| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
AADINATH PROPCON PVT.LTD.
|
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SECTION 27 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 2 |
|
|
AB CORP.LTD.
|
|
|
|
BHAVIN PAREKH
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SECTION 11 (3) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
31-MAR-2010
|
|
| 3 |
|
|
ABHILASHAA SECURITIES PVT.LTD.
(PAN:AADCA8279K)
|
|
|
|
KANAN DESAI
|
|
|
YEZDI MASTER
|
|
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
PARTLY COMOUNDED FOR RS.100000
|
| 4 |
|
|
ACE INVESTMENTS
|
|
|
|
KAUSHIK CHHOTALAL SHAH
DIN:00009510
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SECTION 11 (3) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
31-MAR-2010
|
|
| 5 |
|
|
ACT REACT HOLDINGS PVT.LTD.
|
|
|
|
KULDEEP HANDOO
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SECTION 27 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 6 |
|
|
ADAM COMSOF LTD.
|
|
|
|
ASHOK RAMSWAROOP BHANWARLAL PANCHARIYA
PAN:AEVPP6124P
|
|
|
ASPI B.BHESANIA
|
|
|
HIRALAL YADAV
|
|
|
JANBA CHOUGLE
|
|
|
MAHESH RAMDAS ADSUL
PAN:AGGPA2537E
|
|
|
MARUTI GUDULKAR
|
|
|
NARENDRA D.TIWARI
|
|
|
NITIN SAWANT
|
|
|
OMPRAKASH BAGRECHA
|
|
|
R.K.MAHESHWARI
|
|
|
RAJESH SAKHARIE
|
|
|
RAJKUMAR CHAINRAI BASANTANI
PAN:AESPB2834F
|
|
|
RAMESH L.SHARMA
|
|
|
SHANTABAI CHOUGLE
|
|
|
UMESH R.KHARIWALA
|
|
|
UPENDRA V.MODI
|
|
|
VIKAS SETH
|
|
|
VILAS CHOWGLE
|
|
|
VINOD R.HINGORANI
|
|
|
VITHAL PATIL
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
25-AUG-2016
|
SEBI VIDE ITS ORDER DATED 16/02/2023 DIRECTED ALL THE BANKS TO REMIT RS.16,71,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF ADAM COMSOF LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 7 |
|
|
ADD-LIFE PHARMA LTD.
(CIN:L24230GJ1991PLC014894
PAN:AAFCA5165L)
|
|
|
|
BHARAT I.PATEL
|
|
|
HARGOVIND I.PATEL
|
|
|
P.SASHEENDRAN
|
|
FAILED TO PAY PENALTY
VIOLATED SECTION 27 OF SEBI ACT, 1992
VIOLATED SECTION 20(2) OF SEBI DEPOSITORIES ACT, 1996
VIOLATED SECTION 21 OF SEBI DEPOSITORIES ACT, 1996
|
PROSECUTION LAUNCHED
15-JUL-2022
|
|
| 8 |
|
|
ADSUL TRADING PVT.LTD.
|
|
|
|
ASHOK RAMSWAROOP BHANWARLAL PANCHARIYA
PAN:AEVPP6124P
|
|
|
ASPI B.BHESANIA
|
|
|
HIRALAL YADAV
|
|
|
JANBA CHOUGLE
|
|
|
MAHESH RAMDAS ADSUL
PAN:AGGPA2537E
|
|
|
MARUTI GUDULKAR
|
|
|
NARENDRA D.TIWARI
|
|
|
NITIN SAWANT
|
|
|
OMPRAKASH BAGRECHA
|
|
|
R.K.MAHESHWARI
|
|
|
RAJESH SAKHARIE
|
|
|
RAJKUMAR CHAINRAI BASANTANI
PAN:AESPB2834F
|
|
|
RAMESH L.SHARMA
|
|
|
SHANTABAI CHOUGLE
|
|
|
UMESH R.KHARIWALA
|
|
|
UPENDRA V.MODI
|
|
|
VIKAS SETH
|
|
|
VILAS CHOWGLE
|
|
|
VINOD R.HINGORANI
|
|
|
VITHAL PATIL
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
25-AUG-2016
|
|
| 9 |
|
|
ADVANCE HOVERCRAFT & COMPOSITES (INDIA) LTD.
|
|
|
VIOLATED SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 10 |
|
|
AKIRA INVESTMENTS PVT.LTD.
(CIN:U67120MH1981PTC023806)
|
|
|
|
AJAY BABURAO SHIRKE
|
|
|
GANPATROA ROAJI BHARITKAR
|
|
|
JAYSINGHRAO CHIMANRAO SHINDE
|
|
|
PADMAJA VIJAY SHIRKE
|
|
|
RAMKUMAR SUNKARA
|
|
|
RINA SUD
|
|
|
SITU R.RAMNATH SHASTRI
|
|
|
UDAY SURESH GHORPADE
|
|
|
VIJAY BABURAO SHIRKE
|
|
VIOLATED SECTION 11 (3) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 11 |
|
|
ALAKNANDA MANUFACTURING & FINANCE LTD.
|
|
|
|
A.LAKSHMINARAYANA
|
|
|
AMITAVA DATTA
|
|
|
B.MUZUMDAR
|
|
|
KALIDAS KANRAR
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 12 |
|
|
ALCHEMIST CORP.LTD.
|
|
|
|
NEERAJ TIWARI
|
|
|
POOJA RASTOGI
DIN:00201858
|
|
|
RAJEEV GUPTA
|
|
|
SHEETAL JAIN
|
|
|
SOHAN LAL
|
|
|
SUDHISH KUMAR RASTOGI
|
|
VIOLATED SECTION 24 (2) READ WITH 27 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-JUL-2022
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.926856.00 TO SEBI
|
| 13 |
|
|
ALDERBROOKE PORTFOLIO MANAGEMENT SERVICES PVT.LTD.
(CIN:U74140GJ2010PTC059749
PAN:AAICA8270H)
|
|
|
|
ANANDKUMAR KANUBHAI RAVAT
PAN:AIMPR9602D
|
|
|
JALPESHKUMAR AMRUTLAL MAKWANA
PAN:AXLPM4291R
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
25-AUG-2016
|
|
| 14 |
|
|
ALKA INDIA LTD.
(PAN:AABCA6702F)
|
|
|
|
ARUN RAMSWAROOP PANCHARIYA
PAN:AEVPP6125N
|
|
|
ASHOK RAMSWAROOP BHANWARLAL PANCHARIYA
PAN:AEVPP6124P
|
|
|
MADHUDEVI PANCHARIYA
PAN:AHWPP8962H
|
|
|
RADHADEVI SATISH PANCHARIYA
PAN:AHWPP6235D
|
|
|
SARITADEVI PANCHARIYA
PAN:AHWPP6223H
|
|
|
SATISH RAMSWAROOP PANCHARIYA
PAN:ADRPP1806H
|
|
FILED INCORRECT SHAREHOLDING PATTERN AND DID NOT ENSURE 100% OF ITS PROMOTERS’ SHAREHOLDING IN DEMAT FORM VIOLATING SECTION 12A(F) OF SEBI ACT, 1992 IN MATTER OF ALKA INDIA LTD.
DELAY IN MAKING PUBLIC ANNOUNCEMENT VIOLATING REGULATION 10 READ WITH REGULATION 14(1) OF SAST REGULATIONS, 2011 IN MATTER OF ALKA INDIA LTD.
|
IMPOSED PENALTY RS.5,00,000
16-SEP-2024
|
|
| 15 |
|
|
ALKAN PROJECTS PVT.LTD.
|
|
|
|
GOPU PARIMAL BELANI
|
|
|
RAMESH BALKRISHNA GUDI
|
|
|
SURESH HEMWANI
|
|
VIOLATED SECTION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 11 (3) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 16 |
|
|
ALKARNI HOLDINGS LTD.
|
|
|
VIOLATED SECTIONS 12(A) TO (C) OF SEBI ACT READ WITH REGULATIONS 3(C) TO 3(D) & 4(2)(A), 4(2)(C), 4(2)(F) AND 4(2)(K) OF PFUTP REGULATIONS, 2003 IN MATTER OF GDR ISSUE OF ASAHI INFRASTRUCTURE & PROJECTS LTD., AVON CORP.LTD., CAT TECHNOLOGIES LTD., IKF TECHNOLOGIES LTD., K SERA SERA LTD. AND MAARS SOFTWARE INTERNATIONAL LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
05-SEP-2017
|
|
| 17 |
|
|
ALLEGRO CAPITAL PVT.LTD.
(PAN:AAGCA6221J)
|
|
|
|
KUNAL ASHOK KASHYAP
PAN:ABDPK8835H
|
|
DEALT IN SECURITIES WHILE IN POSSESSION OF MATERIAL AND NON-PUBLIC INFORMATION VIOLATING REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BIOCON LTD.
DEALT IN SECURITIES WHILE IN POSSESSION OF MATERIAL AND NON-PUBLIC INFORMATION VIOLATING SECTION 12A(E) OF SEBI ACT, 1992 IN MATTER OF BIOCON LTD.
|
IMPOSED PENALTY RS.10,00,000
08-JUL-2021
|
SAT: SAT VIDE ITS ORDER DATED 10/08/2021 ALLOWED RESPONDENT THREE WEEKS TIME TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. IN THE MEANWHILE, THE EFFECT AND OPERATION OF IMPUGNED ORDER DIRECTED REMAIN STAYED PROVIDED THE APPELLANT DEPOSITS A SUM OF RS.25 LAC WITHIN FOUR WEEKS FROM THE DATE OF THIS ORDER, BEFORE THE RESPONDENT
SAT: SAT VIDE ITS ORDER DATED 28/10/2021 DIRECTED APPELLANT TO FILE REJOINDER WITHIN TWO WEEKS FROM DATE OF THIS ORDER
|
| 18 |
|
|
ALLEGRO CAPITAL PVT.LTD.
(PAN:AAGCA6221J)
|
|
|
|
KUNAL ASHOK KASHYAP
PAN:ABDPK8835H
|
|
DEALT IN SECURITIES WHILE IN POSSESSION OF MATERIAL AND NON-PUBLIC INFORMATION VIOLATING REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BIOCON LTD.
DEALT IN SECURITIES WHILE IN POSSESSION OF MATERIAL AND NON-PUBLIC INFORMATION VIOLATING SECTION 12A(E) OF SEBI ACT, 1992 IN MATTER OF BIOCON LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-JUL-2021 TO 07-JUL-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-JUL-2021 TO 07-JUL-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
DIRECTED TO DISGORGE RS.24,68,751 ALONG WITH OTHER ENTITIES/PERSONS
08-JUL-2021
|
SAT: SAT VIDE ITS ORDER DATED 10/08/2021 ALLOWED RESPONDENT THREE WEEKS TIME TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. IN THE MEANWHILE, THE EFFECT AND OPERATION OF IMPUGNED ORDER DIRECTED REMAIN STAYED PROVIDED THE APPELLANT DEPOSITS A SUM OF RS.25 LAC WITHIN FOUR WEEKS FROM THE DATE OF THIS ORDER, BEFORE THE RESPONDENT
SAT: SAT VIDE ITS ORDER DATED 28/10/2021 DIRECTED APPELLANT TO FILE REJOINDER WITHIN TWO WEEKS FROM DATE OF THIS ORDER
|
| 19 |
|
|
AMI COMPUTERS (I) LTD.
|
|
|
|
G.S.PRASAD
|
|
|
KUNDAN MAL BANTHIA
|
|
|
KUNDAN MAL JAIN
|
|
|
RATAN KUMAR MISHRA
|
|
|
V.K.JAIN
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SECTION 12 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
31-MAR-2010
|
|
| 20 |
|
|
AMI IMPEX
|
|
|
|
DEVEN MEHTA
|
|
|
MEENAL CHHABARIA
|
|
|
SURESH GURBUX MOTWANI
|
|
|
SURESH HEMWANI
|
|
VIOLATED SECTION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 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 1 of 14
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