| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
BALJIT SINGH RAJPAL
(PAN:BERPR1999P)
|
|
|
|
MUSE TRADERS
PAN:BERPR1999P
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
DIRECTED TO PROMINENTLY DISPLAY CONTENTS OF THIS ORDER ON ALL WEBSITES AND OTHER MEDIA THROUGH CONDUCT INVESTMENT ADVISORY BUSINESS
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO ACCEPT REFUND CLAIMS/REQUESTS FOR SIX MONTHS FROM THE DATE OF PUBLIC NOTICE
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 02-MAY-2023 TO 01-MAY-2028
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-MAY-2023 TO 01-MAY-2028
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-MAY-2023 TO 01-MAY-2028
IMPOSED PENALTY RS.9,00,000 ALONG WITH OTHER ENTITIES/PERSONS
02-MAY-2023
|
SEBI VIDE ITS NOTICE DATED 29/08/2024 DIRECTED TO PAY RS.10,45,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 08/09/2026 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
|
| 2 |
|
|
BHAVNA JETHVANI
(PAN:BBOPJ6519H)
|
|
|
|
PURE TRADERS
PAN:BBOPJ6519H
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
DIRECTED TO PROMINENTLY DISPLAY CONTENTS OF THIS ORDER ON ALL WEBSITES AND OTHER MEDIA THROUGH CONDUCT INVESTMENT ADVISORY BUSINESS
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO ACCEPT REFUND CLAIMS/REQUESTS FOR SIX MONTHS FROM THE DATE OF PUBLIC NOTICE
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 02-MAY-2023 TO 01-MAY-2028
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-MAY-2023 TO 01-MAY-2028
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-MAY-2023 TO 01-MAY-2028
IMPOSED PENALTY RS.9,00,000 ALONG WITH OTHER ENTITIES/PERSONS
02-MAY-2023
|
SEBI VIDE ITS NOTICE DATED 29/08/2024 DIRECTED TO PAY RS.10,45,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 08/09/2026 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
|
| 3 |
|
|
DILIP JAIN
|
|
|
|
HOME TRADE LTD.
PAN:AABFH8408A
|
|
ACTED IN CONCERT TO CREATE ARTIFICIAL MARKET/PRICE RISE THROUGH SYNCHRONIZED AND SCHEMING TRADES IN SCRIP OF HOME TRADE LTD.
|
DISPOSED OFF THE CASE WITHOUT ANY DIRECTION
16-FEB-2006
|
|
| 4 |
|
|
MANOJ A.SHAH
|
|
|
|
HOME TRADE LTD.
PAN:AABFH8408A
|
|
ACTED IN CONCERT WITH PROMOTERS/DIRECTORS/ASSOCIATES TO GET THE OFFER FOR SALE OF SHARES OF HOME TRADE LTD. FRAUDULENTLY SUBSCRIBED BY PLANTED APPLICANTS FOR MAKING APPLICATIONS FOR SHARES AND PURCHASED THE ALLOTTED SHARES BACK FROM THEM BY USING THE PROCEEDS OF THE OFFER FOR SALE
ACTED IN CONCERT TO CREATE ARTIFICIAL MARKET/PRICE RISE THROUGH SYNCHRONIZED AND SCHEMING TRADES IN SCRIP OF HOME TRADE LTD.
|
DISPOSED OFF THE CASE WITHOUT ANY DIRECTION
16-FEB-2006
|
|
| 5 |
|
|
RUSSEL H.BOEKENKROEGER
|
|
|
|
HOME TRADE LTD.
PAN:AABFH8408A
|
|
ACTED IN CONCERT TO CREATE ARTIFICIAL MARKET/PRICE RISE THROUGH SYNCHRONIZED AND SCHEMING TRADES IN SCRIP OF HOME TRADE LTD.
|
DISPOSED OFF THE CASE WITHOUT ANY DIRECTION
16-FEB-2006
|
|
| 6 |
|
|
SALIL DINAKARLAL GANDHI
|
|
|
|
HOME TRADE LTD.
PAN:AABFH8408A
|
|
ACTED IN CONCERT TO CREATE ARTIFICIAL MARKET/PRICE RISE THROUGH SYNCHRONIZED AND SCHEMING TRADES IN SCRIP OF HOME TRADE LTD.
|
DISPOSED OFF THE CASE WITHOUT ANY DIRECTION
16-FEB-2006
|
|
| 7 |
|
|
SHASHANK G.RANADE
|
|
|
|
HOME TRADE LTD.
PAN:AABFH8408A
|
|
ACTED IN CONCERT TO CREATE ARTIFICIAL MARKET/PRICE RISE THROUGH SYNCHRONIZED AND SCHEMING TRADES IN SCRIP OF HOME TRADE LTD.
|
DISPOSED OFF THE CASE WITHOUT ANY DIRECTION
16-FEB-2006
|
|
| 8 |
|
|
TAJ KHAN
(PAN:BWRPK1312F)
|
|
|
|
TAJ ENTERPRISES
PAN:BWRPK1312F
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
DIRECTED TO PROMINENTLY DISPLAY CONTENTS OF THIS ORDER ON ALL WEBSITES AND OTHER MEDIA THROUGH CONDUCT INVESTMENT ADVISORY BUSINESS
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO ACCEPT REFUND CLAIMS/REQUESTS FOR SIX MONTHS FROM THE DATE OF PUBLIC NOTICE
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 02-MAY-2023 TO 01-MAY-2028
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-MAY-2023 TO 01-MAY-2028
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-MAY-2023 TO 01-MAY-2028
IMPOSED PENALTY RS.9,00,000 ALONG WITH OTHER ENTITIES/PERSONS
02-MAY-2023
|
SEBI VIDE ITS NOTICE DATED 29/08/2024 DIRECTED TO PAY RS.10,45,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 08/09/2026 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
|
| 9 |
|
|
VIJAY H.MODI
|
|
|
|
HOME TRADE LTD.
PAN:AABFH8408A
|
|
ACTED IN CONCERT TO CREATE ARTIFICIAL MARKET/PRICE RISE THROUGH SYNCHRONIZED AND SCHEMING TRADES IN SCRIP OF HOME TRADE LTD.
|
DISPOSED OFF THE CASE WITHOUT ANY DIRECTION
16-FEB-2006
|
|
| 10 |
|
|
VIJENDRA KUMAR SURANA
|
|
|
|
HOME TRADE LTD.
PAN:AABFH8408A
|
|
ACTED IN CONCERT TO CREATE ARTIFICIAL MARKET/PRICE RISE THROUGH SYNCHRONIZED AND SCHEMING TRADES IN SCRIP OF HOME TRADE LTD.
|
DISPOSED OFF THE CASE WITHOUT ANY DIRECTION
16-FEB-2006
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
