| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
AJAYKUMAR RAMAKANT SHARMA
(PAN:AZJPS8694Q)
|
|
|
ALLEGED AIDING AND ABETTING MR.NIRMAL KUMAR SONI TO EXECUTE TRADES IN HIS ACCOUNT AND IN THE ACCOUNTS OF SAAR COMMODITIES PVT.LTD., MANAN SHARECOM PVT.LTD. AND KANHYA TRADING CO.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.57,20,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES) FROM 16-JAN-2025 TO 15-JUL-2025
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 16-JAN-2025 TO 15-JUL-2025
16-JAN-2025
|
|
| 2 |
|
|
AMLA NARAIN
(PAN:ADIPN4051F)
|
|
|
ALLEGED TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3(I) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 READ WITH REGULATIONS 12(1) AND 12(2) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF CRISIL LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.80,78,197, DISGORGEMENT AMOUNT RS.30,14,217 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES) FROM 22-MAR-2019 TO 21-MAR-2020
22-MAR-2019
|
|
| 3 |
|
|
ASHISH KELKAR
(PAN:ACAPK0708P)
|
|
|
ALLEGED PROVIDING NON-PUBLIC INFORMATION TO CERTAIN ENTITIES (PROFIT MAKERS) PRIOR TO BROADCASTING OF THEIR RECOMMENDATIONS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.62,40,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES) FROM 16-JAN-2025 TO 15-JUL-2025
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 16-JAN-2025 TO 15-JUL-2025
16-JAN-2025
|
|
| 4 |
|
|
HARSHABEN SHAILESH JHAVERI
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET BY CIRCULAR AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF OASIS MEDIA MATRIX LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES) FROM 14-NOV-2008 TO 13-NOV-2010
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 14-NOV-2008 TO 13-NOV-2010
14-NOV-2008
|
|
| 5 |
|
|
KIRAN JADHAV
(PAN:ACBPJ4456A)
|
|
|
ALLEGED PROVIDING NON-PUBLIC INFORMATION TO CERTAIN ENTITIES (PROFIT MAKERS) PRIOR TO BROADCASTING OF THEIR RECOMMENDATIONS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.62,40,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES) FROM 16-JAN-2025 TO 15-JUL-2025
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 16-JAN-2025 TO 15-JUL-2025
16-JAN-2025
|
|
| 6 |
|
|
MUDIT GOYAL
(PAN:AMLPG9294K)
|
|
|
ALLEGED PROVIDING NON-PUBLIC INFORMATION TO CERTAIN ENTITIES (PROFIT MAKERS) PRIOR TO BROADCASTING OF THEIR RECOMMENDATIONS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.62,40,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES) FROM 16-JAN-2025 TO 15-JUL-2025
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 16-JAN-2025 TO 15-JUL-2025
16-JAN-2025
|
|
| 7 |
|
|
NIRMAL KUMAR SONI
(PAN:BCHPS4866G)
|
|
|
ALLEGEDLY INDULGENCE IN EXECUTION OF TRADES BASED ON ADVANCE INFORMATION OF STOCK RECOMMENDATIONS GIVEN BY GUEST EXPERTS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.62,40,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES) FROM 16-JAN-2025 TO 15-JUL-2025
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 16-JAN-2025 TO 15-JUL-2025
16-JAN-2025
|
|
| 8 |
|
|
NITIN CHHALANI
(PAN:CDLPC3829F)
|
|
|
ALLEGED AIDING AND ABETTING MR.NIRMAL KUMAR SONI TO EXECUTE TRADES IN HIS ACCOUNT AND IN THE ACCOUNTS OF SAAR COMMODITIES PVT.LTD., MANAN SHARECOM PVT.LTD. AND KANHYA TRADING CO.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.57,20,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES) FROM 16-JAN-2025 TO 15-JUL-2025
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 16-JAN-2025 TO 15-JUL-2025
16-JAN-2025
|
|
| 9 |
|
|
RAJAT NARAIN
(PAN:AHGPN3785N)
|
|
|
ALLEGED TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3(I) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 READ WITH REGULATIONS 12(1) AND 12(2) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF CRISIL LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.80,78,197, DISGORGEMENT AMOUNT RS.30,14,217 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES) FROM 22-MAR-2019 TO 21-MAR-2020
22-MAR-2019
|
|
| 10 |
|
|
RAMAWATAR LALCHAND CHOTIA
(PAN:ADIPC7123K)
|
|
|
ALLEGED AIDING AND ABETTING MR.NIRMAL KUMAR SONI TO EXECUTE TRADES IN HIS ACCOUNT AND IN THE ACCOUNTS OF SAAR COMMODITIES PVT.LTD., MANAN SHARECOM PVT.LTD. AND KANHYA TRADING CO.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.57,20,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES) FROM 16-JAN-2025 TO 15-JUL-2025
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 16-JAN-2025 TO 15-JUL-2025
16-JAN-2025
|
|
| 11 |
|
|
RUPESH KUMAR MATOLIYA
(PAN:AFRPM8024J)
|
|
|
ALLEGED AIDING AND ABETTING MR.NIRMAL KUMAR SONI TO EXECUTE TRADES IN HIS ACCOUNT AND IN THE ACCOUNTS OF SAAR COMMODITIES PVT.LTD., MANAN SHARECOM PVT.LTD. AND KANHYA TRADING CO.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.57,20,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES) FROM 16-JAN-2025 TO 15-JUL-2025
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 16-JAN-2025 TO 15-JUL-2025
16-JAN-2025
|
|
| 12 |
|
|
SANTOSH KUMAR JAIN
(PAN:ACQPJ7823E)
|
|
|
|
ATN INTERNATIONAL LTD.
CIN:L65993WB1983PLC080793
PAN:AACCA5744Q
|
|
|
SILICON VALLEY INFOTECH LTD.
CIN:L15311WB1993PLC061312
PAN:AABCP5702G
|
|
ALLEGED INDULGENCE IN OFF-LOADING OF SHARES WHILE IN POSSESSION OF PRICE SENSITIVE INFORMATION IN MATTER OF ATN INTERNATIONAL LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.20,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES) FROM 20-JUN-2011 TO 19-JUN-2013
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 20-JUN-2011 TO 19-JUN-2013
20-JUN-2011
|
|
| 13 |
|
|
SIMI BHAUMIK
(PAN:AHPPB7419L)
|
|
|
ALLEGED PROVIDING NON-PUBLIC INFORMATION TO CERTAIN ENTITIES (PROFIT MAKERS) PRIOR TO BROADCASTING OF THEIR RECOMMENDATIONS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.46,80,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES) FROM 16-JAN-2025 TO 15-JUL-2025
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 16-JAN-2025 TO 15-JUL-2025
16-JAN-2025
|
|
| 14 |
|
|
VINAY KABRA
|
|
|
|
VENKATESH SHARES INVESTMENT
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH FICTITIOUS AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF DOCTORS BIOTECH LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES) FROM 24-SEP-2010 TO 23-SEP-2011
24-SEP-2010
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
