| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ARNAV KUMAR MAZUMDER
|
|
|
DIVERTED FUNDS IN VIOLATION OF ATTACHMENT DIRECTIVES/INSTRUCTIONS/GUIDELINES OF SEBI AND HON’BLE SUPREME COURT’S ORDER
|
DIRECTED TO ATTACH BANK ACCOUNTS
14-SEP-2017
|
SEBI VIDE ITS ORDER DATED 14/09/2017 DIRECTED THAT IN COMPLIANCE OF THE HON’BLE SUPREME COURT ORDER DATED 25/07/2016, ATTACHMENT PROCEEDINGS IN RESPECT OF ENTITIES TO THE EXTENT OF THE FUNDS TRANSFERRED BY NIRMAL CHHAYA INSURANCE SERVICES LTD., PEARLS INFRASTRUCTURE PROJECTS LTD., PEARLS TOURISM LTD. AND LAKSHMI SMOU LTD. SHALL REMAIN IN FORCE
|
| 2 |
|
|
DUSHYANT NATWARLAL DALAL
(PAN:AAAPD5859Q)
|
|
|
|
EXCELL MULTITECH LTD.
|
|
|
KARVY STOCK BROKING LTD.
PAN:AABCK5190K
(Depository Participants : CDSL)
|
|
|
KARVY STOCK BROKING LTD.
PAN:AABCK5190K
(Depository Participants : NSDL)
|
|
|
SEER FINLEASE PVT.LTD.
|
|
|
SUJAL LEASING & FINANCE PVT.LTD.
|
|
|
TAURAS INFOSYS LTD.
|
|
|
ZENET SOFTWARE LTD.
PAN:AAACZ0978K
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
REFERRED THE MATTER TO "INSTITUTE OF CHARTERED ACCOUNTANTS OF INDIA" FOR NECESSARY ACTIONS
DIRECTED TO ATTACH BANK ACCOUNTS
27-APR-2006
D TO DISGORGE RS.6,00,31,137 ALONG WITH OTHER ENTITIES/PERSONS
21-JUL-2009~
|
CONFIRMED ORDER DATED 27/04/2006. AS RASILA NATWARLAL THAKORDAS AND NATWARLAL THAKORDAS EXPIRED, THEIR DEMAT A/C JOINTLY WITH DUSHYANT NATWARLAL DALAL WOULD FROZEN TILL THE PASSING OF FINAL ORDER
DIRECTED A) NOT TO BUY, SELL OR DEAL IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OR ACCESS SECURITES MARKET DIRECTLY OR INDIRECTLY FOR A PERIOD OF 45 DAYS FROM DATE OF ORDER I.E. 21/07/2009 B) TO DISGORGE UNLAWFUL GAIN OF RS. 4.05 CRORE ALONGWITH RS.1.95 CRORE BEING SIMPLE INTEREST AT THE RATE OF 12% PER ANNUM FOR 4 YEARS (2005-09) ON UNLAWFUL GAIN OF RS.4.05 CRORE WITHIN 45 DAYS FROM DATE OF THIS ORDER C) IN CASE AFORESAID AMOUNT IS NOT PAID WITHIN SPECIFIED TIME, SHALL BE RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OR ACCESSING SECURITIES MARKET, DIRECTLY OR INDIRECTLY, FOR A FURTHER PERIOD OF SEVEN YEARS, WITHOUT PREJUDICE TO SEBI’S RIGHT TO ENFORCE DISGORGEMENT
|
| 3 |
|
|
MRITYUNJAY PRASAD ROY
|
|
|
DIVERTED FUNDS IN VIOLATION OF ATTACHMENT DIRECTIVES/INSTRUCTIONS/GUIDELINES OF SEBI AND HON’BLE SUPREME COURT’S ORDER
|
DIRECTED TO ATTACH BANK ACCOUNTS
14-SEP-2017
|
SEBI VIDE ITS ORDER DATED 14/09/2017 DIRECTED THAT IN COMPLIANCE OF THE HON’BLE SUPREME COURT ORDER DATED 25/07/2016, ATTACHMENT PROCEEDINGS IN RESPECT OF ENTITIES TO THE EXTENT OF THE FUNDS TRANSFERRED BY NIRMAL CHHAYA INSURANCE SERVICES LTD., PEARLS INFRASTRUCTURE PROJECTS LTD., PEARLS TOURISM LTD. AND LAKSHMI SMOU LTD. SHALL REMAIN IN FORCE
|
| 4 |
|
|
PAVITRA SHRIGYAN
|
|
|
DIVERTED FUNDS IN VIOLATION OF ATTACHMENT DIRECTIVES/INSTRUCTIONS/GUIDELINES OF SEBI AND HON’BLE SUPREME COURT’S ORDER
|
DIRECTED TO ATTACH BANK ACCOUNTS
14-SEP-2017
|
SEBI VIDE ITS ORDER DATED 14/09/2017 DIRECTED THAT IN COMPLIANCE OF THE HON’BLE SUPREME COURT ORDER DATED 25/07/2016, ATTACHMENT PROCEEDINGS IN RESPECT OF ENTITIES TO THE EXTENT OF THE FUNDS TRANSFERRED BY NIRMAL CHHAYA INSURANCE SERVICES LTD., PEARLS INFRASTRUCTURE PROJECTS LTD., PEARLS TOURISM LTD. AND LAKSHMI SMOU LTD. SHALL REMAIN IN FORCE
|
| 5 |
|
|
PULOMA DUSHYANT DALAL
(PAN:AAEPD2909B)
|
|
|
|
EXCELL MULTITECH LTD.
|
|
|
KARVY STOCK BROKING LTD.
PAN:AABCK5190K
(Depository Participants : CDSL)
|
|
|
KARVY STOCK BROKING LTD.
PAN:AABCK5190K
(Depository Participants : NSDL)
|
|
|
TAURAS INFOSYS LTD.
|
|
|
ZENET SOFTWARE LTD.
PAN:AAACZ0978K
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED TO ATTACH BANK ACCOUNTS
27-APR-2006
D TO DISGORGE RS.6,00,31,137 ALONG WITH OTHER ENTITIES/PERSONS
21-JUL-2009~
|
CONFIRMED ORDER DATED 27/04/2006. AS APPLICANT RASILA NATWARLAL THAKORDAS AND NATWARLAL THAKORDAS EXPIRED, THEIR DEMAT A/C JOINTLY WITH DUSHYANT NATWARLAL DALAL WOULD FROZEN TILL THE PASSING OF FINAL ORDER
DIRECTED A) NOT TO BUY, SELL OR DEAL IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OR ACCESS SECURITES MARKET DIRECTLY OR INDIRECTLY FOR A PERIOD OF 45 DAYS FROM DATE OF ORDER I.E. 21/07/2009 B) TO DISGORGE UNLAWFUL GAIN OF RS. 4.05 CRORE ALONGWITH RS.1.95 CRORE BEING SIMPLE INTEREST AT THE RATE OF 12% PER ANNUM FOR 4 YEARS (2005-09) ON UNLAWFUL GAIN OF RS.4.05 CRORE WITHIN 45 DAYS FROM DATE OF THIS ORDER C) IN CASE AFORESAID AMOUNT IS NOT PAID WITHIN SPECIFIED TIME, SHALL BE RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OR ACCESSING SECURITIES MARKET, DIRECTLY OR INDIRECTLY, FOR A FURTHER PERIOD OF SEVEN YEARS, WITHOUT PREJUDICE TO SEBI’S RIGHT TO ENFORCE DISGORGEMENT
|
| 6 |
|
|
RASHMI GARG
|
|
|
DIVERTED FUNDS IN VIOLATION OF ATTACHMENT DIRECTIVES/INSTRUCTIONS/GUIDELINES OF SEBI AND HON’BLE SUPREME COURT’S ORDER
|
DIRECTED TO ATTACH BANK ACCOUNTS
18-AUG-2017
|
SEBI VIDE ITS ORDER DATED 18/08/2017 DISALLOWED THE CLAIMS/OBJECTIONS OF THE TRANSFEREES ON ATTACHMENT TO THEIR BANK ACCOUNTS VIDE NOTICES DATED 13/01/2017. COMPLIANCE OF THE HON’BLE SUPREME COURT ORDER DATED 25/07/2016 THE ATTACHMENT PROCEEDINGS IN RESPECT OF BANK ACCOUNTS OF MS.UPMA GARG AND MS.RASHMI GARG TO THE EXTENT OF RS.3 CRORES AS TRANSFERRED BY PEARLS INFRASTRUCTURE PROJECTS LTD., SHALL REMAIN IN FORCE
|
| 7 |
|
|
UPMA GARG
|
|
|
DIVERTED FUNDS IN VIOLATION OF ATTACHMENT DIRECTIVES/INSTRUCTIONS/GUIDELINES OF SEBI AND HON’BLE SUPREME COURT’S ORDER
|
DIRECTED TO ATTACH BANK ACCOUNTS
18-AUG-2017
|
SEBI VIDE ITS ORDER DATED 18/08/2017 DISALLOWED THE CLAIMS/OBJECTIONS OF THE TRANSFEREES ON ATTACHMENT TO THEIR BANK ACCOUNTS VIDE NOTICES DATED 13/01/2017. COMPLIANCE OF THE HON’BLE SUPREME COURT ORDER DATED 25/07/2016 THE ATTACHMENT PROCEEDINGS IN RESPECT OF BANK ACCOUNTS OF MS.UPMA GARG AND MS.RASHMI GARG TO THE EXTENT OF RS.3 CRORES AS TRANSFERRED BY PEARLS INFRASTRUCTURE PROJECTS LTD., SHALL REMAIN IN FORCE
|
| 8 |
|
|
VIPIN SHUKLA
|
|
|
DIVERTED FUNDS IN VIOLATION OF ATTACHMENT DIRECTIVES/INSTRUCTIONS/GUIDELINES OF SEBI AND HON’BLE SUPREME COURT’S ORDER
|
DIRECTED TO ATTACH BANK ACCOUNTS
14-SEP-2017
|
SEBI VIDE ITS ORDER DATED 14/09/2017 DIRECTED THAT IN COMPLIANCE OF THE HON’BLE SUPREME COURT ORDER DATED 25/07/2016, ATTACHMENT PROCEEDINGS IN RESPECT OF ENTITIES TO THE EXTENT OF THE FUNDS TRANSFERRED BY NIRMAL CHHAYA INSURANCE SERVICES LTD., PEARLS INFRASTRUCTURE PROJECTS LTD., PEARLS TOURISM LTD. AND LAKSHMI SMOU LTD. SHALL REMAIN IN FORCE
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
