| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
A.BALAKRISHNAN
|
|
|
|
MBA STRATEGIC CONSULTING PVT.LTD.
|
|
INDULGED IN IRREGULAR TRANSACTIONS IN SCRIP OF ENCLOTEK READY PANEL LTD.
|
IMPOSED PENALTY RS.1,00,000
09-APR-2001
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 2 |
|
|
A.K.JINDAL
|
|
|
|
MANU FINLEASE LTD.
|
|
MANIPULATED MARKET PRICE IN SCRIP OF MANU FINLEASE LTD.
INDUCED SALE AND PURCHASE OF SHARES OF MANU FINLEASE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-NOV-2002 TO 28-NOV-2007
29-NOV-2002
|
SAT: APPEAL DISMISSED
|
| 3 |
|
|
A.K.ZAVERI
(PAN:AALFA3878M)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,20,000 VIDE CONSENT ORDER)
19-AUG-2024
|
|
| 4 |
|
|
A.N.SEHGAL
|
|
|
|
BESTA VISION ELECTRONIC LTD.
CIN:L32101DL1985PLC021653
PAN:AAACB1060A
|
|
MANIPULATED PRICE IN SCRIP OF BESTAVISION ELECTRONICS LTD. BY CORNERING SHARES THROUGH ASSOCIATE CONCERNS
DID NOT MAKE PUBLIC ANNOUNCEMENT IN MATTER OF BESTAVISION ELECTRONICS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-NOV-2002 TO 28-NOV-2007
29-NOV-2002
|
|
| 5 |
|
|
A.RAKESH
|
|
|
|
MARUTI SECURITIES LTD.
PAN:AABCM3651M
|
|
ACTED IN CONCERT TO CREATE ARTIFICIAL MARKET AND PRICE MANIPULATION BY MATCHED/REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF AFTEK INFOSYS LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
17-MAY-2006
|
|
| 6 |
|
|
A.SUBBA RAO
|
|
|
|
HOFFLAND FINANCE LTD.
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH DEALINGS IN SHARES OF PROMOTER’S QUOTA OF JVG FINANCE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-FEB-2010 TO 18-FEB-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-FEB-2010 TO 18-FEB-2012
19-FEB-2010
|
|
| 7 |
|
|
A.V.VISWANADHAN
|
|
|
ALLEGED INDULGENCE IN NON-GENUINE TRANSACTIONS IN SCRIP OF GEOJIT SECURITIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
25-MAR-2010
|
|
| 8 |
|
|
AACHAL CHAND BALAR
(PAN:ABAPB8617M)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH PREFERENTIAL ALLOTMENT OF EQUITY SHARES AT PREMIUM, ANNOUNCEMENT OF STOCK SPILT IN SCRIP OF RADFORD GLOBAL LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-DEC-2014 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-DEC-2014 TILL FURTHER ORDERS
19-DEC-2014
|
SEBI VIDE ITS ORDER DATED 26/08/2016 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 19/12/2014 EXCEPT THAT NOTICEES CAN: A) ENTER INTO DELIVERY BASED TRANSACTIONS IN CASH SEGMENT IN SECURITIES COVERED IN NSE NIFTY 500 INDEX SCRIPS AND / OR S&P BSE 500 SCRIPS B) SUBSCRIBE TO UNITS OF MUTUAL FUNDS INCLUDING THROUGH SIP AND REDEEM THE UNITS OF MUTUAL FUNDS SO SUBSCRIBED C) DEAL IN DEBT/GOVERNMENT SECURITIES D) INVEST IN ETF E) AVAIL THE BENEFITS OF CORPORATE ACTIONS LIKE RIGHTS ISSUE, BONUS ISSUE, STOCK SPLIT, DIVIDEND, ETC. F) TENDER THE SHARES LYING IN THEIR DEMAT ACCOUNT IN ANY OPEN OFFER/DELISTING OFFER UNDER THE RELEVANT REGULATIONS OF SEBI. SEBI ALLOWED THEM FURTHER RELAXATIONS/RELIEFS A) THEY ARE PERMITTED TO SELL THE SECURITIES LYING IN THEIR DEMAT ACCOUNTS AS ON THE DATE OF THE INTERIM ORDER, OTHER THAN THE SHARES OF THE COMPANIES WHICH ARE SUSPENDED FROM TRADING BY THE CONCERNED STOCK EXCHANGE, IN ORDERLY MANNER UNDER THE SUPERVISION OF THE STOCK EXCHANGES SO AS NOT TO DISTURB THE MARKET EQUILIBRIUM AND DEPOSIT THE SALE PROCEEDS IN INTEREST BEARING ESCROW ACCOUNT WITH A NATIONALIZED BANK B) THEY MAY DEAL WITH OR UTILIZE THE SALE PROCEEDS LYING IN THE ESCROW ACCOUNT UNDER THE SUPERVISION OF THE CONCERNED STOCK EXCHANGE
SEBI VIDE ITS ORDER DATED 20/09/2017 REVOKED ITS DIRECTIONS ISSUED VIDE ITS CONFIRMATORY ORDERS DATED 12/10/2015, 18/03/2016 AND 26/08/2016
|
| 9 |
|
|
AADITYA BANKA
(PAN:AMZPB5541L)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 10 |
|
|
AAHUTI RASIK MISTRY
(PAN:AKSPM8453F)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SADHNA BROADCAST LTD. USING MISLEADING YOUTUBE VIDEOS WITH FALSE CONTENT BACKED BY PAID MARKETING CAMPAIGN
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-MAR-2023 UNTIL FURTHER ORDERS
DIRECTED TO OPEN INTEREST BEARING ESCROW ACCOUNT WITH A SCHEDULED COMMERCIAL BANK AND DEPOSIT THE IMPOUNDED AMOUNT THEREIN IN THE MATTER OF 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 BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 02-MAR-2023 UNTIL FURTHER ORDERS
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
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT NOT TRANSFERRED SECURITIES HELD JOINTLY OR SEVERALLY
02-MAR-2023
|
SAT: SAT VIDE ITS ORDER DATED 17/03/2023 ALLOWED THE APPLICATION FOR EXEMPTION OF CERTIFIED COPY
SAT: SAT VIDE ITS ORDER DATED 27/03/2023 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 02/03/2023 AND RESTRAINED FROM DEALING IN SCRIP OF SADHNA BROADCAST LTD. DURING PENDENCY OF INVESTIGATION. DIRECTED SEBI TO COMPLETE INVESTIGATION WITHIN SIX MONTHS AND INITIATE APPROPRIATE PROCEEDINGS
|
| 11 |
|
|
AAHUTI RASIK MISTRY
(PAN:AKSPM8453F)
(Along with : MANISH MISHRA)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SADHNA BROADCAST LTD. USING MISLEADING YOUTUBE VIDEOS WITH FALSE CONTENT BACKED BY PAID MARKETING CAMPAIGN
|
DIRECTED TO DISGORGE RS.57,83,641 ALONG WITH OTHER ENTITIES/PERSONS
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 29-MAY-2025 TO 28-MAY-2030
IMPOSED PENALTY
29-MAY-2025
|
|
| 12 |
|
|
AAKANKSHA AGARWAL
(PAN:BGUPA5600F)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 13 |
|
|
AAKANSHA RAJENDRA SURANA
(PAN:BINPS1338B)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF GAYATRI SUGARS LTD.
|
IMPOSED PENALTY RS.5,00,000
31-MAY-2023
|
SAT: SAT VIDE ITS ORDER DATED 08/08/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER. STAYED PENALTY AMOUNT IMPOSED UPON THE APPELLANTS
SEBI VIDE ITS NOTICE DATED 21/08/2023 DIRECTED TO PAY RS.5,16,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 14 |
|
|
AAKASH BANSAL
(PAN:BNUPB9674H)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 15 |
|
|
AAKASH DILIP DOSHI
(PAN:AILPD8283D)
(Along with : BHAVIN ARVIND SHAH,
KEVIN KAPADIA,
HANIF KASAMBHAI SHEKH,
KASAMBHAI SHEKH,
HASINA KASAMBHAI SHEKH,
SHASHIKANT CHINUBHAI KAPADIA,
KRUTI KEVIN KAPADIA,
ARVIND SHANTILAL SHAH,
BHARATI ARVIND SHAH,
RAMNARESH DASHADEEN NIRMAL,
MEHUL HASMUKH SHAH,
DHAVANI JAYANTKUMAR SHAH,
BHASHIT DEEPAK SHAH,
YASH MANISH MEHTA,
ANKURKUMAR SURESHKUMAR MEHTA,
RUPAL BHAVIN SHAH,
VIDHI MEHUL SHAH,
HIMANSHU RAMNIKLAL SHAH,
RAJVI NARESH SHAH)
|
|
|
|
ECONO BROKING PVT.LTD.
PAN:AADCB8817A
|
|
|
ECONO TRADE (INDIA) LTD.
PAN:AAACE5451C
|
|
|
ROBERT RESOURCES LTD.
PAN:AAACR2073D
|
|
|
SAI METALTECH LLP
PAN:ADXFS9004L
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF DARJEELING ROPEWAY CO.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-JUN-2023 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-JUN-2023 TILL FURTHER ORDERS
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED 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 TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI
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 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
DIRECTED TO DISGORGE RS.10,39,71,344 ALONG WITH OTHER ENTITIES/PERSONS
19-JUN-2023
|
|
| 16 |
|
|
AAKASH JAIN
(PAN:APKPJ6117J)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 17 |
|
|
AAKASH PRAKASH SHAH
(PAN:BFCPS3505J)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
31-AUG-2021
|
SAT: SAT VIDE ITS ORDER DATED 29/11/2022 CONDONED THE DELAY IN FILING OF APPEAL AND DISPOSED OF THE APPEAL DIRECTING APPELLANT TO FILE APPROPRIATE APPLICATION FOR SETTLEMENT BEFORE THE AUTHORITY WITHIN TWO WEEKS FROM DATE OF THIS ORDER
|
| 18 |
|
|
AAKASH PRAKASH SHAH
(PAN:BFCPS3505J)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 19 |
|
|
AAKRITI AGARWAL
(PAN:BGUPA5797D)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 20 |
|
|
AALIYA SARESHWALA
|
|
|
|
PARSOLI CORP.LTD.
PAN:AABCP9030F
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF PARSOLI CORP.LTD.
ENTERED INTO OFF-MARKET TRANSACTIONS WHICH WERE NOT IN THE NATURE OF SPOT DELIVERY CONTRACTS VIOLATING SECTIONS 13 AND 16 READ WITH SECTION 18 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
IMPOSED PENALTY RS.3,00,000
01-MAR-2011
|
SAT: APPEAL DISMISSED
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 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 891
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