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-AUG-2014 TO 13-JUL-2021
PROHIBITED FROM RAISING ANY FURTHER CAPITAL IN ANY MANNER, DIRECTLY OR INDIRECTLY FROM 14-AUG-2014 TO 13-JUL-2021
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 14-AUG-2014 TO 13-JUL-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
14-AUG-2014
|
SEBI VIDE ITS ORDER DATED 31/08/2020 DIRECTED A) NOT TO ACCESS SECURITIES MARKET, DIRECTLY OR INDIRECTLY, BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM THE PUBLIC FOR 3 YEARS B) RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN WHATSOEVER MANNER, FOR 7 YEARS
|
| 1176 |
|
|
VISHAL KUMAR SHAH
(PAN:AYBPS0534J)
|
|
|
|
KELVIN FINCAP LTD.
PAN:AAACD1881H
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH MATCHED TRANSACTIONS IN SCRIP OF KELVIN FINCAP LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-AUG-2014 TO 13-AUG-2017
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-AUG-2014 TO 13-AUG-2017
RESTRAINED AND FURTHER PROHIBITED FROM HOLDING AND OCCUPYING ANY MANAGERIAL POST OR BEING ASSOCIATED DIRECTLY OR INDIRECTLY WITH ANY LISTED PUBLIC COMPANY AND/OR ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM 14-AUG-2014 TO 13-AUG-2017
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
14-AUG-2014
|
SEBI VIDE ITS ORDER DATED 31/03/2015 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 14/08/2014
SEBI VIDE ITS ORDER DATED 31/08/2020 DIRECTED TO RESTRAINED FROM HOLDING POST OF DIRECTOR, ANY MANAGERIAL POSITION OR ASSOCIATING THEMSELVES IN ANY CAPACITY WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC, OR ANY INTERMEDIARY REGISTERED WITH SEBI FOR 3 YEARS
|
| 1177 |
|
|
VISHAVJIT SINGH SENDHAV
(PAN:IAOPS3519E)
|
|
|
|
CAPITAL FINANCE ADVISORY'S
PAN:IAOPS3519E
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 28-APR-2023 TO 27-OCT-2023
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DIRECTED TO DEPOSIT REMAINING BALANCE AMOUNT WITH SEBI TO BE KEPT IN ESCROW ACCOUNT
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-APR-2023 TO 27-OCT-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-APR-2023 TO 27-OCT-2023
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 28-APR-2023 TO 27-OCT-2023
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY INVESTMENT ADVISORY SERVICES AND/OR RESEARCH ANALYST ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI FROM 28-APR-2023 TO 27-OCT-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-APR-2023
|
SEBI VIDE ITS NOTICE DATED 19/01/2024 DIRECTED TO PAY RS.60,20,060.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 24/01/2024 DIRECTED TO PAY RS.11,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 1178 |
|
|
VISHNU KHAITAN
(PAN:BIWPK7819Q)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF DHANLEELA INVESTMENT & TRADING CO.LTD. (FORMERLY KNOWN AS RATNI INVESTMENTS CO.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-MAR-2020 TO 17-MAR-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
18-MAR-2020
|
|
| 1179 |
|
|
VISHVADEEP HARILAL PATEL
(PAN:APUPP6789G)
|
|
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MOBILIZED RS.29.84 CRORE THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 284 INVESTORS VIOLATING SECTIONS 56(1), 56(3), 60 AND 73 OF THE COMPANIES ACT, 1956 IN MATTER OF AAKRUTI NIRMITI LTD.
MOBILIZED RS.29.84 CRORE THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 284 INVESTORS VIOLATING CLAUSES 2.1.1, 2.1.4, 2.2,4.11, 4.14, 5.3.1, 5.4.1, 5.6.2, 8.8.1, 5.6A AND 6.0 TO 6.15 OF SEBI (DIP) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000 READ WITH SEBI (ICDR) REGULATIONS, 2018 IN MATTER OF AAKRUTI NIRMITI LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-MAY-2021 TO 02-NOV-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-MAY-2021 TO 02-NOV-2021
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 03-MAY-2021 TO 02-NOV-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
03-MAY-2021
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SAT: SAT VIDE ITS ORDER DATED 29/09/2021 CONDONED THE DELAY IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 18/11/2021 CONDONED THE DELAY OF 80 DAYS IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 22/11/2021 CONDONED THE DELAY IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 01/12/2021 ALLOWED RESPONDENT TWO WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 10/01/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
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| 1180 |
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VISHWA BANDHU VASHISTHA
(DIN:02707338
PAN:ADFPV9924N)
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TOGO RETAIL MARKETING LTD.
CIN:U72900DL1999PLC098804
PAN:AADCM4340F
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MOBILIZED RS.7.74 CRORES FROM PUBLIC THROUGH ISSUANCE OF 77,41,000 EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 8,424 INVESTORS VIOLATING SECTIONS 60(B)(2), 60(B)(9) READ WITH 2(36), 56(1), 56(3) AND 73 OF THE COMPANIES ACT, 1956 AND THE DIP DIRECTIVES/INSTRUCTIONS/GUIDELINES & THE ICDR REGULATIONS, 2009
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DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC AND/OR INVITE SUBSCRIPTION, IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 11-JUL-2020 TO 10-JUL-2024
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 11-JUL-2020 TO 10-JUL-2024
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 11-JUL-2020 TO 10-JUL-2024
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-JUL-2020 TO 10-JUL-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-JUL-2020 TO 10-JUL-2024
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
PERMITTED TO SELL ASSETS OF COMPANY FOR SOLE PURPOSE OF MAKING REFUNDS AND DEPOSIT PROCEEDS IN AN ESCROW ACCOUNT OPENED WITH NATIONALISED BANK
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 11-JUL-2020 TO 10-JUL-2024
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
05-AUG-2015
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SEBI VIDE ITS ORDER DATED 11/07/2019 DIRECTED TO A) PROVIDE FULL INVENTORY OF ALL ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, IF HELD IN PHYSICAL AND DEMAT FORM OF THE COMPANY B) PERMITTED TO SELL ASSETS OF THE COMPANY ONLY FOR SOLE PURPOSE OF MAKING REFUND AND DEPOSIT PROCEEDS IN ESCROW ACCOUNT OPENED WITH NATIONALISED BANK C) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING THE MODALITIES FOR REFUND D) DIRECTED FILE CERTIFICATE OF SUCH COMPLETION WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS WHO ARE IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION E) RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER ANY MANNER FOR FOUR YEARS ON THE EXPIRY OF 365 DAYS OF THIS ORDER F) RESTRAINED FROM ASSOCIATING THEMSELVES WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC, OR ANY INTERMEDIARY REGISTERED WITH SEBI FOR FOUR YEARS ON THE EXPIRY OF 365 DAYS OF THIS ORDER
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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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