| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 121 |
|
ASHOK BANWARILAL GUPTA
(PAN:AAIPG7033R)
|
|
|
|
SANTOWIN CORP.LTD.
CIN:L51900MH1985PLC035195
PAN:AADCS9595G
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4), 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF SANTOWIN CORP.LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4), 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF SANTOWIN CORP.LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES VIOLAING CLAUSE 3.2 OF CODE OF CORPORATE DISCLOSURE PRACTICES FOR PREVENTION OF INSIDER TRADING PROVIDED IN SCHEDULE II READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SANTOWIN CORP.LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES VIOLAING CLAUSE 3.2 OF CODE OF CORPORATE DISCLOSURE PRACTICES FOR PREVENTION OF INSIDER TRADING PROVIDED IN SCHEDULE II READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SANTOWIN CORP.LTD.
|
IMPOSED PENALTY RS.3,00,000
04-JUN-2020
|
SEBI VIDE ITS NOTICE DATED 16/11/2021 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1. ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) BY WHATEVER NAME CALLED INCLUDING LOCKERS 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
SEBI VIDE ITS ORDER DATED 21/04/2022 DIRECTED ALL THE BANKS TO REMIT RS.3,34,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.ASHOK KUMAR GUPTA TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 122 |
|
|
ASHOK GHANSHYAMDAS RAJANI
(PAN:AFBPR5891J)
|
|
|
|
SEYA INDUSTRIES LTD.
PAN:AABCS4522R
|
|
MISREPRESENTED FINANCIAL STATEMENTS/RESULTS AND DID NOT GIVE A TRUE AND FAIR VIEW OF FINANCIAL PERFORMANCE AND POSITION VIOLATING SETIONS 12A(B) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(C) TO 3(D), 4(1), 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SEYA INDUSTRIES LTD.
SIPHONED OFF FUNDS/ASSETS TO PROMOTER GROUP COMPANY/COMPANIES RELATED TO PROMOTERS (VIZ. WHIZ ENTERPRISES PVT.LTD., ANEEKA UNIVERSAL PVT.LTD. AND SHRI BALAJI ENTERTAINMENTS PVT.LTD.) ON PRETEXT OF PURCHASES/SALES FROM/TO THEM AND/OR THROUGH UNDISCLOSED FUND TRANSFERS VIOLATING SETIONS 12A(B) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(C) TO 3(D), 4(1), 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SEYA INDUSTRIES LTD.
MISPRESENTED FINANCIAL STATEMENTS/RESULTS AND DID NOT GIVE A TRUE AND FAIR VIEW OF FINANCIAL PERFORMANCE AND POSITION VIOLATING REGULATIONS 4(1)(A) TO 4(1)(E), (G), (J), 4(2)(E)(I), 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEYA INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS WITH PROMOTER GROUP COMPANY/COMPANIES RELATED TO PROMOTERS (VIZ. WHIZ ENTERPRISES PVT.LTD., ANEEKA UNIVERSAL PVT.LTD. AND SHRI BALAJI ENTERTAINMENTS PVT.LTD.) AND DID NOT TAKE AUDIT COMMITTEE AND/OR SHAREHOLDER’S APPROVAL FOR UNDISCLOSED RELATED PARTY TRANSACTIONS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(B), 4(2)(E)(I), 23(2), 23(4), 23(9), 33(1)(C), 34(3) READ WITH PART A OF SCHEDULE V AND 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEYA INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF MATERIAL EVENTS/INFORMATION TO STOCK EXCHANGES VIOLATING REGULATIONS 4(1)(D) TO 4(1)(J) AND 30(2) AND 30(3) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEYA INDUSTRIES LTD.
SHOWN WRONG DETAILS OF ATTENDEES OF BOARD MEETINGS, AUDIT AND RISK MANAGEMENT COMMITTEE MEETINGS IN ANNUAL REPORT VIOLATING REGULATIONS 4(1)(C) AND 34(3) READ WITH CLAUSE 2(B) AND 3(C) OF PART C OF SCHEDULE V OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEYA INDUSTRIES LTD.
APPOINTED AUDITORS WHO DID NOT HAVE VALID PEER REVIEW CERTIFICATE ISSUED BY ICAI AS STATUTORY AUDITOR VIOLATING REGULATION 33(1)(D) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEYA INDUSTRIES LTD.
DID NOT PROVIDE INFORMATION AND/OR SUBMITTED WRONG AND MISLEADING INFORMATION TO SEBI IN MATTER OF SEYA INDUSTRIES LTD.
ISSUED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) READ WITH PART B OF SCHEDULE II AND REGULATION 33(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEYA INDUSTRIES LTD.
DID NOT DISCLOSE MATERIAL EVENTS/INFORMATION TO STOCK EXCHANGES VIOLATING REGULATION 8(1) READ WITH CLAUSE 1 OF SCHEDULE A OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SEYA INDUSTRIES LTD.
DID NOT EXERCISE DUE DILIGENCE AS MEMBER OF AUDIT COMMITTEE VIOLATING SECTION 27 OF SEBI ACT, 1992 AND REGULATION 18(3) READ WITH PART C OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEYA INDUSTRIES LTD.
|
DIRECTED TO FILE PUBLIC DISCLOSURE TO THE STOCK EXCHANGES AS WELL AS PUBLISH ON COMPANY’S WEBSITE THE CONTENTS OF THIS ORDER-CUM-SHOW CAUSE NOTICE WITHIN THREE DAYS FROM DATE OF RECEIPT THIS ORDER
DIRECTED TO DISCLOSE UPDATED STATUS OF ALL UNDISCLOSED MATERIAL EVENTS/INFORMATION TO STOCK EXCHANGES WITHIN FIFTEEN DAYS FROM DATE OF RECEIPT OF THIS ORDER
DIRECTED NOT TO SELL/DISPOSE OF/DILUTE SHAREHOLDING IN COMPANY, HELD DIRECTLY OR INDIRECTLY THROUGH FAMILY MEMBERS OR THROUGH COMPANIES IN WHICH THEY OR THEIR FAMILY MEMBERS DIRECTORS
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 02-MAY-2025 TO 01-MAY-2030
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 02-MAY-2025 TO 01-MAY-2030
IMPOSED PENALTY RS.28,00,00,000
20-MAR-2023
|
SAT: SAT VIDE ITS ORDER DATED 28/08/2024 DISMISSED THE APPEAL AS WITHDRAWN
SEBI VIDE ITS ORDER DATED 02/05/2025 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND 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, FROM DATE OF THIS ORDER B) RESTRAINED FROM BEING ASSOCIATED WITH SECURITIES MARKET INCLUDING AS A DIRECTOR OR KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY OR ANY INTERMEDIARY REGISTERED WITH SEBI, FOR 5 YEARS, FROM DATE OF THIS ORDER C) PAY PENALTY TO RS.1 CRORE AND RS.25 CRORE EACH RESPECTIVELY U/S 15A(A), 15A(B), 15HB AND 15HA OF SEBI ACT
|
| 123 |
|
|
ASHOK JAIPURIA
(PAN:AAAPJ4737B)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(E) OF SEBI ACT, 1992 READ WITH REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF COSMO FILMS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.49,40,000 VIDE CONSENT ORDER)
25-AUG-2023
|
|
| 124 |
|
|
ASHOK SHIVLAL RUPANI
(PAN:AABPR0488E)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SAIANAND COMMERCIAL LTD. (FORMERLY KNOWN AS OREGON COMMERCIAL LTD.)
|
IMPOSED PENALTY RS.2,00,000
29-AUG-2018
|
SAT: SAT VIDE ITS ORDER DATED 22/08/2019 ALLOWED THE APPEAL
|
| 125 |
|
|
ASHU GUPTA
(PAN:AKEPG6148D)
|
|
|
DID NOT FILE NECESSARY DISCLOSURE WITH THE STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 9(3) READ WITH 7(2)(B) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF AVENUE SUPERMARTS LTD.
|
IMPOSED PENALTY RS.1,00,000
31-JUL-2020
|
SAT: SAT VIDE ITS ORDER DATED 29/09/2020 GRANTED FOUR WEEKS TIME TO RESPONDENT TO FILE AFFIDAVIT IN REPLY AND TWO WEEKS THEREAFTER FOR FILING AFFIDAVIT IN REJOINDER, IF ANY AND PLACED THE APPEAL FOR FINAL DISPOSAL ON 25/11/2020. IN THE MEANTIME, THE EFFECT AND OPERATION OF IMPUGNED ORDER DIRECTED TO BE STAYED UPON DEPOSIT OF AMOUNT EQUAL TO PENALTY WITH RESPONDENT WITHIN THREE WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 17/01/2022 DISMISSED THE APPEAL. NO COSTS
|
| 126 |
|
|
ASHUTOSH AGARWAL
(PAN:ADBPA9564H)
|
|
|
ALLEGED COMMUNICATION OF UNPUBLISHED PRICE SENSITIVE INFORMATION TO OTHERS VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(1) AND 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ELECTROSTEEL CASTINGS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,11,80,000, DISGORGEMENT AMOUNT RS.3,49,000, INTEREST RS.1,49,046 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM SECURITIES MARKET) FROM 20-FEB-2025 TO 19-AUG-2025
20-FEB-2025
|
|
| 127 |
|
|
ASHVEN DATLA
(PAN:ACWPD2136N)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF NCL INDUSTRIES LTD.
|
IMPOSED PENALTY RS.1,00,000
30-MAR-2020
|
|
| 128 |
|
|
ASIT KUMAR BHOWMIK
(PAN:ABUPB8276C)
|
|
|
|
SEYA INDUSTRIES LTD.
PAN:AABCS4522R
|
|
MISREPRESENTED FINANCIAL STATEMENTS/RESULTS AND DID NOT GIVE A TRUE AND FAIR VIEW OF FINANCIAL PERFORMANCE AND POSITION VIOLATING SETIONS 12A(B) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(C) TO 3(D), 4(1), 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SEYA INDUSTRIES LTD.
SIPHONED OFF FUNDS/ASSETS TO PROMOTER GROUP COMPANY/COMPANIES RELATED TO PROMOTERS (VIZ. WHIZ ENTERPRISES PVT.LTD., ANEEKA UNIVERSAL PVT.LTD. AND SHRI BALAJI ENTERTAINMENTS PVT.LTD.) ON PRETEXT OF PURCHASES/SALES FROM/TO THEM AND/OR THROUGH UNDISCLOSED FUND TRANSFERS VIOLATING SETIONS 12A(B) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(C) TO 3(D), 4(1), 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SEYA INDUSTRIES LTD.
MISPRESENTED FINANCIAL STATEMENTS/RESULTS AND DID NOT GIVE A TRUE AND FAIR VIEW OF FINANCIAL PERFORMANCE AND POSITION VIOLATING REGULATIONS 4(1)(A) TO 4(1)(E), (G), (J), 4(2)(E)(I), 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEYA INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS WITH PROMOTER GROUP COMPANY/COMPANIES RELATED TO PROMOTERS (VIZ. WHIZ ENTERPRISES PVT.LTD., ANEEKA UNIVERSAL PVT.LTD. AND SHRI BALAJI ENTERTAINMENTS PVT.LTD.) AND DID NOT TAKE AUDIT COMMITTEE AND/OR SHAREHOLDER’S APPROVAL FOR UNDISCLOSED RELATED PARTY TRANSACTIONS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(B), 4(2)(E)(I), 23(2), 23(4), 23(9), 33(1)(C), 34(3) READ WITH PART A OF SCHEDULE V AND 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEYA INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF MATERIAL EVENTS/INFORMATION TO STOCK EXCHANGES VIOLATING REGULATIONS 4(1)(D) TO 4(1)(J) AND 30(2) AND 30(3) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEYA INDUSTRIES LTD.
SHOWN WRONG DETAILS OF ATTENDEES OF BOARD MEETINGS, AUDIT AND RISK MANAGEMENT COMMITTEE MEETINGS IN ANNUAL REPORT VIOLATING REGULATIONS 4(1)(C) AND 34(3) READ WITH CLAUSE 2(B) AND 3(C) OF PART C OF SCHEDULE V OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEYA INDUSTRIES LTD.
APPOINTED AUDITORS WHO DID NOT HAVE VALID PEER REVIEW CERTIFICATE ISSUED BY ICAI AS STATUTORY AUDITOR VIOLATING REGULATION 33(1)(D) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEYA INDUSTRIES LTD.
DID NOT PROVIDE INFORMATION AND/OR SUBMITTED WRONG AND MISLEADING INFORMATION TO SEBI IN MATTER OF SEYA INDUSTRIES LTD.
DID NOT EXERCISE DUE DILIGENCE AS MEMBER OF AUDIT COMMITTEE VIOLATING SECTION 27 OF SEBI ACT, 1992 AND REGULATION 18(3) READ WITH PART C OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEYA INDUSTRIES LTD.
DID NOT DISCLOSE MATERIAL EVENTS/INFORMATION TO STOCK EXCHANGES VIOLATING REGULATION 8(1) READ WITH CLAUSE 1 OF SCHEDULE A OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SEYA INDUSTRIES LTD.
|
DIRECTED TO FILE PUBLIC DISCLOSURE TO THE STOCK EXCHANGES AS WELL AS PUBLISH ON COMPANY’S WEBSITE THE CONTENTS OF THIS ORDER-CUM-SHOW CAUSE NOTICE WITHIN THREE DAYS FROM DATE OF RECEIPT THIS ORDER
DIRECTED TO DISCLOSE UPDATED STATUS OF ALL UNDISCLOSED MATERIAL EVENTS/INFORMATION TO STOCK EXCHANGES WITHIN FIFTEEN DAYS FROM DATE OF RECEIPT OF THIS ORDER
DIRECTED NOT TO SELL/DISPOSE OF/DILUTE SHAREHOLDING IN COMPANY, HELD DIRECTLY OR INDIRECTLY THROUGH FAMILY MEMBERS OR THROUGH COMPANIES IN WHICH THEY OR THEIR FAMILY MEMBERS DIRECTORS
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 02-MAY-2025 TO 01-MAY-2030
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 02-MAY-2025 TO 01-MAY-2030
IMPOSED PENALTY RS.2,00,00,000
20-MAR-2023
|
SEBI VIDE ITS ORDER DATED 02/05/2025 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND 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, FROM DATE OF THIS ORDER B) RESTRAINED FROM BEING ASSOCIATED WITH SECURITIES MARKET INCLUDING AS A DIRECTOR OR KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY OR ANY INTERMEDIARY REGISTERED WITH SEBI, FOR 5 YEARS, FROM DATE OF THIS ORDER C) PAY PENALTY TO RS.25 LAC U/S 15A(A), RS.25 LAC U/S 15A(B), RS.1 CRORE U/S 15HA AND RS.50 LAC U/S 15HB OF SEBI ACT
|
| 129 |
|
|
ATTHATTAMPALAYAM PALANISAMY KUMARSAMY
(PAN:AJWPK7064K)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF TITAN CO.LTD.
|
IMPOSED PENALTY RS.1,00,000
28-JAN-2022
|
SEBI VIDE ITS NOTICE DATED 29/12/2022 DIRECTED TO PAY RS.1,13,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 17/04/2023 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
|
| 130 |
|
|
ATUL MAGANLAL HEMANI
(PAN:AAFPH5578P)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED REGULATIONS 13(4) AND 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF OMNITECH INFOSOLUTIONS LTD.
DID NOT MAKE DISCLOSURES OF RELEASE OF PLEDGE AND INVOCATION OF PLEDGE OF SHARES TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1) AND 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF OMNITECH INFOSOLUTIONS LTD.
DELAY IN MAKING DISCLOSURES OF CREATION OF PLEDGE AND INVOCATION OF PLEDGE OF SHARES TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1) AND 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF OMNITECH INFOSOLUTIONS LTD.
|
IMPOSED PENALTY RS.4,00,000
17-OCT-2022
|
SAT: SAT VIDE ITS ORDER DATED 19/12/2022 DISMISSED THE APPEAL. NO COSTS
SEBI VIDE ITS NOTICE DATED 23/06/2023 DIRECTED TO PAY RS.4,37,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 131 |
|
|
ATUL SARAOGI
(PAN:AUXPS5844D)
|
|
|
ALLEGED INDULGENCE IN COMMUNICATION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(I) AND 4 OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SAINT GOBAIN SEKURIT INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.30,18,600 VIDE CONSENT ORDER)
23-JUL-2020
|
|
| 132 |
|
|
ATUL SARAOGI
(PAN:AUXPS5844D)
|
|
|
ALLEGED TRADING DURING UPSI PERIOD IN F&O SEGMENT THROUGH ACCOUNT OF MS VIMALA DEVI KALANTRI VIOLATING REGULATIONS 3(I) AND 4 OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATIONS 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF UNITED SPIRITS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.75,66,295, DISGORGEMENT AMOUNT RS.30,43,256, INTEREST RS.18,11,946 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
22-AUG-2019
|
|
| 133 |
|
|
ATUL SARAOGI
(PAN:AUXPS5844D)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(I) AND 4 OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PANTALOON RETAIL (INDIA) LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,15,500 VIDE CONSENT ORDER)
23-JUL-2020
|
|
| 134 |
|
|
ATUL SWAROOP
(PAN:AMKPS6757Q)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF MINDA INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,01,758 VIDE CONSENT ORDER)
20-NOV-2019
|
|
| 135 |
|
|
AVANI TODI
(PAN:BLGPB7106N)
|
|
|
TRADED WHILE IN POSSESSION OF UPSI AND COMMUNICATED UPSI TO OTHERS VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3 AND 4 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF LUX INDUSTRIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-JAN-2022 UNTIL FURTHER ORDERS
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 24-JAN-2022 UNTIL FURTHER ORDERS
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED TO FREEZE BANK ACCOUNTS
DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS WITHOUT PERMISSION OF SEBI
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
24-JAN-2022
|
SEBI VIDE ITS ORDER DATED 27/05/2022 DIRECTED TO A) RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES OF LUX INDUSTRIES LTD., EITHER DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER UNTIL FURTHER ORDERS B) RESTRAINT RELATED TO BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES IN RESPECT OF LUX INDUSTRIES LTD. NOT TO PROHIBIT THE CREDIT OF SHARES TO BE RECEIVED ON ACCOUNT OF STOCK OPTION, BONUS ETC. ISSUED BY THE COMPANY C) FUNDS DEPOSITED BY ENTITIES IN INTEREST BEARING ESCROW ACCOUNT/FDR TO REMAIN IN SAID ACCOUNT WITH LIEN IN FAVOUR OF SEBI UNTIL FURTHER ORDERS
SEBI VIDE ITS ORDER DATED 06/11/2023 A) REVOKED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 24/01/2022 WHICH WERE CONFIRMED WITH MODIFICATIONS VIDE ORDER DATED 27/05/2022 B) RELEASED AMOUNT IMPOUNDED PURSUANT TO INTERIM ORDER DATED 24/01/2022 READ WITH ORDER DATED 27/05/2022 ALONG WITH INTEREST IF ANY, ACCRUED ON THE SAID AMOUNT
|
| 136 |
|
|
AVINASH LOHAR
(PAN:AIGPL0062K)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF TITAN CO.LTD.
|
IMPOSED PENALTY RS.1,25,000
29-SEP-2022
|
|
| 137 |
|
|
AWANEESH SRIVASTAVA
(PAN:BCFPS2047R)
|
|
|
DID NOT CLOSE TRADING WINDOW DURING POSSESSION OF UPSI PERIOD VIOLATING CLAUSE 4 OF MINIMUM STANDARDS FOR CODE OF CONDUCT TO REGULATE, MONITOR AND REPORT TRADING BY INSIDERS AS SPECIFIED IN SCHEDULE B READ WITH REGULATIONS 9(1) AND 9(3) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ESSAR SHIPPING LTD.
|
IMPOSED PENALTY RS.1,00,000
01-SEP-2021
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SAT: SAT VIDE ITS ORDER DATED 23/11/2021 DIRECTED TO FILE REPLY BY RESPONDENT WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER MAY BE FILED WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 25/03/2022 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 01/09/2021. NO COSTS
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| 138 |
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AZAM MOHMMED ASHAN SHAIKH
(PAN:AWYPS0941A)
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TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A (A) TO (E) OF SEBI ACT, 1992 AND REGULATIONS 3(I) AND 3(II) READ WITH REGULATION 4 OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BANK OF RAJASTHAN LTD. (NOW MERGED WITH ICICI BANK LTD.)
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IMPOSED PENALTY RS.3,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-MAY-2020
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SEBI VIDE ITS NOTICE DATED 05/03/2021 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1. ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) BY WHATEVER NAME CALLED INCLUDING LOCKERS 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
SAT: SAT VIDE ITS ORDER DATED 02/08/2021 DISMISSED THE APPEAL
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| 139 |
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B.G.DHANANJAYA
(PAN:AOHPD8293D)
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DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MINDTREE LTD.
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IMPOSED PENALTY RS.1,00,000
24-JUN-2022
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| 140 |
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B.N.RAVEENDRA BABU
(PAN:ABMPR2273B)
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ALLEGED FAILURE IN IMPLEMENTING CODE OF CONDUCT VIOLATING REGULATION 12(1) OF SEBI (PIT) REGULATIONS, 1992 READ WITH CLAUSE 1.2 OF CODE OF CONDUCT SPECIFIED UNDER PART B OF SCHEDULE I READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MANAPPURAM FINANCE LTD.
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REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,48,000 VIDE CONSENT ORDER)
08-JUL-2020
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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 7 of 49
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