| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 101 |
|
MOTI LAL
(PAN:ALVPP1517D)
|
|
|
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.)
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
04-JUN-2019
|
|
| 102 |
|
|
MUKUND KUMAR JHA
(PAN:AETPJ6211M)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF MAPRO INDUSTRIES LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
24-MAR-2020
|
SAT: SAT VIDE ITS ORDER DATED 29/10/2020 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY TO WARNING
|
| 103 |
|
|
N.K.MALPANI
|
|
|
|
N.K.MALPANI,M/S
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
27-DEC-2005
|
|
| 104 |
|
|
NAMDEO KISAN TAJANE
(PAN:AAQPT4000M)
|
|
|
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
|
|
| 105 |
|
|
NANDINI PIRAMAL
(PAN:AEOPP0388Q)
|
|
|
|
PIRAMAL ENTERPRISES LTD.
PAN:AAACN4538P
|
|
DID NOT CLOSE TRADING WINDOW DURING THE TIME OF PRICE SENSITIVE INFORMATION WAS UNPUBLISHED VIOLATING CLAUSES 3.2-1 AND 3.2-3(F) OF MODEL CODE OF CONDUCT FOR PREVENTION OF INSIDER TRADING FOR LISTED COMPANIES IN SCHEDULE I PART A READ WITH REGULATION 12(3) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PIRAMAL ENTERPRISES LTD.
DID NOT HANDLE PRICE SENSITIVE INFORMATION RELATING TO SALE OF DOMESTIC HEALTHCARE BUSINESS TO ABOTT ON NEED TO KNOW BASIS VIOLATING CLAUSES 1.2 AND 2.2 OF MODEL CODE OF CONDUCT FOR PREVENTION OF INSIDER TRADING FOR LISTED COMPANIES IN SCHEDULE I PART A READ WITH REGULATION 12(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF PIRAMAL ENTERPRISES LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
03-OCT-2016
|
SAT: SAT VIDE ITS ORDER DATED 15/05/2019 ALLOWED THE APPEAL BY MODIFYING THE IMPUGNED ORDER FROM IMPOSITION OF PENALTY TO WARNING WITH FURTHER DIRECTIONS IF ANY SUCH INCIDENT OCCURS IN FUTURE, IT WOULD BE OPEN TO SEBI TO PROCEED IN ACCORDANCE WITH LAW. NO COSTS
|
| 106 |
|
|
NAZIR HAKEEM
|
|
|
|
VFSL CAPITAL LTD.
|
|
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
|
|
| 107 |
|
|
NEENA BANSAL
(PAN:AIDPB7112P)
|
|
|
|
FICUS COMMODITIES PVT.LTD.
PAN:AABCV4377P
|
|
|
FICUS SECURITIES PVT.LTD.
PAN:AAACV0429K
|
|
DID NOT MAKE DISCLOSURE OF ALL OF DP A/CS TO STOCK EXCHANGES VIOLATING CLAUSES A(1), A(4) AND A(5) OF CODE OF CONDUCT PRESCRIBED FOR STOCK BROKERS UNDER SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
RAISED FUNDS BY PLEDGING CLIENTS SECURITIES VIOLATING CLAUSE A(1) AND A(5) OF CODE OF CONDUCT PRESCRIBED FOR STOCK BROKERS UNDER SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
DID NOT REPORT CORRECT MARGIN TO EXCHANGES IN CD AND FO SEGMENT VIOLATING CLAUSES A(1), A(2) AND A(5) OF CODE OF CONDUCT PRESCRIBED FOR STOCK BROKERS UNDER SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
TRANSFERRED CLIENTS FUNDS TO FCPL AND FSPL ACCOUNTS
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
20-MAR-2018
|
SEBI VIDE ITS ORDER DATED 17/01/2019 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS EX-PARTE AD INTERIM ORDER DATED 20/03/2018
SEBI VIDE ITS ORDER DATED 25/08/2022 VACATED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 20/03/2018
|
| 108 |
|
|
NEETU GUPTA
(PAN:ANZPG4540K)
|
|
|
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.)
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
04-JUN-2019
|
SAT: SAT VIDE ITS ORDER DATED 25/02/2020 DISPOSED OFF THE APPEAL AND BY GIVING WARNING
|
| 109 |
|
|
NILESH M.BHAIYYA
(PAN:ABGPB2291K)
|
|
|
VIOLATED SECTIONS 12(A) TO (C) OF SEBI ACT. READ WITH REGULATIONS 3(B) TO 3(D) & 4(2)(C), 4(2)(F), 4(2)(K) AND 4(2)(R) OF PFUTP REGULATIONS, 2003 IN MATTER OF GDR ISSUES OF ASAHI INFRASTRUCTURE & PROJECTS LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
05-SEP-2017
|
|
| 110 |
|
|
NITIN KAGZI
(PAN:AJGPK7846K)
|
|
|
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 08/04/2022 CONDONED THE DELAY IN FILING OF APPEALS. ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANTS TO FILE REJOINDER TWO WEEKS THEREAFTER. EFFECT AND OPERATION OF IMPUGNED ORDER TO REMAIN STAYED UNTIL FURTHER ORDERS
SAT: SAT VIDE ITS ORDER DATED 08/06/2022 DIRECTED APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS FROM DATE OF THIS ORDER
|
| 111 |
|
|
OMPRAKASH
|
|
|
|
OMPRAKASH (HUF)
|
|
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
|
|
| 112 |
|
|
P.R.KRISHNAN
(PAN:AADPI7137B)
|
|
|
AIDED AND ABETTED PROMOTERS AND PROMOTER CONNECTED ENTITIES IN OFF-LOADING OF SHARES IN FRAUDULENT MANNER VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ARVIND REMEDIES LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
24-AUG-2022
|
SAT: SAT VIDE ITS ORDER DATED 14/01/2025 GRANTED TWO DAYS TO FILE IMPUGNED ORDER
|
| 113 |
|
|
PADMA MUNDUNURI
(PAN:AHOPM6134A)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF LN INDUSTRIES INDIA LTD. (FORMERKY KNOWN AS L N POLYESTERS LTD.)
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
17-JUL-2020
|
|
| 114 |
|
|
PALLAVI MILIND SHIRUDE
(PAN:AVJPS3232Q)
|
|
|
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 08/06/2022 DIRECTED APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS FROM DATE OF THIS ORDER
|
| 115 |
|
|
PANKAJ GARG
(PAN:AFXPG6932R)
|
|
|
VIOLATED SECTIONS 12(A) TO (C) OF SEBI ACT. READ WITH REGULATIONS 3(B) TO 3(D) & 4(2)(C), 4(2)(F), 4(2)K AND 4(2)(R) OF PFUTP REGULATIONS, 2003 IN MATTER OF GDR ISSUES OF IKF TECHNOLOGIES LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
05-SEP-2017
|
|
| 116 |
|
|
PANKAJ JAJOO
(PAN:AADHP3402J)
|
|
|
|
DHAR TEXTILES LTD.,THE
|
|
INDULGED IN CREATION OF SYNCHRONIZED/CIRCULAR TRANSACTIONS AND PRICE MANIPULATION IN SCRIP OF DHAR TEXTILES MILLS LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
05-MAR-2009
|
|
| 117 |
|
|
PARAG CHANDRKANT SHAH
(PAN:ARRPS2518R)
|
|
|
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 08/06/2022 DIRECTED APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS FROM DATE OF THIS ORDER
|
| 118 |
|
|
PARESH R.PATEL
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF GENUS COMMU-TRADE LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-MAR-2010
|
|
| 119 |
|
|
PAWAN JAIN
(PAN:AEKPJ9968A)
|
|
|
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
|
|
| 120 |
|
|
POONAM RAJBHAR
(PAN:AGQPR0343D)
|
|
|
|
FICUS COMMODITIES PVT.LTD.
PAN:AABCV4377P
|
|
|
FICUS SECURITIES PVT.LTD.
PAN:AAACV0429K
|
|
DID NOT MAKE DISCLOSURE OF ALL OF DP A/CS TO STOCK EXCHANGES VIOLATING CLAUSES A(1), A(4) AND A(5) OF CODE OF CONDUCT PRESCRIBED FOR STOCK BROKERS UNDER SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
RAISED FUNDS BY PLEDGING CLIENTS SECURITIES VIOLATING CLAUSE A(1) AND A(5) OF CODE OF CONDUCT PRESCRIBED FOR STOCK BROKERS UNDER SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
DID NOT REPORT CORRECT MARGIN TO EXCHANGES IN CD AND FO SEGMENT VIOLATING CLAUSES A(1), A(2) AND A(5) OF CODE OF CONDUCT PRESCRIBED FOR STOCK BROKERS UNDER SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
TRANSFERRED CLIENTS FUNDS TO FCPL AND FSPL ACCOUNTS
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
20-MAR-2018
|
SEBI VIDE ITS ORDER DATED 17/01/2019 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS EX-PARTE AD INTERIM ORDER DATED 20/03/2018
SEBI VIDE ITS ORDER DATED 25/08/2022 VACATED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 20/03/2018
|
| 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 6 of 11
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