| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
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ALKA SECURITIES LTD.
(PAN:AAACA4835E)
(Member : NSE)
(Along with : MAYURESH REAL ESTATE MANAGEMENT PVT.LTD.)
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ALKA M.PANDEY
PAN:AGEPP1076H
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ANJUBEN KOTHARI
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BRIJESH KOTHARI
PAN:AACPK8359C
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DIMPLE PRASAD KOTHARI
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MAHENDRA PANDEY
PAN:AACPP5315K
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MAHESH NATVARLAL KOTHARI
PAN:AACPK2951Q
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RAVI PANDEY
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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.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES 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.
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DIRECTED NOT TO ISSUE ANY EQUITY SHARES OR ANY INSTRUMENT CONVERTIBLE INTO EQUITY SHARES OR ALTER ITS CAPITAL STRUCTURE IN ANY MANNER FROM 28-JUL-2009 TILL FURTHER ORDERS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-JUL-2009 TILL FURTHER ORDERS
DIRECTED NOT TO UNDERTAKE ANY PROPRIETARY TRADES IN SECURITIES
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHER ORDERS
DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 28-JUL-2009 TILL FURTHER ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
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EX-PARTE AD-INTERIM ORDER DATED 28/07/2009 CONFIRMED AND DIRECTED BSE AND NSE TO 1) APPOINT AN INDEPENDENT AUDITOR ON OR BEFORE 22/10/2009 TO VERIFY OWNERSHIP OF SHARES LYING IN BENEFICIAL OWNER ACCOUNTS OF THEIR RESPECTIVE TRADING MEMBERS 2) ASK AUDIOTRS TO SUBMIT REPORT WITHIN A PERIOD OF SIX WEEKS FROM DATE OF APPOINTMENT
SAT: APPEAL DISPOSED OFF WITH DIRECTION TO SEBI TO CONCLUDE INVESTIGATIONS EXPEDITIOUSLY BUT NOT LATER THAN 31/03/2010
SAT: DIRECTED SEBI THAT IN CASE IT PROPOSES TO PROCEED AGAINST APPLICANTS UNDER SECTION 11B,IT SHOULD ISSUE SHOW CAUSE NOTICE NOT LATER THAN 31/08/2010 AND APPLICANT SHALL RESPOND WITHIN TWO WEEKS FROM DATE OF ITS RECEIPT, WHEREAFTER SEBI SHALL PROCEED IN MATTER AND CONCLUDE PROCEEDINGS BEFORE END OF THIS YEAR
SEBI VIDE ORDER DATED 28/01/2010 DIRECTED 1.NSE AND BSE TO CONSTITUTE A COMMITTEE OF THREE MEMBERS WHOSE NAMES WILL BE SELECTED BY SEBI WITHIN TWO DAYS FOR PURPOSE OF RELEASE OF SECURITIES TO RESPECTIVE CLIENTS 2.ALKA SECURITIES LTD. AND MAHESH KOTHARI SHARES & STOCK BROKERS PVT.LTD. TO RECONCILE CLIENTWISE SECURITIES REGISTER WITHIN TEN WORKING DAYS 3.MARKET INTERMEDIARIES REGULATION & SUPERVISION DEPT. TO LOOK INTO BOOKS OF ACCOUNTS OF AFORESAID BROKERS AND PROCEDURES ADOPTED BY THEM
SAT: DIRECTED SEBI VIDE ORDER DATED 16/11/2010, TO RELEASE THE SHARES TO THE PERSONS AS RECOMMENDED BY THREE MEMBERS COMMITTEE ON THE CONDITIONS MENTIONED IN THEIR REPORT AND AFTER TAKING INTO ACCOUNT THE REPRESENTATION
SAT: IMPUGNED COMMUNICATION, DECLINING REQUEST TO OPEN FRESH DEPOSITORY ACCOUNT FOR EXISTING CLIENTS, SET ASIDE, VIDE ORDER DATED 26/04/2010
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 28/07/2009 SET ASIDE AND DIRECTED SEBI TO PASS FRESH ORDER WITH NO ORDER AS TO COSTS
SEBI VIDE ITS ORDER DATED 30/12/2010 1.RESTRAINED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING,SELLING OR OTHERWISE DEALING IN SECURITIES,IN PROPRIETARY ACCOUNTS,DIRECTLY OR INDIRECTLY, FOR A PERIOD OF ONE YEAR FROM DATE OF THIS ORDER AND 2.DIRECTED TO NOT TO TAKE FRESH CLIENTS TILL COMPLETION OF ENQUIRY AND PASSING OF FINAL ORDERS THEREON
SAT: DIRECTED SEBI THAT IN CASE IT PROPOSES TO PROCEED AGAINST APPLICANTS UNDER SECTION 11B,IT SHOULD ISSUE SHOW CAUSE NOTICE NOT LATER THAN 31/08/2010 AND APPLICANT SHALL RESPOND WITHIN TWO WEEKS FROM DATE OF ITS RECEIPT, WHEREAFTER SEBI SHALL PROCEED IN MATTER AND CONCLUDE THE PROCEEDINGS BEFORE END OF THIS YEAR
SAT: SAT VIDE ITS ORDER DATED 10/03/2017, IN ALL THE APPEALS (EXCEPT IN APPEAL NO.41 OF 2014) INTEREST DEMANDED BY RO FROM THE DATE OF THIS ORDERS ARE QUASHED AND SET ASIDED AND ALL THESE MATTERS ARE RESTORED TO THE FILE OF RO FOR FRESH COMPUTATION OF INTEREST IN TERMS OF THIS DECISION
SAT: VIDE ITS ORDER DATED 16/11/2010 DIRECTED SEBI TO RELEASE SHARES TO PERSONS AS RECOMMENDED BY THREE MEMBERS COMMITTEE ON CONDITIONS MENTIONED IN THEIR REPORT AND AFTER TAKING INTO ACCOUNT THE REPRESENTATION
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| 2 |
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MANSI SHARE & STOCK ADVISORS PVT.LTD.
(PAN:AADCM6645D)
(Member : BSE)
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USED LARGE AND AGGRESSIVE BUY/SELL ORDERS IN THE UNDERLYING CONSTITUENTS OF SENSEX DURING CLOSING AUCTION SESSION (CAS) TO INFLUENCE INDICATIVE EQUILIBRIUM PRICE (IEP)/ CLOSING PRICE OF SENSEX TO ENRICH THEMSELVES WITH WRONGFUL GAINS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO3(D), 4(1), 4(2)(A), 4(2)(B),4(2)(D), 4(2)(E) AND 4(2)(G) OF SEBI (PFUTP) REGULATIONS, 2003
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DIRECTED TO IMPOUND UNLAWFUL GAIN RS.71,64,773
DIRECTED TO OPEN FIXED DEPOSIT ACCOUNTS IN THEIR NAMES TO CREDIT OR DEPOSIT IMPOUNDING AMOUNT WITH A LIEN MARK IN FAVOUR OF SEBI AND AMOUNT KEPT THEREIN NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
PROHIBITED FROM PARTICIPATING IN CALL AUCTION SESSION IN EQUITY SEGMENT, DIRECTLY OR INDIRECTLY, INCLUDING BY PLACING, MODIFYING OR CANCELLING ORDERS DURING CALL AUCTION SESSION FROM 19-AUG-2026 UNTIL FURTHER ORDERS
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI EXCEPT FOR THE PURPOSES OF TRANSFER OF FUNDS TO FIXED DEPOSIT ACCOUNT(S)
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF COMPLYING WITH THIS ORDER
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS/PROPERTIES/ SECURITIES
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 CO-OPERATE WITH SEBI IN INVESTIGATION BY FURNISHING ALL RELEVANT INFORMATION
RESTRAINED FROM EXECUTING TRADES IN PROPRIETARY ACCOUNT FROM 19-AUG-2026 UNTIL FURTHER ORDERS
19-AUG-2026
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| 3 |
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ONELIFE CAPITAL ADVISORS LTD.
(PAN:AAACO9540L)
(Member : BSE)
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A.P.SHUKLA
PAN:AECPS3296Q
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DHANANJAY CHANDRAKANT PARIKH
PAN:ACTPP2402L
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PANDOO PRABHAKAR NAIG
PAN:ACNPN2800J
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T.S.RAGHAVAN
PAN:AAFPR1521A
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THIRUVIDAIMARUDUR KRISHNA PRABHAKAR NAIG
PAN:ABIPN2653D
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TUSHAR SHIRDHARANI
PAN:AAIPS0065M
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MISUTILIZED ISSUE PROCEEDS
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
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DIRECTED NOT TO ISSUE ANY EQUITY SHARES OR ANY INSTRUMENT CONVERTIBLE INTO EQUITY SHARES OR ALTER ITS CAPITAL STRUCTURE IN ANY MANNER FROM 28-DEC-2011 TILL FURTHER ORDERS
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 28-DEC-2011 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED COMPANY TO CALL BACK ICDS AND/OR OTHER AMOUNTS AND DEPOSIT THE SAME IN AN INTEREST BEARING ESCROW ACCOUNT
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
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SAT: APPEAL DISPOSED OFF WITH NO ORDER AS TO COSTS
SEBI VIDE ITS ORDER DATED 15/02/2012 MODIFIED ITS EARLIER ORDER DATED 28/12/2011 BY ALLOWING TO DEAL IN SHARES FOR LIMITED PURPOSE OF FULFILLING THEIR EXISTING OBLIGATIONS OF UNDERWRITING FOR MINIMUM SUBSCRIPTION
SAT: SAT VIDE ITS ORDER DATED 25/06/2012 DIRECTED SEBI TO COMPLETE THE INVESTIGATIONS AS EXPEDITIOUSLY AS POSSIBLE AND IN ANY CASE BEFORE 31/10/2012. NO COSTS
SEBI VIDE ITS ORDER DATED 16/01/2013 CONFIRMED ITS DIRECTIONS ISSUED IN PARAGRAPHS 14.3, 14.4, 14.5, 14.6, 14.8 AND 14.9 OF EX-PARTE ORDER DATED 28/12/2011 READ WITH ORDER DATED 15/02/2012
SAT: DIRECTED SEBI TO ISSUE SHOW CAUSE NOTICE WITHIN FIVE WEEKS AND PASS FINAL ORDER WITHIN A PERIOD OF FOUR MONTHS FROM THE DATE OF THIS ORDER OTHERWISE INTERIM ORDER PASSED BY SEBI SHALL STAND VACATED
SEBI VIDE ITS ORDER DATED 30/08/2013 DIRECTED ONELIFE CAPITAL ADVISORS LTD. AND ITS MANAGING DIRECTOR MR. PANDOO P.NAIG 1.TO BRING JOINTLY AND SEVERALLY RS.35.25 CRORES I.E. DIVERTED IPO PROCEEDS INTO COMPANY FROM FINCARE, PRECISE AND KPT WITHIN SIX MONTHS FROM DATE OF THIS ORDER 2.DIRECTED ITS BOARD OF DIRECTORS TO ENSURE COMPLIANCE OF ABOVE DIRECTION AND SUBMIT A MONTHLY PROGRESS REPORT TO SEBI AND ALSO TO FURNISH TO SEBI A COMPLIANCE REPORT DULY CERTIFIED BY SEBI REGISTERED MERCHANT BANKER WITHIN TWO WEEKS OF COMPLIANCE OF ABOVE DIRECTION; 3.TO RESTRAINED AND PROHIBITED FROM ACCESSING SECURITIES MARKET AND ALSO PROHIBITED FROM BUYING, SELLING AND OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER, FOR A PERIOD OF 3 YEARS FROM DATE OF INTERIM ORDER
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| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
