| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ANIL PATEL
(PAN:AAMPP3264F)
|
|
|
|
ADITYA INFO-SOFT LTD.
|
|
NOT AVAILABLE
|
SHOW CAUSE NOTICE ISSUED
13-AUG-2009
|
|
| 2 |
|
|
ANUP SAXENA
|
|
|
|
CAUVERY SOFTWARE ENGINEERING SYSTEMS LTD.
|
|
NOT AVAILABLE
|
IMPOSED PENALTY RS.15,00,000
07-OCT-2004
|
SEBI VIDE ITS NOTICE DATED 17/07/2014 DIRECTED ALL THE BANKS 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
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 3 |
|
|
ASHWANI KHERA
|
|
|
|
SG GLOBAL EXPORTS LTD.
PAN:AACCS4594E
|
|
NOT AVAILABLE
|
NOTICE ISSUED
12-JUL-2010
|
|
| 4 |
|
|
BHARAT KABRA
|
|
|
|
BOOM SECURITIES & LEASING LTD.
|
|
NOT AVAILABLE
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 5 |
|
|
D.P.SINGH
|
|
|
|
SG GLOBAL EXPORTS LTD.
PAN:AACCS4594E
|
|
NOT AVAILABLE
|
NOTICE ISSUED
12-JUL-2010
|
|
| 6 |
|
|
DWARKDAS B.NEGANDHI
|
|
|
|
CAUVERY SOFTWARE ENGINEERING SYSTEMS LTD.
|
|
NOT AVAILABLE
|
IMPOSED PENALTY RS.15,00,000
07-OCT-2004
|
SEBI VIDE ITS NOTICE DATED 17/07/2014 DIRECTED ALL THE BANKS 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
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 7 |
|
|
G.KRISHNA MOHAN
|
|
|
|
CONSORTEX KARL DOELITZSCH (INDIA) LTD.
CIN:L31909AP1984PLC004953
|
|
NOT AVAILABLE
|
NOTICE ISSUED
20-MAY-2010
|
|
| 8 |
|
|
HEMANT GOPAL
|
|
|
|
SG GLOBAL EXPORTS LTD.
PAN:AACCS4594E
|
|
NOT AVAILABLE
|
NOTICE ISSUED
12-JUL-2010
|
|
| 9 |
|
|
INDRAJIT SINGH KHANUJA
|
|
|
|
BOOM SECURITIES & LEASING LTD.
|
|
NOT AVAILABLE
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 10 |
|
|
JASMIN PATEL
|
|
|
|
ADITYA INFO-SOFT LTD.
|
|
NOT AVAILABLE
|
SHOW CAUSE NOTICE ISSUED
13-AUG-2009
|
|
| 11 |
|
|
M.SUDHAKAR RAO
|
|
|
|
CONSORTEX KARL DOELITZSCH (INDIA) LTD.
CIN:L31909AP1984PLC004953
|
|
NOT AVAILABLE
|
NOTICE ISSUED
20-MAY-2010
|
|
| 12 |
|
|
MAHAVIR JAIN
|
|
|
|
BOOM SECURITIES & LEASING LTD.
|
|
NOT AVAILABLE
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 13 |
|
|
MHRISHI KUMAR GUPTA
|
|
|
NOT AVAILABLE
|
SHOW CAUSE NOTICE ISSUED
13-AUG-2009
|
|
| 14 |
|
|
PRATIK RASIK DHRUV
(PAN:AFTPD6868F)
|
|
|
NOT AVAILABLE
|
IMPOSED PENALTY RS.3,00,000
27-SEP-2018
|
SEBI VIDE ITS NOTICE DATED 27/05/2019 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
SEBI VIDE ITS ORDER DATED 06/08/2021 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 27/05/2019
|
| 15 |
|
|
PULLA AMRESH KUMAR
(PAN:AFZPP9347P)
|
|
|
NOT AVAILABLE
|
DIRECTED TO DISGORGE RS.19,91,765
28-NOV-2022
|
SEBI VIDE ITS NOTICE DATED 29/03/2023 DIRECTED TO PAY RS.19,91,765.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 20/04/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 16 |
|
|
R.K.KAPUR
|
|
|
|
CAUVERY SOFTWARE ENGINEERING SYSTEMS LTD.
|
|
NOT AVAILABLE
|
IMPOSED PENALTY RS.15,00,000
07-OCT-2004
|
SEBI VIDE ITS NOTICE DATED 17/07/2014 DIRECTED ALL THE BANKS 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
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 17 |
|
|
RACHNA GUPTA
|
|
|
|
SG GLOBAL EXPORTS LTD.
PAN:AACCS4594E
|
|
NOT AVAILABLE
|
NOTICE ISSUED
12-JUL-2010
|
|
| 18 |
|
|
RAJESH SHARMA
|
|
|
NOT AVAILABLE
|
SHOW CAUSE NOTICE ISSUED
13-AUG-2009
|
|
| 19 |
|
|
RAMESH JINDAL
|
|
|
|
SG GLOBAL EXPORTS LTD.
PAN:AACCS4594E
|
|
NOT AVAILABLE
|
NOTICE ISSUED
12-JUL-2010
|
|
| 20 |
|
|
SURESH VALJIBHAI MAVANI
(PAN:AAKPM0160F)
|
|
|
NOT AVAILABLE
|
IMPOSED PENALTY RS.6,50,000
10-MAR-2011
|
SEBI VIDE ITS ORDER DATED 14/11/2014 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS 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
SEBI VIDE ITS ORDER DATED 24/04/2020 DIRECTED ALL THE BANKS TO REMIT RS.13,63,258.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.SURESH MADANI TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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