| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 141 |
|
SHRADDHA ENTERTAINMENT PVT.LTD.
(PAN:AAKCS8199P)
|
|
|
INDULGED IN OFF MARKET TRANSACTIONS OF SHARES WITHOUT SALE CONSIDERATION 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 VERTEX SPINNING LTD.
|
IMPOSED PENALTY RS.10,00,000
26-SEP-2018
|
|
| 142 |
|
|
SHRADDHA ENTERTAINMENT PVT.LTD.
(PAN:AAKCS8199P)
|
|
|
ENTERED INTO OFF-MARKET TRANSACTIONS WHICH WERE NOT IN THE NATURE OF SPOT DELIVERY CONTRACTS VIOLATING SECTION 13 READ WITH SECTION 2(I) OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN SCRIP OF IFL PROMOTERS LTD.
|
IMPOSED PENALTY RS.11,00,000
25-JUN-2018
|
|
| 143 |
|
|
SHREE BHUVANAKARAM TRADINVEST PVT.LTD.
(PAN:AACCS0916J)
|
|
|
EXECUTED OFF-MARKET TRANSACTION OF SHARES WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION VIOLATING SECTION 2(I) OF SCRA, 1956 READ WITH SECTIONS 13, 16 AND 18 OF SCRA, 1956 AND READ WITH SEBI NOTIFICATION G.S.R.184 (E) DATED 01/03/2000 AND NOTIFICATION NO. LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013 IN MATTER OF METALYST FORGINGS LTD. (EARLIER KNOWN AS AHMEDNAGAR FORGINGS LTD.)
|
IMPOSED PENALTY RS.3,00,000
30-AUG-2022
|
SEBI VIDE ITS NOTICE DATED 24/01/2023 DIRECTED TO PAY RS.3,19,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 06/03/2023 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 28/02/2023
|
| 144 |
|
|
SHREE MALLIKARJUN TRADINVEST PVT.LTD.
(PAN:AACCS0918G)
|
|
|
EXECUTED OFF-MARKET TRANSACTION OF SHARES WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION VIOLATING SECTION 2(I) OF SCRA, 1956 READ WITH SECTIONS 13, 16 AND 18 OF SCRA, 1956 AND READ WITH SEBI NOTIFICATION G.S.R.184 (E) DATED 01/03/2000 AND NOTIFICATION NO. LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013 IN MATTER OF METALYST FORGINGS LTD. (EARLIER KNOWN AS AHMEDNAGAR FORGINGS LTD.)
|
IMPOSED PENALTY RS.3,00,000
30-AUG-2022
|
SEBI VIDE ITS NOTICE DATED 24/01/2023 DIRECTED TO PAY RS.3,19,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 25/04/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6221 OF 2023 DATED 24/01/2023
|
| 145 |
|
|
SHREE SUDHARSHAN CASTINGS PVT.LTD.
(PAN:AADCS9429B)
|
|
|
EXECUTED OFF-MARKET TRANSFER OF SHARES WITHOUT RECEIPT OF CONSIDERATION VIOLATING SECTION 2(I) READ WITH SECTIONS 13, 16 AND 18 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF URJA GLOBAL LTD.
|
IMPOSED PENALTY RS.10,00,000
03-FEB-2021
|
SAT: SAT VIDE ITS ORDER DATED 11/05/2021 ALLOWED RESPONDENT THREE WEEKS TIME TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 30/03/2022 DISMISSED THE APPEAL. NO COSTS
SEBI VIDE ITS NOTICE DATED 11/08/2022 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 30/08/2022 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 11/08/2022
|
| 146 |
|
|
SHREE SUPRINIT TRADINVEST PVT.LTD.
(PAN:AACCS6445A)
|
|
|
EXECUTED OFF-MARKET TRANSACTION OF SHARES WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION VIOLATING SECTION 2(I) OF SCRA, 1956 READ WITH SECTIONS 13, 16 AND 18 OF SCRA, 1956 AND READ WITH SEBI NOTIFICATION G.S.R.184 (E) DATED 01/03/2000 AND NOTIFICATION NO. LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013 IN MATTER OF METALYST FORGINGS LTD. (EARLIER KNOWN AS AHMEDNAGAR FORGINGS LTD.)
|
IMPOSED PENALTY RS.3,00,000
30-AUG-2022
|
SEBI VIDE ITS NOTICE DATED 24/01/2023 DIRECTED TO PAY RS.3,19,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 147 |
|
|
SHRI BALAJI COMFIN TRADERS
(PAN:ALMPK2209G)
|
|
|
|
SUNIL KAPOOR
PAN:ALMPK2209G
|
|
EXECUTED OFF-MARKET TRANSACTION OF SHARES WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION IN STIPULATED TIME VIOLATING SECTION 16 OF SCRA, 1956 READ WITH SEBI NOTIFICATION DATED 03/10/2013 AND SECTIONS 13 AND 18 OF SCRA READ WITH SECTION 2(I) OF SCRA ACT, 1956 IN MATTER OF AMSONS APPARELS LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
11-NOV-2022
|
SEBI VIDE ITS NOTICE DATED 17/03/2023 DIRECTED TO PAY RS.2,11,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 12/11/2024 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 13/12/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.2,53,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 148 |
|
|
SHRI BIBHAS BHUBNESWAR JHA (HUF)
(PAN:ABMPJ0960F)
|
|
|
SOLD 4,58,190 SHARES IN OFF-MARKET AND RECEIVED ONLY RS.78,000.00 INSTEAD OF RS 67,43,501.00 VIOLATING SECTION 16 OF SCRA 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 IFL PROMOTERS LTD.
|
IMPOSED PENALTY RS.12,00,000
15-MAY-2018
|
|
| 149 |
|
|
SHYAM ALCOHOL & CHEMICALS LTD.
(PAN:AAGCS6595M)
|
|
|
TRANSFERRED 7,50,000 SHARES THROUGH OFF-MARKET TRANSFER WITHOUT RECEIPT OF CONSIDERATION VIOLATING SECTION 16 OF SCRA, 1956 READ WITH SEBI NOTIFICATION G.S.R.219 (E) DATED 02/03/2000 AND SECTION 13 AND 18 OF SCRA1956 READ WITH SECTION 2(I) OF SCRA ACT, 1956 IN MATTER OF SAMPADA CHEMICALS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A) READ WITH 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SAMPADA CHEMICALS LTD.
DID NOT SUBMIT REQUIRED INFORMATION/DOCUMENTS SOUGHT VIDE SUMMONS IN MATTER OF SAMPADA CHEMICALS LTD.
|
IMPOSED PENALTY RS.24,00,000
25-MAR-2021
|
SEBI VIDE ITS NOTICE DATED 02/08/2022 DIRECTED TO PAY RS.28,33,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 150 |
|
|
SOMANI CEMENT CO.LTD.
(CIN:L26940GJ1983PLC006400
PAN:AACCS9762N)
|
|
|
ISSUED AND DEMATERIALISED LARGE NUMBER OF SHARES IN EXCESS OF ITS PAID UP CAPITAL
|
IMPOSED PENALTY RS.1,70,00,000
11-FEB-2011
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 151 |
|
|
SONIKA GRANITES PVT.LTD.
(PAN:AAHCS8646L)
|
|
|
DELAY IN PAYMENT OF CONSIDERATION OF OFF-MARKET TRANSACTIONS VIOLATING SECTION 2(I) READ WITH SECTIONS 13, 16 AND 18 READ WITH SEBI NOTIFICATION S.O.184(E) DATED 01/03/2000 OF SEBI SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF GOLDEN LEGAND LEASING & FINANCE LTD.
|
IMPOSED PENALTY RS.20,000
23-DEC-2021
|
SEBI VIDE ITS NOTICE DATED 21/02/2023 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
SAT: SAT VIDE ITS ORDER DATED 12/02/2024 CONDONED THE DELAY IN FILING OF APPEAL. ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER. IN THE MEANWHILE, NO ACTION TO BE TAKEN BY RECOVERY OFFICER AGAINST APPELLANT TILL NEXT DATE OF HEARING
SEBI VIDE ITS NOTICE DATED 06/03/2023 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 21/02/2023
SAT: SAT VIDE ITS ORDER DATED 16/04/2024 ALLOWED RESPONDENT TWO WEEKS TO FILE REPLY AND REJOINDER IF ANY, TO BE FILED WITHIN THREE WEEKS THEREAFTER
|
| 152 |
|
|
SSD REAL ESTATE DEVELOPERS PVT.LTD.
(CIN:U70109HR2006PTC036216
PAN:AARCS8612E)
|
|
|
EXECUTED OFF-MARKET TRANSACTION OF SHARES WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION IN STIPULATED TIME VIOLATING SECTION 16 OF SCRA, 1956 READ WITH SEBI NOTIFICATION DATED 03/10/2013 AND SECTIONS 13 AND 18 OF SCRA READ WITH SECTION 2(I) OF SCRA ACT, 1956 IN MATTER OF AMSONS APPARELS LTD.
|
IMPOSED PENALTY RS.2,00,000
11-NOV-2022
|
SEBI VIDE ITS NOTICE DATED 03/03/2023 DIRECTED TO PAY RS.2,11,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 07/06/2023 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
SEBI VIDE ITS NOTICE DATED 11/07/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.2,19,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 153 |
|
|
STALLION TRADING CO.
(PAN:DRUPS8079D)
|
|
|
|
SAPNA
PAN:DRUPS8079D
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION
ISSUED FICTITIOUS CONTRACT NOTES
FALSIFIED/FABRICATED DOCUMENT TO GIVE IMPRESSION OF AUTHENTICITY ABOUT ITS TRANSACTIONS
DELAY IN TRANSFER OF SHARES TO TRANSFEREES SUBSEQUENT TO RECEIPT OF PAYMENT FROM TRANSFEREES VIOLATING SECTION 2(I)(A) OF SCRA, 1956 AND SECTIONS 13, 16 AND 18 OF SCRA, 1956 READ WITH SEBI NOTIFICATION G.S.R 219(E) DATED 02/03/2000 AND SEBI NOTIFICATION NO.LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013 IN MATTER OF DELTA LEASING AND FINANCE LTD.
DID NOT FURNISH REQUIRED INFORMATION IN RESPONSE TO SUMMONS ISSUED BY INVESTIGATION AUTHORITY IN MATTER OF DELTA LEASING AND FINANCE LTD.
STATED FALSE REASONS IN DELIVERY INSTRUCTION SLIP (DIS) FOR TRANSACTIONS AS LOAN OF SHARES, RETURN OF LOAN, BAD DELIVERY, RECTIFICATION OF BAD DELIVERY AND GIFT VIOLATING REGULATION 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DELTA LEASING AND FINANCE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JAN-2023 TO 30-APR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JAN-2023 TO 30-APR-2023
IMPOSED PENALTY RS.10,50,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JAN-2023
|
SEBI VIDE ITS NOTICE DATED 15/06/2026 DIRECTED TO PAY RS.14,92,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 18/08/2026 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS, MUTUAL FUNDS FOLIOS AND/OR POST OFFICE ACCOUNT 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
|
| 154 |
|
|
STARDOM TRADING CO.PVT.LTD.
(PAN:AAHCS1332H)
|
|
|
ENTERED INTO SPOT DELIVERY CONTRACTS WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION WITHIN THE TIME FRAME AS PER SECTION 2(I) OF SCRA, 1956 READ WITH SECTIONS 13, 16 AND 18 IN MATTER OF GFL FINANCIALS LTD.
|
IMPOSED PENALTY RS.1,50,000
31-JAN-2018
|
SEBI VIDE ITS NOTICE DATED 22/11/2022 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 ORDER DATED 21/12/2022 DIRECTED ALL THE BANKS TO REMIT RS.2,36,500.00 TO THE EXTENT LYING IN THE ACCOUNT OF STARDOM TRADING CO.PVT.LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 155 |
|
|
SUBAH MULTIMEDIA PVT.LTD.
(PAN:AAKCS8196C)
|
|
|
ENTERED INTO OFF-MARKET TRANSACTIONS WHICH WERE NOT IN THE NATURE OF SPOT DELIVERY CONTRACTS VIOLATING SECTION 13 READ WITH SECTION 2(I) OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN SCRIP OF IFL PROMOTERS LTD.
|
IMPOSED PENALTY RS.11,00,000
25-JUN-2018
|
|
| 156 |
|
|
SUBAH MULTIMEDIA PVT.LTD.
(PAN:AAKCS8196C)
|
|
|
INDULGED IN OFF MARKET TRANSACTIONS OF SHARES WITHOUT SALE CONSIDERATION 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 VERTEX SPINNING LTD.
|
IMPOSED PENALTY RS.10,00,000
26-SEP-2018
|
|
| 157 |
|
|
SURBHI RESORTS PVT.LTD.
(PAN:AANCS8635B)
|
|
|
INDULGED IN OFF-MARKET TRANSFER OF 2,00,000 SHARES VIOLATING SECTIONS 13 AND 18 OF SCRA, 1956 READ WITH SECTION 2(I) OF SCRA ACT, 1956 IN MATTER OF A2Z INFRA ENGINEERING LTD.
|
IMPOSED PENALTY RS.1,00,000
11-JUN-2021
|
|
| 158 |
|
|
SUZLON ENERGY LTD.
(PAN:AADCS0472N)
|
|
|
DID NOT MAKE CORPORATE ANNOUNCEMENT ON RECEIPT AND CANELLATION OF ORDERS VIOLATING CLAUSE 36 OF LISTING AGREEMENT READ WITH SECTION 21 OF SECURITIES CONTRACTS (REGULATIONS) ACT, 1956
DID NOT MAKE CORPORATE ANNOUNCEMENT ON RECEIPT AND CANCELLATION OF ORDERS VIOLATING CLAUSE 36 OF LISTING AGREEMENT
|
IMPOSED PENALTY RS.5,00,000
20-APR-2018
|
SAT: SAT VIDE ITS ORDER DATED 03/05/2021 PARTLY ALLOWED THE APPEAL BY SETTING ASIDE THE PENALTY OF RS.1 CRORE UNDER SECTION 23E IMPOSED VIDE ORDER DATED 20/04/2018
|
| 159 |
|
|
SUZLON ENERGY LTD.
(PAN:AADCS0472N)
|
|
|
|
AMIT AGARWAL
PAN:AADPA3646H
|
|
|
GIRISH R.TANTI
PAN:ABFPT3310E
|
|
|
KIRTI J.VAGADIA
PAN:AAKPV2224M
|
|
|
VINOD R.TANTI
PAN:AARPT6367N
|
|
INDULGED IN MISSTATEMENT/MISREPRESENTATION OF FINANCIAL STATEMENTS IN RESPECT OF OMS TRANSACTION AND SUBSEQUENT RELATED TRANSACTIONS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(2)(F) AND 4(2)(R) READ WITH 2(1)(B) AND 2(1)(C)(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SUZLON ENERGY LTD.
INDULGED IN MISSTATEMENT/MISREPRESENTATION OF FINANCIAL STATEMENTS IN RESPECT OF OMS TRANSACTION AND SUBSEQUENT RELATED TRANSACTIONS VIOLATING REGULATIONS 4(1)(A), 4(1)(B), 4(1)(E) AND 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SUZLON ENERGY LTD.
FURNISHED FALSE CERTIFICATE WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) READ WITH PART B OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SUZLON ENERGY LTD.
MISREPRESENTED BOOKS OF ACCOUNTS AND/OR FINANCIAL STATEMENTS VIOLATING CLAUSE 41(I)(A) AND PARA V OF CLAUSE 49 OF ERSTWHILE LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF SUZLON ENERGY LTD.
|
IMPOSED PENALTY RS.15,95,00,000
29-MAY-2026
|
SAT: SAT VIDE ITS ORDER DATED 07/08/2026 ALLOWED RESPONDENT SIX WEEKS TO FILE REPLY AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER. STAYED IMPUGNED ORDER SUBJECT TO DEPOSIT OF RS.10 CRORE IN FIXED DEPOSIT WITH A LIEN MARKED IN FAVOUR OF SEBI WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 160 |
|
|
TANGO COMMOSALES LLP
(PAN:AAJFT4529J)
|
|
|
ENTERED OFF-MARKET TRANSACTION OF SHARES WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION VIOLATING SECTION 16 OF SCRA, 1956 READ WITH SEBI NOTIFICATION DATED 03/10/2013 AND SECTION 13 AND 18 OF SCRA, 1956 READ WITH SECTION 2(I) OF SCRA, 1956 IN MATTER OF OPTIEMUS INFRACOM LTD.
|
IMPOSED PENALTY RS.2,00,000
31-JUL-2024
|
SEBI VIDE ITS NOTICE DATED 06/03/2025 DIRECTED TO PAY RS.2,17,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 25/03/2025 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 25/04/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.2,19,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SEBI VIDE ITS NOTICE DATED 07/10/2025 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 25/03/2025
SEBI VIDE ITS ORDER DATED 07/10/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.8672 OF 2025 DATED 06/03/2025
|
| 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 8 of 10
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