| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 121 |
|
FAIRYBEN V.BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES IN WHATSOVER MANNER, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 3 YEARS FROM THE DATE OF THIS ORDER I.E.31/12/2008
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 122 |
|
|
FVBHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES IN WHATSOVER MANNER, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 3 YEARS FROM THE DATE OF THIS ORDER I.E.31/12/2008
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 123 |
|
|
GURMUKHDAS RAMESHKUMAR GIYAMALANI
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
|
SEBI VIDE ITS ORDER DATED 18/08/2016 RECALLED THE RESTRAINT ORDER PASSED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 12/01/2006 AND CONFIRMEND VIDE ITS ORDER DATED 27/04/2016
|
| 124 |
|
|
HARISHJ BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
|
| 125 |
|
|
HASMUKHLAL N.VORA
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.22,23,158, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.2,20,76,842 VIDE CONSENT ORDER)
24-NOV-2008
|
CONFIRMED INTERIM ORDER DATED APRIL 27, 2006
SAT: APPEAL DISPOSED OFF, WITH DIRECTION TO SEBI TO COMPLETE ENQUIRIES BEFORE 31/10/2008.ADJUDICATION PROCEEDINGS SHOULD ALSO BE DISPOSED OF BEFORE END OF OCTOBER THIS YEAR
AD INTERIM EX-PARTE ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.2,20,76,842 TOWARDS ALLEGED ILL-GOTTEN GAINS RS.22,23,158 TOWARDS SETTLEMENT CHARGES RS.9,00,000 TOWARDS COMPOUNDING CHARGES AND RS.1,00,000 TOWARDS LEGAL EXPENSES, AS PER CONSENT ORDER DATED 24/11/2008
|
| 126 |
|
|
HEMANIM BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
|
| 127 |
|
|
HEMLATA A.BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
|
| 128 |
|
|
HEMLATA DESAI
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.12,540, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.77,460 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
12-AUG-2008
|
ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.77460 AGAINST NOTIONAL UNDUE GAIN AND SETTLEMENT CHARGES OF RS.12540 JOINTLY WITH BAKUL DESAI AND CHIRAG DESAI AS PER CONSENT ORDER DATED 12/08/2008
|
| 129 |
|
|
HIMANI N.PATEL
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF INFRASTRUCTURE DEVELOPMENT FINANCE CO.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
DIRECTED TO DISGORGE RS.33,52,636
31-OCT-2008
|
CONFIRMED INTERIM ORDER DATED APR. 27,2006
SAT: APPEAL DISPOSED OFF, WITH DIRECTION TO SEBI TO COMPLETE ENQUIRIES BEFORE 31/10/2008.ADJUDICATION PROCEEDINGS SHOULD ALSO BE DISPOSED OF BEFORE END OF OCTOBER THIS YEAR
ORDERED TO (A) DISGORGE RS.3352636 AGAINST UNLAWFUL GAIN AND INTEREST @10% THEREON FROM DATE OF LISTING OF SUZLON IPO TILL DATE OF ACTUAL DISGORGEMENT
(B) RESTRAINED FROM BUYING,SELLING OR DEALING IN SECURITIES MARKET IN WHATSOEVER MANNER OR ACCESSING SECURITIES MARKET, DIRECTLY OR INDIRECTLY FOR A FURTHER PERIOD OF 3 YEARS FROM THE DATE OF THIS ORDER. IN CASE AMOUNT IS NOT DISGORGED WITHIN SPECIFIED TIME, PERIOD OF RESTRAINED WILL BE EXTENDED BY ADDITIONAL 4 YEARS
ORDERED TO (A) DISGORGE RS.3352636 AGAINST UNLAWFUL GAIN AND INTEREST @10% THEREON FROM DATE OF LISTING OF SUZLON IPO TILL DATE OF ACTUAL DISGORGEMENT
(B) RESTRAINED FROM BUYING,SELLING OR DEALING IN SECURITIES MARKET IN WHATSOEVER MANNER OR ACCESSING SECURITIES MARKET, DIRECTLY OR INDIRECTLY FOR A FURTHER PERIOD OF 3 YEARS FROM THE DATE OF THIS ORDER. IN CASE AMOUNT IS NOT DISGORGED WITHIN SPECIFIED TIME, PERIOD OF RESTRAINED WILL BE EXTENDED BY ADDITIONAL 4 YEARS
SAT: APPEAL FAILED AND DISMISSED WITH COSTS OF RS.50,000
|
| 130 |
|
|
HIMANSHU PIYUSHKUMAR CHOLIYA
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,500, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.14,498 VIDE CONSENT ORDER)
22-JUL-2008
|
ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.2500 AGAINST SETTLEMENT CHARGES AND RS.14498 AGAINST AMOUNT DISGORGED AS PER TERMS SETTLED BY CONSENT ORDER DATED 22/07/2008
|
| 131 |
|
|
HINA BHARGAV PANCHAL
(PAN:AFUPP7738M)
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
DIRECTED TO DISGORGE RS.9,91,545
25-FEB-2011
|
CONFIRMED AD-INTERIM EX-PARTE ORDER DATED 27/04/2006 AND DIRECTED NOT TO BUY, SELL OR DEAL IN THE SECURITIES INCLUDING INITIAL PUBLIC OFFERING UNTIL FURTHER ORDERS
SEBI VIDE ITS ORDER DATED 25/02/2011 DIRECTED 1. NOT TO BUY, SELL OR DEAL IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OR ACCESS SECURITIES MARKET,DIRECTLY OR INDIRECTLY FOR THREE MONTHS FROM DATE OF ORDER 2.TO DISGORGE RS.9,91,545 (UNLAWFUL GAIN OF RS.6,61,030 INTEREST RS.3,30,515) WITHIN 45 DAYS FROM DATE OF ORDER OTHERWISE PERIOD OF RESTRAINT WILL BE FURTHER PERIOD OF NINE YEARS (SUPERSEDED ALL DIRECTION ISSUED VIDE INTERIM ORDERS DATED 12/01/2006 AND 27/04/2006)
|
| 132 |
|
|
JASMINA J.DADIA
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.7,20,000 VIDE CONSENT ORDER)
05-JUN-2008
|
ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.720000 AGAINST NOTIONAL UNDUE GAIN AND RS.100000 AGAINST SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 05/06/2008
|
| 133 |
|
|
JASRAJP BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
|
| 134 |
|
|
JAYANTILAL JITMAL
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
|
|
| 135 |
|
|
JAYESH N.DADIA
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.4,75,000 VIDE CONSENT ORDER)
05-JUN-2008
|
ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.475000 AGAINST NOTIONAL UNDUE GAIN AND RS.100000 AGAINST SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 05/06/2008
|
| 136 |
|
|
JAYESH P.KHANDWALA
(PAN:ABHPK0873H)
|
|
|
ALLEGED INDULGENCE IN CORNERING OF EQUITY SHARES RESERVED FOR RETAIL INVESTORS IN IPOS OF IDFC LTD., SASKEN COMMUNICATIONS LTD. AND SUZLON ENERGY LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.98,37,035, DISGORGEMENT AMOUNT RS.1,32,54,527 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
13-NOV-2019
|
|
| 137 |
|
|
JAYPRAKASH GIRDHARILAL
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
|
SEBI VIDE ITS ORDER DATED 18/08/2016 RECALLED THE RESTRAINT ORDER PASSED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 12/01/2006 AND CONFIRMEND VIDE ITS ORDER DATED 27/04/2016
|
| 138 |
|
|
JITENDRA LALWANI
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,22,09,406, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.7,40,31,355 VIDE CONSENT ORDER)
31-DEC-2009
|
CONFIRMED AD INTERIM EX-PARTE ORDER DATED 27/04/2006 AND DIRECTED THE NOTICEE NOT TO BUY, SELL OR DEAL IN THE SECURITIES INCLUDING INITIAL PUBLIC OFFERING UNTIL FURTHER ORDERS
AD-INTERIM EX-PARTE ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.7,40,31,355 TOWARDS DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) AND RS.2,22,09,406 TOWARDS SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 31/12/2009
|
| 139 |
|
|
JITMAL G.BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
|
| 140 |
|
|
JR BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES IN WHATSOVER MANNER, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 3 YEARS FROM THE DATE OF THIS ORDER I.E.31/12/2008
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 7 of 16
|
