| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 121 |
|
DHANLAKSHMI BROKERS PVT.LTD.
(PAN:AAECD4759L)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF RUTRON INTERNATIONAL LTD. (CURRENTLY KNOWN AS PAZEL INTERNATIONAL 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 15-FEB-2021 TO 14-AUG-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
15-FEB-2021
|
|
| 122 |
|
|
DHARMENDRA RIKHAVCHAND SHAH (HUF)
(PAN:AAEHD6246F)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF ALLIED COMPUTERS INTERNATIONAL (ASIA) 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-AUG-2021 TO 26-AUG-2024
27-AUG-2021
|
|
| 123 |
|
|
DHIRENDRA KUMAR GUPTA & SONS (HUF)
(PAN:AAFHD9092L)
|
|
|
MISUSED STOCK EXCHANGE SYSTEM TO GENERATE FICTITIOUS LONG-TERM CAPITAL GAINS (LTCG) TO CONVERT UNACCOUNTED INCOME INTO ACCOUNTED ONE WITH NO PAYMENT OF TAXES AS LTCG IS TAX EXEMPT IN MATTER 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 07-MAY-2020
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
08-MAY-2015
|
SEBI VIDE ITS ORDER DATED 22/08/2016 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 08/05/2015 EXCEPT THAT NOTICEES CAN: A) ENTER INTO DELIVERY BASED TRANSACTIONS IN CASH SEGMENT IN SECURITIES COVERED IN NSE NIFTY 500 INDEX SCRIPS AND / OR S&P BSE 500 SCRIPS B) SUBSCRIBE TO UNITS OF MUTUAL FUNDS INCLUDING THROUGH SIP AND REDEEM THE UNITS OF MUTUAL FUNDS SO SUBSCRIBED C) DEAL IN DEBT/GOVERNMENT SECURITIES D) INVEST IN ETF E) AVAIL THE BENEFITS OF CORPORATE ACTIONS LIKE RIGHTS ISSUE, BONUS ISSUE, STOCK SPLIT, DIVIDEND, ETC. F) TENDER THE SHARES LYING IN THEIR DEMAT ACCOUNT IN ANY OPEN OFFER/DELISTING OFFER UNDER THE RELEVANT REGULATIONS OF SEBI. SEBI ALLOWED THEM FURTHER RELAXATIONS/RELIEFS A) THEY ARE PERMITTED TO SELL THE SECURITIES LYING IN THEIR DEMAT ACCOUNTS AS ON THE DATE OF THE INTERIM ORDER, OTHER THAN THE SHARES OF THE COMPANIES WHICH ARE SUSPENDED FROM TRADING BY THE CONCERNED STOCK EXCHANGE, IN ORDERLY MANNER UNDER THE SUPERVISION OF THE STOCK EXCHANGES SO AS NOT TO DISTURB THE MARKET EQUILIBRIUM AND DEPOSIT THE SALE PROCEEDS IN AN INTEREST BEARING ESCROW ACCOUNT WITH A NATIONALIZED BANK B) THEY MAY DEAL WITH OR UTILIZE THE SALE PROCEEDS LYING IN THE ESCROW ACCOUNT UNDER THE SUPERVISION OF THE CONCERNED STOCK EXCHANGE
SEBI VIDE ITS ORDER DATED 18/11/2019 DIRECTED TO A) DEBARRED 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 5 YEARS AND B) FREEZED EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
|
| 124 |
|
|
DHIRGA MARKETING PRIVATE LTD.
(PAN:AADCD9678H)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF YAMINI 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 04-SEP-2023 TO 03-SEP-2025
04-SEP-2023
|
SAT: SAT VIDE ITS ORDER DATED 09/11/2023 CONDONED THE DELAY IN FILING OF APPEAL. IN THE MEANWHILE, RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE. STAYED EFFECT AND OPERATION OF THE IMPUGNED ORDER
|
| 125 |
|
|
DHYANESHWAR DEALERS PVT.LTD.
(PAN:AAECD8010E)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF ALPS MOTOR FINANCE 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-OCT-2020 TO 26-APR-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
27-OCT-2020
|
|
| 126 |
|
|
DINESH GUPTA (HUF)
(PAN:AACHD9271Q)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SHILPI CABLE TECHNOLOGIES LTD.
DELAY IN PAYMENT OF CONSIDERATION OF OFF-MARKET TRANSACTIONS VIOLATING SECTION 16 OF SCRA, 1956 READ WITH SEBI NOTIFICATION NO.G.S.R.219 (E) DATED 02/03/2000 AND SECTIONS 13 AND 18 OF SCRA READ WITH SECTIONS 2(I) OF SCRA ACT, 1956 IN MATTER OF SHILPI CABLE TECHNOLOGIES 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 19-JUN-2023 TO 18-JUN-2024
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
DIRECTED TO DISGORGE RS.7,56,63,905
19-JUN-2023
|
|
| 127 |
|
|
DINESH N.PAGI (HUF)
(PAN:AAGHD5228P)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUNRISE ASIAN 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 06-SEP-2021 TO 05-MAR-2022
06-SEP-2021
|
SAT: SAT VIDE ITS ORDER DATED 14/02/2023 ALLOWED APPELLANT FURTHER TWO WEEKS TO FILE REJOINDER
|
| 128 |
|
|
DIPESH MEHTA (HUF)
(PAN:AAHHD8379J)
|
|
|
INDULGED IN FRONT RUNNING THE TRADES OF BIG CLIENTS 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 BHARAT KANAIYALAL SHETH FAMILY TRUST, RAVI KANAIYALAL SHETH FAMILY TRUST AND ARJUN DISCRETIONARY TRUST
|
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 23-OCT-2025 TO 22-OCT-2027
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 23-OCT-2025 TO 22-OCT-2027
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
IMPOSED PENALTY RS.10,00,000
23-OCT-2025
|
SAT: SAT VIDE ITS ORDER DATED 13/02/2026 CONDONED THE DELAY OF 07 DAYS IN FILING OF APPEAL. ALLOWED RESPONDENT SIX WEEKS TO FILE REPLY AND REJOINDER, IF ANY, BE FILED WITHIN THREE WEEKS THEREAFTER
|
| 129 |
|
|
DIZZYSTONE TRADING PVT.LTD.
(PAN:AADCD5749F)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SHANTANU SHEOREY AQUAKULT 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-JUN-2021 TO 31-AUG-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
01-JUN-2021
|
SAT: SAT VIDE ITS ORDER DATED 18/06/2021 DISPOSED OFF THE URGENCY APPLICATION. DIRECTED RESPONDENT TO PROVIDE CERTIFIED COPY OF IMPUGNED ORDER WITH IN 10 DAYS FROM THE DATE OF THIS ORDER AND GRANTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. DIRECTED THAT THE EFFECT AND OPERATION OF IMPUGNED ORDER REMAIN STAYED DURING THE PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 12/07/2021 DISMISSED THE APPEAL AS INFRUCTUOUS
SAT: SAT VIDE ITS ORDER DATED 12/08/2021 ALLOWED APPELLANTS THREE WEEKS TIME TO FILE REJOINDER AND EXTENDED INTERIM ORDER, IF ANY, TILL NEXT DATE OF LISTING
SAT: SAT VIDE ITS ORDER DATED 04/01/2022 DISMISSED THE APPEAL.NO COSTS
|
| 130 |
|
|
DJS STOCK & SHARES LTD.
(PAN:AAACD7350B)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUNRISE ASIAN 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 06-SEP-2021 TO 05-MAR-2022
06-SEP-2021
|
SAT: SAT VIDE ITS ORDER DATED 14/02/2023 ALLOWED APPELLANT FURTHER TWO WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 04/05/2023 CONDONED THE DELAY IN FILING OF APPEAL
|
| 131 |
|
|
DR.KUMARASWAMI R DUSSA (HUF)
(PAN:AAIHD5369P)
|
|
|
INDULGED IN FRONT RUNNING THE TRADES OF BIG CLIENTS 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 BHARAT KANAIYALAL SHETH FAMILY TRUST, RAVI KANAIYALAL SHETH FAMILY TRUST AND ARJUN DISCRETIONARY TRUST
|
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 23-OCT-2025 TO 22-OCT-2026
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 23-OCT-2025 TO 22-OCT-2026
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
IMPOSED PENALTY RS.5,00,000
23-OCT-2025
|
SAT: SAT VIDE ITS ORDER DATED 13/02/2026 CONDONED THE DELAY OF 07 DAYS IN FILING OF APPEAL. ALLOWED RESPONDENT SIX WEEKS TO FILE REPLY AND REJOINDER, IF ANY, BE FILED WITHIN THREE WEEKS THEREAFTER
|
| 132 |
|
|
DREAMLIGHT EXIM PVT.LTD.
(PAN:AAECD5782B)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF ALPS MOTOR FINANCE 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-OCT-2020 TO 26-APR-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
27-OCT-2020
|
|
| 133 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
|
AKASH DEEPAK PATIL
PAN:AHQPP7304M
|
|
|
APARNA PRASHANT KARNIK
PAN:AOHPK5657G
|
|
|
BINA KIRAN RAJADHYAKSHA
PAN:ADWPR1559C
|
|
|
DEEPAK PRAKASH NAIK
PAN:AAFPN7908R
|
|
|
MAYURESH ARUN DOLAS
PAN:ADFPD4444D
|
|
|
PRASHANT DWARKANATH KARNIK
PAN:ALNPK6852A
|
|
|
ROHAN VIJAY THAKURDESAI
PAN:AETPT8867K
|
|
|
ROUNAK RAJANIKANT PATIL
PAN:AOFPP1491K
|
|
|
SHRIL SUBHASH MADAN
PAN:ADZPM6114H
|
|
|
SHRIRAM BHASKAR JOSHI
PAN:ABGPJ2012E
|
|
USED SECURITIES FROM CLIENTS TO MEET OBLIGATION OF ANOTHER CLIENT
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES
|
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-2023 TO 30-JAN-2024
31-JAN-2023
|
|
| 134 |
|
|
DRONEACHARYA AERIAL INNOVATIONS LTD.
(PAN:AAGCD0701L)
|
|
|
|
NIKITA SRIVASTAVA
PAN:BAZPM2614N
|
|
|
PRATEEK SRIVASTAVA
PAN:CJCPS9105B
|
|
ISSUED MISLEADING AND FALSE CORPORATE ANNOUNCEMENT TO INVESTORS VIOLATING REGULATIONS 4(1)(C) TO 4(1)(E), 4(1)(G) AND 4(1)(H)OF SEBI (LODR) REGULATIONS, 2015 READ WITH 30(1), 30(3), 30(4(, 30(7), 30(8) AND 30(10) OF SEBI (LODR) REGULATIONS, 2015 AND SCHEDULE III PART A PARA B (1), (2), (4) AND SCHEDULE III PART A PARA C OF SEBI (LODR) REGULATIONS, 2015 AND CIRCULAR NO.CIR/CFD/CMD/4/2015 DATED 09/09/2015
MIS-REPRESENTED FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(1), 33(1)(A), 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF DRONEACHARYA AERIAL INNOVATIONS LTD.
MADE INCORRECT DISCLOSURES OF DEVIATION IN IPO PROCEEDS VIOLATING REGULATION 32 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF DRONEACHARYA AERIAL INNOVATIONS LTD.
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), 4(1)(H), 4(1)(I), 4(2)(E)(I) AND 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF DRONEACHARYA AERIAL INNOVATIONS LTD.
MIS-UTILISED OF IPO PROCEEDS AS PER THE OBJECTS STATED IN THE PROSPECTUS VIOLATING REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(A) AND 4(2)(E) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DRONEACHARYA AERIAL INNOVATIONS LTD.
DID NOT MAKE DISCLOSURE OF QUOTATION OF SOFTWARE IN PROSPECTUS VIOLATING REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(A) AND 4(2)(E) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DRONEACHARYA AERIAL INNOVATIONS LTD.
MIS-REPRESENTED FINANCIAL STATEMENTS VIOLATING REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DRONEACHARYA AERIAL INNOVATIONS 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 28-NOV-2025 TO 27-NOV-2027
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 28-NOV-2025 TO 27-NOV-2027
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING PAYMENT OF PENALTY
IMPOSED PENALTY RS.10,00,000
28-NOV-2025
|
SAT: SAT VIDE ITS ORDER DATED 19/12/2025 ALLOWED RESPONDENT FOUR WEEKS TO FILE REPLY AND REJOINDER IF ANY BE FILED WITHIN TWO WEEKS THEREAFTER. STAYED RECOVERY SUBJECT TO DEPOSIT 50% PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 03/02/2026 PARTLY ALLOWED THE APPEAL BY PERMITTING TO RAISE FUNDS BY PREFERENCE ISSUE OF SHARES BY MAKING PROPER DISCLOSURE OF SEBI’S ORDER DATED 28/11/2025. NO COSTS
|
| 135 |
|
|
DYNAMIC CREDIT FINANCE PVT.LTD.
(PAN:AACCA7919H)
|
|
|
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 03-SEP-2020 TO 02-SEP-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
03-SEP-2020
|
|
| 136 |
|
|
E TRICKS ENTERPRISES PVT.LTD.
(PAN:AADCE4004G)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF YAMINI 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 04-SEP-2023 TO 03-SEP-2025
04-SEP-2023
|
SAT: SAT VIDE ITS ORDER DATED 09/11/2023 CONDONED THE DELAY IN FILING OF APPEAL. IN THE MEANWHILE, RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE. STAYED EFFECT AND OPERATION OF THE IMPUGNED ORDER
|
| 137 |
|
|
EAGER CORP.
(PAN:AAAFE7328R)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUNRISE ASIAN 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 06-SEP-2021 TO 05-MAR-2022
06-SEP-2021
|
SAT: SAT VIDE ITS ORDER DATED 14/02/2023 ALLOWED APPELLANT FURTHER TWO WEEKS TO FILE REJOINDER
|
| 138 |
|
|
ECOSPACE INFOTECH PVT.LTD.
(CIN:U74999WB2012PTC179183
PAN:AADCE0088L)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF YAMINI 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 04-SEP-2023 TO 03-SEP-2025
04-SEP-2023
|
SAT: SAT VIDE ITS ORDER DATED 09/11/2023 CONDONED THE DELAY IN FILING OF APPEAL. IN THE MEANWHILE, RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE. STAYED EFFECT AND OPERATION OF THE IMPUGNED ORDER
SAT: SAT VIDE ITS ORDER DATED 23/11/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE. STAYED EFFECT AND OPERATION OF THE IMPUGNED ORDER
SAT: SAT VIDE ITS ORDER DATED 14/06/2024 CONDONED THE DELAY IN FILING OF APPEAL AND REJOINDER TO BE FILED WITHIN THREE WEEKS FROM DATE OF THIS ORDER
|
| 139 |
|
|
EFFICA SYSTEMS PVT.LTD.
(CIN:U64202TN2009PTC071993
PAN:AACCE7595H)
|
|
|
AIDED AND ABETTED FUNDING OF TRADES VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ZYLOG SYSTEMS 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 14-JUN-2021 TO 13-JUN-2022
14-JUN-2021
|
|
| 140 |
|
|
EMERGING SECURITIES PVT.LTD.
(PAN:AAACE0195R)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) & (E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SUPRAJIT ENGINEERING 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-APR-2021 TO 26-APR-2023
DIRECTED TO DISGORGE RS.7,96,197
27-APR-2021
|
SAT: SAT VIDE ITS ORDER DATED 05/05/2021ALLOWED THREE WEEKS TIME TO RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. DIRECTED APPELLANT TO DEPOSIT DISGORGED AMOUNT ALONG WITH INTEREST AND PENALTY WITHIN TWO WEEKS FROM DATE OF THIS ORDER. UPON DEPOSIT, RESTRAINT ORDER AS GIVEN IN DIRECTION NO 1&2 IN PARAGRAPH 52 OF THE IMPUGNED ORDER WILL REMAIN IN ABEYANCE DURING PENDENCY OF THE APPEL
SAT: SAT VIDE ITS ORDER DATED 13/05/2021 DISMISSED THE APPEAL AS INFRUCTUOUS
SAT: SAT VIDE ITS ORDER DATED 28/06/2021 ALLOWED APPELLANTS THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 11/08/2021 ALLOWED APPELLANTS THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 18/02/2022 DISPOSED OFF THE APPEAL AS THE CASE HAS BEEN SETTLED BETWEEN THE PARTIES
|
| 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 7 of 29
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