| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 17781 |
|
YOGESH SAKHARAM AMBEKAR
(PAN:AHEPA6359D)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF-TRADES, OFF-MARKET AND SYNCHRONIZED TRANSACTIONS IN SCRIPS OF CUPID LTD., GARNET CONSTRUCTIONS LTD. & EZ-COMM TRADE TECHNOLOGIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-FEB-2012 TO 16-FEB-2013
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-FEB-2012 TO 16-FEB-2013
17-FEB-2012
|
|
| 17782 |
|
|
YOGESH SAMTANI
(PAN:FXIPS1283M)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 17783 |
|
|
YOGESH SERVAIA
(PAN:AGOPS5125N)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 17784 |
|
|
YOGESH SHARMA
(PAN:CZQPS8304C)
|
|
|
RECEIVED SHARES THROUGH OFF-MARKET TRANSACTIONS AND SOLD IN MINISCULE QUANTITIES IN SCRIP OF PSIT INFRASTRUCTURE & SERVICES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-JUN-2020 TO 04-DEC-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-JUN-2020 TO 04-DEC-2020
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
05-JUN-2020
|
|
| 17785 |
|
|
YOGESH SHARMA
(PAN:CZQPS8304C)
|
|
|
RECEIVED SHARES THROUGH OFF-MARKET TRANSACTIONS AND SOLD IN MINISCULE QUANTITIES IN SCRIP OF PSIT INFRASTRUCTURE & SERVICES LTD.
|
IMPOSED PENALTY RS.1,00,000
31-JUL-2020
|
SAT: SAT VIDE ITS ORDER DATED 21/06/2021 DISMISSED THE APPEAL
|
| 17786 |
|
|
YOGESH SHRINIVAS JADHAV
(PAN:ALFPJ5077Q)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH SYNCHRONIZED AND STRUCTURED TRANSACTIONS IN SCRIP OF BHAGERIA INDUSTRIES LTD.
|
IMPOSED PENALTY RS.5,00,000
31-MAR-2023
|
SAT: SAT VIDE ITS ORDER DATED 06/07/2023 CONDONED THE DELAY IN FILING OF APPEAL AND DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER.DIRECTED APPELLANTS TO DEPOSIT PENALTY AMOUNT PURSUANT TO IMPUGNED ORDER
SAT: SAT VIDE ITS ORDER DATED 15/09/2023 ALLOWED RESPONDENT FURTHER TWO WEEKS TO FILE REPLY AND APPELLANTS TO FILE REJOINDER WITHIN TWO WEEKS THEREAFTER
|
| 17787 |
|
|
YOGESH SHROFF
(PAN:ALEPS7124A)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 17788 |
|
|
YOGESH VITTHAL JADHAV
(PAN:AKHPJ5994R)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KAMALAKSHI FINANCE CORP.LTD. (EARLIER KNOWN AS KAMALAKSHI FINANCE CORP.LTD.)
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 KAMALAKSHI FINANCE CORP.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-FEB-2015 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-FEB-2015 TILL FURTHER ORDERS
20-FEB-2015
|
SEBI VIDE ITS ORDER DATED 25/08/2016 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 20/02/2015 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 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 22/09/2017 REVOKED ITS DIRECTIONS ISSUED VIDE ITS CONFIRMATORY ORDER DATED 25/08/2016
|
| 17789 |
|
|
YOGESHBHAI CHIMANBHAI PATEL
(PAN:AFVPP7212F)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SMALL BUY ORDERS AND CONNECTED COUNTERPARTY TRADES IN SCRIP OF HIMACHAL FIBRES LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
22-JUN-2021
|
|
| 17790 |
|
|
YOGESHBHAIM 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
|
| 17791 |
|
|
YOGESHBHAIM 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
|
| 17792 |
|
|
YOGESHWARI GUPTA
(PAN:AETPG3131M)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF BGIL FILMS & TECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.20,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-NOV-2018
|
SEBI VIDE ITS NOTICE DATED 17/05/2019 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS 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 25/02/2021 DISMISSED THE APPEAL FOR WANT OF PROSECUTION
|
| 17793 |
|
|
YOGINI PATEL
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF OASIS MEDIA MATRIX LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JUL-2007 TO 30-JUL-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JUL-2007 TO 30-JUL-2009
31-JUL-2007
|
|
| 17794 |
|
|
YOGITA MAHESH SAJNANI
(PAN:AINPS8408F)
|
|
|
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
|
| 17795 |
|
|
YOGITA MANOJ MITTAL
(PAN:AIZPM4024F)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET & PRICE MANIPULATION IN SCRIP OF NUTRAPLUS INDIA LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2023 TO 27-FEB-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-FEB-2023 TO 27-FEB-2024
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
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
DIRECTED TO DISGORGE RS.4,41,176
28-FEB-2023
|
|
| 17796 |
|
|
YOGRAJ SINGH BHAU
|
|
|
|
SHEEN AGRO & PLANTATION LTD.
|
|
ALLEGED IRREGULARITIES IN THE MATTER OF SHEEN AGRO PLANTATIONS LTD.
|
NOTICE ISSUED
10-OCT-2012
|
|
| 17797 |
|
|
YOJANA SAKHARE
(PAN:BPQPS6667R)
|
|
|
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 FURTHER 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
|
| 17798 |
|
|
YP 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
|
DIRECTING IMPOUNDING THE UNLAWFULLY GAINS MADE IN THEIR ACCOUNTS BY THEIR PARENTS ON THEIR BEHALF
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 17799 |
|
|
YUDHBIR CHHIBBAR
(PAN:ACIPC6889M)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.8,70,000
22-MAR-2019
|
|
| 17800 |
|
|
YUNUS KASAMBHAI MANSURI
(PAN:CTMPM6543B)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 890 of 891
|
