| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 141 |
|
ANURADHA D.PENDSE
|
|
|
|
NALINI PROPERTIES PVT.LTD.
|
|
DEALT IN SECURITIES WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
DEALT IN SECURITIES WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3 A OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
DISMISSED
THE MATTER IS DISPOSED OFF AS COMPOUNDED
|
| 142 |
|
|
ANURADHA D.PENDSE
|
|
|
|
NALINI PROPERTIES PVT.LTD.
|
|
DEALT IN SCRIP OF TATA FINANCE LTD.ON BASIS OF UNPUBLISHED PRICE SENSITIVE INFORMATION
|
IMPOSED PENALTY RS.5,00,000
27-SEP-2006
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER SET ASIDE AND CASE REMITTED BACK TO AO TO ISSUE FRESH SHOW CAUSE NOTICE AND FINAL ORDER THEREAFTER
AS IT IS PROVED THAT ANURADHA PENDSE AND NALINI PROPERTIES PVT.LTD. DEALT IN SHARES OF TATA FINANCE LTD. ON THE BASIS OF UNPUBLISHED PRICE SENSITIVE INFORMATION COMMUNICATED BY DILIP S.PENDSE. HENCE PENALTY IMPOSED RS.500000.00 EACH
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 16/04/2009 SET ASIDE, LEAVING THE PARTIES TO BEAR THEIR OWN COSTS
SAT: SAT VIDE ITS ORDER DATED 29/08/2017 DISPOSED OFF THE APPEAL. AS COUNSEL FOR THE APPELLANT STATED THAT THE APPELLANT HAS DIED DURING PENDENCY OF THE APPEAL. AS A RESULT PROCEEDINGS QUA THE APPELLANT STANDS ABATED. NO COSTS
|
| 143 |
|
|
ANURADHA D.PENDSE
|
|
|
|
NALINI PROPERTIES PVT.LTD.
|
|
DEALT IN SCRIP OF TATA FINANCE LTD.ON BASIS OF UNPUBLISHED PRICE SENSITIVE INFORMATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-JAN-2008 TO 10-JAN-2013
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-JAN-2008 TO 10-JAN-2013
11-JAN-2008
|
SAT: CASE REMANDED TO SEBI TO ISSUE FRESH NOTICE AND FRESH ORDER BY END OF MARCH 2009
SAT: DIRECTED TO FURNISH LATEST STATEMENT OF DEMAT ACCOUNTS BY 31/10/2008 TO BOARD, THEN BOARD SHALL ALLOW APPLICANT TO SELL ALL SHARES THROUGH RECOGNISED STOCK BROKER AND APPLICANT SHALL FURNISH ALL THE INFORMATION TO BOARD. DIRECTED TO SALE OF SHARE BE COMPLETED BY JANUARY, 2009
SEBI, VIDE ORDER DATED 31/03/2009 RESTRAINED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING OR ASSOCIATING WITH SECURITIES MARKET IN ANY MANNER OR IN ANY CAPACITY WHATSOEVER FOR A PERIOD OF FIVE YEARS WITH IMMEDIATE EFFECT I.E. FROM 31/03/2009
|
| 144 |
|
|
ANURAG DINESHCHANDRA AGARWAL
(PAN:ACDPA4964G)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(1) AND 13(4) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF STERLING GREEN WOODS LTD.
|
IMPOSED PENALTY RS.2,00,000
05-JUN-2013
|
INCLUDED IN SEBI LIST DATED 30/09/2013, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS ORDER DATED 09/10/2020 RE-IMPOSED PENALTY OF RS.2,00,000.00 UNDER REGULATION 13(1) AND 13(4) OF SEBI ACT.
|
| 145 |
|
|
ANUTHAM NARAYANA
(PAN:AVEPA7597B)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF VTX INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) AND 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF VTX INDUSTRIES LTD.
|
IMPOSED PENALTY RS.1,50,000
26-JUL-2017
|
|
| 146 |
|
|
APPALLANARASIMHA MURTI TANIKKELLA (AKA. T.A.N.MURTI)
(PAN:AAGPT9677A)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3(I) READ WITH SECTION 12A(E) AND (D) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN SCRIP OF SATYAM COMPUTER SERVICES LTD.
|
IMPOSED PENALTY RS.10,00,000
21-DEC-2012
|
SAT: SAT VIDE ITS ORDER DATED 14/03/2014 QUASHED AND SET ASIDE THE IMPUGNED ORDER DATED 21/12/2012 AND REMANDED THE MATTER TO AO FOR PASSING FRESH ORDER ON MERITS
SEBI VIDE ITS ORDER DATED 25/08/2020 MODIFIED ITS ORDER DATED 21/12/2012 BY REDUCING PENALTY AMOUNT TO RS.10 LACS FROM RS.65 LACS
|
| 147 |
|
|
ARABI SYED MOHAMMAD MOHIUDDIN
(PAN:ACPPA9571K)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF MAHINDRA & MAHINDRA LTD.
|
IMPOSED PENALTY RS.2,00,000
28-APR-2014
|
SAT: SAT VIDE ITS ORDER DATED 10/07/2015 MODIFIED IMPUGNED ORDERS BY REDUCING THE PENALTY AMOUNT TO RS.1,00,000 FROM RS.2,00,000 FOR VIOLATION OF REGULATION 13(4) READ WITH 13(5) OF SEBI PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 HOWEVER ADDITIONAL PENALTY OF RS.2,00,000 IMPOSED UNDER SECTION 15 HB OF SEBI ACT IS SUSTAINED.NO COSTS
|
| 148 |
|
|
ARCHANA PAREKH
(PAN:ABFPP0259E)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHERS ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 10/09/2012 REVOKED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/07/2009 AND CONFIRMATORY ORDER DATED 30/10/2009 WITH IMMEDIATE EFFECT
|
| 149 |
|
|
ARCHIT JINDAL
(PAN:AGNPJ5775G)
|
|
|
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 IN MATTER OF PAWANSUT HOLDINGS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF PAWANSUT HOLDINGS LTD.
|
IMPOSED PENALTY RS.3,00,000
30-AUG-2019
|
SEBI VIDE ITS NOTICE DATED 02/03/2020 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 27/08/2021 CONDONED THE DELAY IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 31/08/2021 PARTLY ALLOWED THE APPEAL BY REDUCING THE PENALTY AMOUNT TO RS.3 LAC FROM RS.11.50 LAC TO BE PAID WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SEBI VIDE ITS ORDER DATED 17/11/2021 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS,DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 02/03/2020
SEBI VIDE ITS ORDER DATED 18/11/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.2751 OF 2020 DATED 13/01/2020
|
| 150 |
|
|
ARCHIT JINDAL
(PAN:AGNPJ5775G)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF FOCUS INDUSTRAIAL RESOURCES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(2A) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF FOCUS INDUSTRAIAL RESOURCES LTD.
|
IMPOSED PENALTY RS.1,00,000
22-SEP-2020
|
SAT: SAT VIDE ITS ORDER DATED 23/11/2021 DISMISSED THE APPEAL FOR WANT OF PROSECUTION
SAT: SAT VIDE ITS ORDER DATED 21/02/2022 ALLOWED THE APPLICATION
|
| 151 |
|
|
ARIFBHAI ISMAILBHAI MEMON
(PAN:ABCPM1438M)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4) AND 13(4A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF KGN INDUSTRIES LTD.
|
IMPOSED PENALTY RS.2,00,000
28-SEP-2018
|
SEBI VIDE ITS ORDER DATED 24/04/2019 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
SEBI VIDE ITS NOTICE DATED 29/08/2024 ALLOWED THE APPEAL AND DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 24/04/2019
SEBI VIDE ITS ORDER DATED 29/08/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.2080 OF 2019 DATED 24/04/2019
|
| 152 |
|
|
ARIHANT JAIN
(PAN:ADWPJ8453B)
|
|
|
|
ATN INTERNATIONAL LTD.
CIN:L65993WB1983PLC080793
PAN:AACCA5744Q
|
|
ALLEGED INDULGENCE IN ISSUANCE OF MIS-LEADING ADVERTISEMENTS IN MATTER OF ATN INTERNATIONAL LTD.
ALLEGED INDULGENCE IN VIOLATION OF MODEL CODE OF CONDUCT IN SCHEDULE I UNDER REGULATION 12(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ATN INTERNATIONAL LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
20-JUN-2011
|
|
| 153 |
|
|
ARJUNLAL N.UTTAMCHANDANI
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(1),13(3) AND 13(4) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF INDIA POLYSPIN LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF INDIA POLYSPIN LTD.
|
IMPOSED PENALTY RS.1,00,000
28-SEP-2010
|
|
| 154 |
|
|
ARTI R.JHUNJHUNWALA
|
|
|
|
JHUNJHUNWALA STOCK BROKERS PVT.LTD.
(Member : BSE)
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
DISCHARGED
|
| 155 |
|
|
ARUN AGGARWAL
|
|
|
|
TAURAS PORTFOLIOS LTD.
|
|
VIOLATED REGULATIONS 4(A) TO 4(E) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6(D) OF SEBI (PFUTP) REGULATIONS, 1995
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
VIOLATED SECTION 11 (2) OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 156 |
|
|
ARUN DAGARIA
(PAN:ABWPD7122K)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SPLASH MEDIA & INFRA LTD.
|
IMPOSED PENALTY RS.6,00,000
30-OCT-2015
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 157 |
|
|
ARUN GOYAL
(PAN:ACKPG1931G)
|
|
|
|
GFL FINANCIALS (INDIA) LTD.
PAN:AABCG0597Q
|
|
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 (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF GFL FINANCIALS INDIA LTD.
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI
|
IMPOSED PENALTY RS.28,00,000
24-SEP-2015
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 158 |
|
|
ARUN JAIN
(PAN:AAHPJ6020E)
|
|
|
|
POLARIS SOFTWARE LAB LTD.
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION RELATING TO CALLING OFF PROPOSED ACQUISITION OF DATA INC. BY POLARIS SOFTWARE LAB LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-OCT-2012 TO 08-OCT-2014
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-OCT-2012 TO 08-OCT-2014
09-OCT-2012
|
SAT: APPEAL ALLOWED WITH NO ORDER AS TO COSTS
|
| 159 |
|
|
ARUN JAIN
(PAN:AAHPJ6020E)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A (D) & (E) OF SEBI ACT, 1992 AND REGULATIONS 3 AND 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF POLARIS SOFTWARE LAB LTD.
|
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED TO DISGORGE RS.1,84,68,558
24-NOV-2015
|
SEBI VIDE ITS ORDER DATED 23/03/2018 REVOKED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 24/11/2015
|
| 160 |
|
|
ARUN JAIN
(PAN:AAHPJ6020E)
|
|
|
|
POLARIS SOFTWARE LAB LTD.
|
|
ALLEGED DEALING IN SCRIP OF POLARIS SOFTWARE LABS LTD. ON BASIS OF UNPUBLISHED PRICE SENSITIVE INFORMATION
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,00,000, LEGAL EXPENSES RS.3,00,000 VIDE CONSENT ORDER)
21-JUL-2008
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 8 of 82
|
