| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
AARTI SHETH
(PAN:AAGPS3762H)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) & (E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF TARA JEWELS LTD.
|
DIRECTED TO DISGORGE RS.2,09,930
DIRECTED TO CREDIT AMOUNTS TO ESCROW ACCOUNT IN NATIONALISED BANK
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
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
04-SEP-2020
|
SEBI VIDE ITS ORDER DATED 23/10/2020 DIRECTED TO DE-FREEZ BANK ACCOUNTS, DEMAT ACCOUNTS AND BANK LOCKERS OF MS.PURNIMA SHETH IMMEDIATE EFFECT
SAT: SAT VIDE ITS ORDER DATED 01/10/2020 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 04/09/2020 AND DIRECTED APPELLANTS TO FILE REPLY TO SCN WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 2 |
|
|
ABHIJIT RAJAN
(PAN:AAEPR0342J)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A (D) & (E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3 AND 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN SCRIP OF GAMMON INFRASTRUCTURE PROJECTS LTD.
|
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED TO DISGORGE RS.1,44,37,670 ALONG WITH OTHER ENTITIES/PERSONS
21-MAR-2016
|
SAT: SAT VIDE ITS ORDER DATED 08/11/2019 ALLOWED THE APPEAL AND SET ASIDED IMPUGNED ORDER. DIRECTED SEBI TO TAKE STEPS FOR REFUND OF THE AMOUNT DEPOSITED BY APPELLANT
|
| 3 |
|
|
ABHISHEK MEHTA
(PAN:CLJPM2392B)
|
|
|
COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 12(A) (E) OF THE SEBI ACT AND 3(1) SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF ADF FOODS LTD.
TRADED THROUGH TRADING ACCOUNTS OF PALLAVI MEHTA AND SHEFALI MEHTA WHEN PRICE SENSITIVE INFORMATION REMAINED UNDISCLOSED VIOLATING REGULATIONS 12A(D) AND 12A(E) OF SEBI ACT AND 4(1) SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF ADF FOODS LTD.
|
DIRECTED TO DISGORGE RS.1,02,63,170 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
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
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 30-MAR-2021 TO 29-JUN-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
22-FEB-2019
|
SEBI VIDE ITS ORDER DATED 30/03/2021 DIRECTED TO 1) RESTRAIN FROM ACCESSING THE SECURITIES MARKET AND ARE FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH THE SECURITIES MARKET IN ANY MANNER, WHATSOEVER, FOR THREE MONTHS FROM DATE OF THIS ORDER 2) DURING THE PERIOD OF RESTRAINT THE EXISTING HOLDING, INCLUDING UNITS OF MUTUAL FUNDS SHALL REMAIN FROZEN
SAT: SAT VIDE ITS ORDER DATED 07/09/2022, DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER MAY BE FILED THREE WEEKS THEREAFTER AND NO FURTHER RECOVERY TO BE MADE BY APPELLANT DURING PENDENCY OF THE APPEAL
|
| 4 |
|
|
ADISH JAIN
(PAN:AGZPJ0317Q)
|
|
|
TRADED INDIRECTLY IN SECURITIES MARKET BY TRANSFERRING FUNDS, DIRECTLY/INDIRECTLY TO CONNECTED ENTITIES DURING THE INVESTIGATION PERIOD AND MADE UNLAWFUL GAINS
|
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED TO DISGORGE RS.3,30,52,904 ALONG WITH OTHER ENTITIES/PERSONS
16-JUN-2016
|
SEBI VIDE ITS ORDER DATED 09/04/2021 REVOKED ITS DIRECTIONS ISSUED VIDE ITS ORDERS DATED 16/06/2016 AND 27/03/2017
SEBI VIDE ITS NOTICE DATED 21/10/2022 DIRECTED TO PAY RS.3,30,26,842.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 5 |
|
|
AMALENDU MUKHERJEE
(DIN:03544485
PAN:AMWPM2947A)
|
|
|
|
FOURTH DIMENSION SOLUTION LTD.
PAN:AABCF7508A
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3A OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF RICOH INDIA LTD.
|
DIRECTED TO DISGORGE
DIRECTED TO CREDIT AMOUNTS TO ESCROW ACCOUNT IN NATIONALISED BANK
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED BANKS AND DEPOSITORIES TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
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
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 06-JUL-2020 TO 05-JUL-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-JUL-2020 TO 05-JUL-2027
17-MAR-2020
|
SAT: SAT VIDE ITS ORDER DATED 27/05/2020 DIRECTED APPELLANT TO FILE REPLY ON OR BEFORE 15/06/2020
SEBI VIDE ITS ORDER DATED 06/07/2020 DIRECTED TO A) DISGORGE UNLAWFUL GAINS OF RS.2,30,34,010 ALONG WITH SIMPLE INTEREST @12% P.A.FROM 17/11/2015 TILL DATE OF PAYMENT WITHIN 45 (FORTY-FIVE) DAYS FROM DATE OF RECEIPT OF THIS ORDER B) NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK ACCOUNTS HELD BY AMALENDU MUKHERJEE EXCEPT FOR THE PURPOSES OF COMPLIANCE OF THIS ORDER C) DEPOSITORIES AND REGISTRAR AND TRANSFER AGENTS NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI IN RESPECT OF DEMAT ACCOUNTS HELD BY AMALENDU MUKHERJEE EXCEPT FOR THE PURPOSES OF COMPLIANCE OF THIS ORDER D) NOT TO DISPOSE OF OR ALIENATE ANY OF ASSETS/PROPERTIES/SECURITIES TILL SUCH TIME DIRECTION OF THIS ORDER COMPLIED E) NOT TO BUY, SELL OR OTHERWISE DEAL IN SECURITIES MARKET IN ANY MANNER OR ACCESS SECURITIES MARKET, DIRECTLY OR INDIRECTLY FROM THE DATE OF THIS ORDER TILL EXPIRY OF SEVEN YEARS FROM DATE OF COMPLETION OF PAYMENT OF DISGORGEMENT AMOUNT ALONG WITH INTEREST AND ALSO RESTRAINED FROM ASSOCIATING HIMSELF WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM DATE OF THIS ORDER TILL EXPIRY OF SEVEN YEARS FROM DATE OF COMPLETION OF PAYMENT OF DISGORGEMENT AMOUNT ALONG WITH INTEREST F) PROVIDE INFORMATION TO SEBI, IN CASE WIFE OF THE NOTICEE IS A JOINT ACCOUNT HOLDER WITH HIM WITHIN ONE WEEK FROM DATE OF RECEIPT OF THIS ORDER I) DETAILS OF PAYMENT MADE TO JOINT ACCOUNT AS EVIDENCED BY BANK STATEMENT FOR RELEVANT PERIOD II) DOCUMENTARY PROOF OF SOURCE OF INCOME OF NOTICEE’S WIFE FOR THE CREDITS MENTIONED IN JOINT ACCOUNT III) COPY OF INCOME TAX STATEMENT OF NOTICEE’S WIFE FOR RELEVANT FINANCIAL YEARS CORRESPONDING TO THE CREDITS IN THE BANK ACCOUNT IV) CERTIFICATE OF CHARTERED ACCOUNTANT ON VERIFICATION OF THE DOCUMENTS STATING THAT MONEY CREDITED IN JOINT ACCOUNT BELONGS TO HIS WIFE
|
| 6 |
|
|
AMEEN KHWAJA
(PAN:ARFPK4315A)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 2(E) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF PALRED TECHNOLOGIES LTD.
COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATION 3(II) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PALRED TECHNOLOGIES LTD.
|
DIRECTED TO FREEZE ALL DEMAT ACCOUNTS WHEREIN EQUITY SHARES ALLOTTED UNDER PREFERENTIAL OFFER WERE LYING
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-AUG-2016 TO 12-MAY-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-AUG-2016 TO 12-MAY-2022
DIRECTED NOT TO ASSOCIATE WITH ANY LISTED COMPANY IN CAPACITY OF DIRECTOR OR OTHERWISE FROM 13-AUG-2016 TO 12-MAY-2022
04-FEB-2016
|
SEBI VIDE ITS ORDER DATED 13/08/2019 REVOKED THE DIRECTIONS OR INTERIM ORDER DATED 04/02/2016 AND ALLOWED TO WITHDRAW THE AMOUNTS DEPOSITED, ALONG WITH ACCRUED INTEREST, IF ANY, FROM ESCROW ACCOUNT OPENED PURSUANT TO DIRECTIONS PASSED IN INTERIM ORDER DATED 04/02/2016
SAT: SAT VIDE ITS ORDER DATED 15/06/2022 DISMISSED THE APPEAL. NO COSTS
|
| 7 |
|
|
AMIT GARG
(PAN:AAJPG0015G)
|
|
|
|
QUICK DEVELOPERS PVT.LTD.
PAN:AAACQ2182N
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND (E) OF SEBI ACT AND REGULATION 4(1) READ WITH 4(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PC JEWELLER LTD.
|
DIRECTED TO DISGORGE RS.2,13,23,162 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO CREDIT AMOUNTS TO ESCROW ACCOUNT IN NATIONALISED BANK
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED BANKS AND DEPOSITORIES TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
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
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 11-MAY-2021 TO 11-MAY-2022
17-DEC-2019
|
SEBI VIDE ITS ORDER DATED 11/05/2021 DIRECTED TO RESTRAIN FROM ACCESSING THE SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER, FOR A PERIOD OF ONE YEAR FROM DATE OF THIS ORDER B) DISGORGE JOINTLY AND SEVERALLY, A SUM OF RS. 2,13,23,161.64 IMPOUNDED BY IMPOUNDING ORDER PASSED IN THE PRESENT MATTER AND THE SAME SHALL BE CREDITED TO THE INVESTOR PROTECTION AND EDUCATION FUND (IPEF)
|
| 8 |
|
|
AMIT GARG
(PAN:AAJPG0015G)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND (E) OF SEBI ACT AND REGULATION 4(1) READ WITH 4(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PC JEWELLER LTD.
|
DIRECTED TO DISGORGE RS.6,17,60,184 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO CREDIT AMOUNTS TO ESCROW ACCOUNT IN NATIONALISED BANK
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED BANKS AND DEPOSITORIES TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
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
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 11-MAY-2021 TO 10-MAY-2022
17-DEC-2019
|
SEBI VIDE ITS ORDER DATED 11/05/2021 DIRECTED TO A) RESTRAIN FROM ACCESSING THE SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER, FOR A PERIOD OF ONE YEAR FROM DATE OF THIS ORDER B) DISGORGE JOINTLY AND SEVERALLY A SUM OF RS. 6,17,60,184.13 IMPOUNDED BY IMPOUNDING ORDER PASSED IN THE PRESENT MATTER AND THE SAME SHALL BE CREDITED INTO THE INVESTOR PROTECTION AND EDUCATION FUND (IPEF)
|
| 9 |
|
|
AMIT JAISWAL
(PAN:AEQPJ6841J)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A (D) & (E) OF SEBI ACT, 1992 AND REGULATIONS 3 AND 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF JAGRAN PRAKASHAN LTD.
|
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED TO DISGORGE RS.1,18,143^DG^14-MAR-2019
D BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
20-NOV-2015~
|
SEBI VIDE ITS ORDER DATED 14/03/2019 DIRECTED TO 1) DISGORGE RS.1,18,143.00 IMPOUNDED BY SEBI VIDE ITS ORDER DATED 20/12/2015 AND CREDITED TO INVESTOR PROTECTION AND EDUCATION FUND BY BOARD UNDER SEBI (INVESTOR PROTECTION AND EDUCATION FUND) REGULATIONS, 2009
|
| 10 |
|
|
AMRIT L.GANDHI
(PAN:AACPG5265H)
|
|
|
MADE MISLEADING ANNOUNCEMENTS/ADVERTISEMENTS IN MATTER OF EXELON INFRASTRUCTURE LTD.
|
DIRECTED TO DISGORGE RS.2,26,538
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
07-JUN-2016
|
SAT: SAT VIDE ITS ORDER DATED 15/07/2016 DISPOSED OFF THE APPEAL WITH THE DIRECTION TO SEBI TO PASS AN ORDER AFTER GIVING AN OPPORTUNITY OF HEARING TO THE APPENLLANTS. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 22/08/2016 GRANTED FOUR WEEKS TIME TO WTM OF SEBI TO PASS ORDER. IF SEBI FAILED TO PASS ORDER AS DIRECTED BY THIS TRIBUNAL VIDE ITS ORDER DATED 15/07/2016 AND AS AMENDED BY THE PRESENT ORDER, BY 21/09/2016, THE ORIGINAL INTERIM ORDER CONTAINED IN THE IMPUGNED ORDER DATED 07/06/2016 AGAINST THE APPELLANTS WOULD STAND VACATED. NO COSTS
|
| 11 |
|
|
ANITHA YARLAGADDA
(PAN:ACAPY5774B)
|
|
|
MADE MISLEADING ANNOUNCEMENTS/ADVERTISEMENTS IN MATTER OF EXELON INFRASTRUCTURE LTD.
|
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 07-JUN-2016 TO 06-JUN-2019
07-JUN-2016
|
SEBI VIDE ITS ORDER DATED 21/09/2016 DIRECTED TO DEPOSIT (AS MENTIONED IN PARA 6.3.1 OF THE IMPUGNED ORDER DATED 07/06/2016) AND THE IMPOUNDING ORDER DATED 07/06/2016 WILL BE VACATED AFTER DEPOSITING THE AMOUNT
SEBI VIDE ITS ORDER DATED 24/04/2017 RESTRAINED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER, FOR A PERIOD OF 3 YEARS. FURTHER, DIRECTION OF IMPOUNDING OF ASSETS INCLUDING BANK ACCOUNTS / DEMAT ACCOUNTS / PROPERTIES CONTAINED IN ORDER DATED 07/06/2016 AND MODIFIED SUBSEQUENTLY VIDE ORDER DATED 21/09/2016 SHALL STAND REVOKED
|
| 12 |
|
|
ANJALI TUKARAM SOGAM
(PAN:CGNPS1443N)
|
|
|
MADE MISLEADING ANNOUNCEMENTS/ADVERTISEMENTS IN MATTER OF EXELON INFRASTRUCTURE LTD.
|
DIRECTED TO DISGORGE RS.23,27,126
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
07-JUN-2016
|
SEBI VIDE ITS ORDER DATED 21/09/2016 DIRECTED TO DEPOSIT (AS MENTIONED IN PARA 6.3.1 OF THE IMPUGNED ORDER DATED 07/06/2016) AND THE IMPOUNDING ORDER DATED 07/06/2016 WILL BE VACATED AFTER DEPOSITING THE AMOUNT
|
| 13 |
|
|
ANJANI SINHA
(PAN:AJJPS1231P)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 2(E) READ WITH 2(C) AND 2(H) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF MULTI COMMODITY EXCHANGE OF INDIA LTD.
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A (D) OF SEBI ACT, 1992 AND REGULATIONS 3(I) AND 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF MULTI COMMODITY EXCHANGE OF INDIA LTD.
|
DIRECTED TO DISGORGE RS.12,61,552
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
02-AUG-2017
|
SAT: SAT VIDE ITS ORDER DATED 18/08/2017 DISPOSED OFF THE APPEAL AS THE COUNSEL FOR SEBI, ON INSTRUCTION STATES THAT THE SEBI WOULD IMMEDIATELY DE-FREEZE THE BANK ACCOUNT, AS MENTIONED IN THE ORDER. FURTHER, DIRECTED SEBI TO PASS AN ORDER AFTER CONSIDERING THE OBJECTIONS, IF ANY, AS EXPEDITIOUSLY AS POSSIBLE AND IN ANY EVENT WITHIN A PERIOD OF THREE MONTHS FROM THE DATE OF RECEIVING THE OBJECTIONS FROM THE APPELLANT.NO COSTS
SEBI VIDE ITS ORDER DATED 05/01/2018 REVOKED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 02/08/2017
|
| 14 |
|
|
ANNAPURNA MATHKUR VENKATACHALAIAH
(PAN:AIMPA4343C)
|
|
|
|
SECURE SUCCESS PLAN PVT.LTD.
PAN:AAQCS5085E
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 25-APR-2018 TO 24-APR-2022
DIRECTED NOT TO DISPOSE OF, ALIENATE OR ENCUMBER ANY ASSETS / PROPERTIES
DIRECTED TO FURNISH BANK STATEMENTS OF SECURE SUCCESS PLAN, PRESENT ASSET UNDER MANAGEMENT, BREAK UP OF AUM UNDER VARIOUS ASSET CLASSES, CLIENTS AVAILING VARIOUS SCHEMES OFFERED BY THEM, SUCH AS NAME, JOINING DATE, NAME OF SCHEME, END DATE, KYC PARTICULARS ETC., CLIENT-WISE DETIALS OF FUND MOBILIZED TILL DATE
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-APR-2018 TO 24-APR-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-APR-2018 TO 24-APR-2022
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 25-APR-2018 TO 24-APR-2022
19-JAN-2017
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SEBI VIDE ITS ORDER DATED 25/04/2018 DIRECTED TO 1) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING THE MODALITIES FOR REFUND 2) REPAYMENT TO THE CLIENTS SHALL BE EFFECTED ONLY THROUGH BANK DEMAND DRAFT OR PAY ORDER 3) NOT TO DIVERT ANY FUNDS RAISED FROM INVESTORS, KEPT IN BANK ACCOUNTS AND/OR IN THEIR CUSTODY, EXCEPT FOR THE PURPOSE OF REFUNDS TO THE CLIENTS 4) CREDIT THE AMOUNT OF RS.4,00,600 AND RS.35,53,001 RESPECTIVELY TO THE ACCOUNT OF SECURE SUCCESS PLANT PVT.LTD. 5) BANK AND DEPOSITORIES NO DEBIT SHALL BE MADE, IN RESPECT OF THE BANK ACCOUNTS, HELD JOINTLY OR SEVERALLY, BY MR.SHREYAS MANJUNATH AND MS.ANNAPURNA MATHKUR VENKATACHALAIAH 6) PREVENTED FROM SELLING MUTUAL FUNDS/SHARES/SECURITIES/ HELD BY THEM IN DEMAT AND PHYSICAL FORM EXCEPT FOR THE SOLE PURPOSE OF MAKING THE REFUNDS AS DIRECTED AND DEPOSIT THE PROCEEDS IN AN ESCROW ACCOUNT OPENED WITH A NATIONALISED BANK 7) NOT TO DIRECTLY OR INDIRECTLY, ACCESS SECURITIES MARKET AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN WHATSOEVER MANNER FOR A PERIOD OF FOUR YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS 8) RESTRAINED FROM ASSOCIATING THEMSELVES WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC, OR ANY INTERMEDIARY REGISTERED WITH SEBI FOR A PERIOD OF FOUR YEARS FROM THE DATE OF COMPLETION OF REFUNDS TO INVESTORS 9) NOT TO UNDERTAKE, EITHER DIRECTLY OR INDIRECTLY, UNREGISTERED PORTFOLIO MANAGEMENT SERVICES OR ANY ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING A CERTIFICATE OF REGISTRATION FROM SEBI AFTER THE EXPIRY OF PERIOD OF DEBARMENT
SEBI VIDE ITS NOTICE DATED 29/08/2019 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
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| 15 |
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ARUN JAIN
(PAN:AAHPJ6020E)
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TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A (D) & (E) OF SEBI ACT, 1992 AND REGULATIONS 3 AND 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF POLARIS SOFTWARE LAB LTD.
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DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED TO DISGORGE RS.1,84,68,558
24-NOV-2015
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SEBI VIDE ITS ORDER DATED 23/03/2018 REVOKED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 24/11/2015
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| 16 |
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ARVIND SHUKLA
(PAN:ISZPS7481G)
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AIDED AND ABETTED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SVARNIM TRADE UDYOG LTD.
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RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 22-MAY-2024 TO 21-MAY-2026
DIRECTED TO OPEN ESCROW ACCOUNT WITH A NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT TO BE PROCEEDS GENERATED FROM FRONT RUNNING TRADES WITHOUT PERMISSION FROM SEBI
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED DEPOSITORIES THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
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
31-JAN-2023
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SEBI VIDE ITS ORDER DATED 31/05/2024 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER FOR TWO YEARS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 24/10/2024 GRANTED SIX WEEKS TO FILE REPLY
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| 17 |
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ASHA SHREEKANT JAVALGEKAR
(PAN:ABRPJ2888H)
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TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 2(E) READ WITH 2(C) AND 2(H) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF MULTI COMMODITY EXCHANGE OF INDIA LTD.
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A (D) OF SEBI ACT, 1992 AND REGULATIONS 3(I) AND 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF MULTI COMMODITY EXCHANGE OF INDIA LTD.
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DIRECTED TO DISGORGE RS.1,89,055
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
02-AUG-2017
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SAT: SAT VIDE ITS ORDER DATED 16/08/2017 DISPOSED OFF THE APPEALS BY DIRECTING APPELLANTS TO MAKE A REPRESENTATION, IF ANY, WITHIN A PERIOD OF TWO WEEKS FROM THE DATE OF THIS ORDER. NO COSTS
SEBI VIDE ITS ORDER DATED 05/01/2018 REVOKED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 02/08/2017
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| 18 |
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ASHA SHREEKANT JAVALGEKAR
(PAN:ABRPJ2888H)
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TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 2(E) READ WITH 2(C) AND 2(H) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF 63 MOONS TECHNOLOGIES LTD. (ERSTWHILE FINANCIAL TECHNOLOGIES (INDIA) LTD.
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A (D) OF SEBI ACT, 1992 AND REGULATIONS 3(I) AND 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF 63 MOONS TECHNOLOGIES LTD. (ERSTWHILE FINANCIAL TECHNOLOGIES (INDIA) LTD.
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DIRECTED TO DISGORGE RS.4,41,650
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
02-AUG-2017
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SAT: SAT VIDE ITS ORDER DATED 16/08/2017 DISPOSED OFF THE APPEALS BY DIRECTING APPELLANTS TO MAKE A REPRESENTATION, IF ANY, WITHIN A PERIOD OF TWO WEEKS FROM THE DATE OF THIS ORDER. NO COSTS
SEBI VIDE ITS ORDER DATED 31/01/2018 REVOKED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 02/08/2017
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| 19 |
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ASHIK ALI KHWAJA
(PAN:ADMPA1271E)
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TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 2(E) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF PALRED TECHNOLOGIES LTD.
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(I) & 3(II) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PALRED TECHNOLOGIES LTD.
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DIRECTED TO DISGORGE RS.19,72,750
DIRECTED TO FREEZE ALL DEMAT ACCOUNTS WHEREIN EQUITY SHARES ALLOTTED UNDER PREFERENTIAL OFFER WERE LYING
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-AUG-2019 TO 12-AUG-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-AUG-2019 TO 12-AUG-2022
DIRECTED NOT TO ASSOCIATE WITH ANY LISTED COMPANY IN CAPACITY OF DIRECTOR OR OTHERWISE FROM 13-AUG-2019 TO 12-AUG-2022
04-FEB-2016
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SEBI VIDE ITS ORDER DATED 13/08/2019 ALLOWED TO WITHDRAW THE DIFFERENCE BETWEEN AMOUNT DEPOSITED IN ESCROW ACCOUNTS OPENED PURSUANT TO DIRECTIONS PASSED IN INTERIM ORDER DATED 04/02/2016 AND RECOMPUTED AMOUNT OF DISGORGEMENT
SAT: SAT VIDE ITS ORDER DATED 15/06/2022 DISMISSED THE APPEAL. NO COSTS
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| 20 |
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ASHISH PANALAL SHAH
(PAN:AJRPS7737C)
(Along with : VINOD VILAS SABLE,
PRIJESH ARUNKUMAR KURANI,
DHARINI PRIJESH KURANI)
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INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SVARNIM TRADE UDYOG LTD.
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RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 31-MAY-2024 TO 30-MAY-2029
DIRECTED TO OPEN ESCROW ACCOUNT WITH A NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT TO BE PROCEEDS GENERATED FROM FRONT RUNNING TRADES WITHOUT PERMISSION FROM SEBI
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED DEPOSITORIES THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
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 DISGORGE RS.40,42,064 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
31-JAN-2023
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SEBI VIDE ITS ORDER DATED 31/05/2024 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER FOR FIVE YEARS FROM DATE OF THIS ORDER B) DISGORGE RS.40,42,063.98 ALONG WITH SIMPLE INTEREST @ 12% P.A. CALCULATED FROM THE 2ND RECOMMENDATION DAY TILL DATE OF ACTUAL PAYMENT /IMPOUNDING C)AMOUNT TO BE REMITTED TO INVESTOR PROTECTION AND EDUCATION FUND (IPEF) WITHIN FORTY FIVE DAYS FROM DATE OF RECEIPT OF THIS 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. |
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