| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
AJAY SHEKHAR SHARMA
(PAN:BBJPS0729P)
|
|
|
|
ONE 97 COMMUNICATIONS LTD.
PAN:AAACO4007A
|
|
ALLEGED VIOLATION OF REGULATION REGULATION 2(1)(I)(III) OF SEBI (SBEB) REGULATIONS, 2021 IN MATTER OF EMPLOYEES STOCK OPTIONS (ESOPS) OF ONE97 COMMUNICATIONS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.57,11,425, DISGORGEMENT AMOUNT RS.35,86,452 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED TO CANCEL 2,22,862 ESOPS GRANTED/VESTED UPON BUT NOT EXERCISED)
REACHED SETTLEMENT (CONSENT ORDER) (DIRECTED TO DISGORGE)
08-MAY-2025
|
|
| 2 |
|
|
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 (CONSENT ORDER) (DIRECTED TO DISGORGE)
16-JAN-2025
|
|
| 3 |
|
|
ASHISH KELKAR
(PAN:ACAPK0708P)
|
|
|
ALLEGED PROVIDING NON-PUBLIC INFORMATION TO CERTAIN ENTITIES (PROFIT MAKERS) PRIOR TO BROADCASTING OF THEIR RECOMMENDATIONS
|
REACHED SETTLEMENT (CONSENT ORDER) (DIRECTED TO DISGORGE)
16-JAN-2025
|
|
| 4 |
|
|
ATISH SHAH
(PAN:AAKHV6605C)
|
|
|
ALLEGED ACTED AS AN INFORMATION CARRIER VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) READ WITH 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ADITYA BIRLA MUTUAL FUND
|
REACHED SETTLEMENT (CONSENT ORDER) (DIRECTED TO DISGORGE)
26-APR-2024
|
|
| 5 |
|
|
BENAIFER JIJINA
(PAN:AADPJ5472G)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) READ WITH SECTION 27 OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PIRAMAL ENTERPRISES LTD.
|
REACHED SETTLEMENT (CONSENT ORDER) (DIRECTED TO DISGORGE)
25-JUL-2024
|
|
| 6 |
|
|
BHAVIN PANKAJ DOSHI
(PAN:AFQPD4025D)
|
|
|
ALLEGED INDULGENCE IN FRONT RUNNING ACTIVITIES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) READ WITH 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ADITYA BIRLA MUTUAL FUND
|
REACHED SETTLEMENT (CONSENT ORDER) (DIRECTED TO DISGORGE)
26-APR-2024
|
|
| 7 |
|
|
KHUSHRU BURJOR JIJINA
(PAN:AADPJ5821D)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION AND COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) READ WITH SECTION 27 OF SEBI ACT, 1992 AND REGULATIONS 3(1) AND 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PIRAMAL ENTERPRISES LTD.
|
REACHED SETTLEMENT (CONSENT ORDER) (DIRECTED TO DISGORGE)
25-JUL-2024
|
|
| 8 |
|
|
KIRAN JADHAV
(PAN:ACBPJ4456A)
|
|
|
ALLEGED PROVIDING NON-PUBLIC INFORMATION TO CERTAIN ENTITIES (PROFIT MAKERS) PRIOR TO BROADCASTING OF THEIR RECOMMENDATIONS
|
REACHED SETTLEMENT (CONSENT ORDER) (DIRECTED TO DISGORGE)
16-JAN-2025
|
|
| 9 |
|
|
MUDIT GOYAL
(PAN:AMLPG9294K)
|
|
|
ALLEGED PROVIDING NON-PUBLIC INFORMATION TO CERTAIN ENTITIES (PROFIT MAKERS) PRIOR TO BROADCASTING OF THEIR RECOMMENDATIONS
|
REACHED SETTLEMENT (CONSENT ORDER) (DIRECTED TO DISGORGE)
16-JAN-2025
|
|
| 10 |
|
|
NIRMAL KUMAR SONI
(PAN:BCHPS4866G)
|
|
|
ALLEGEDLY INDULGENCE IN EXECUTION OF TRADES BASED ON ADVANCE INFORMATION OF STOCK RECOMMENDATIONS GIVEN BY GUEST EXPERTS
|
REACHED SETTLEMENT (CONSENT ORDER) (DIRECTED TO DISGORGE)
16-JAN-2025
|
|
| 11 |
|
|
NITESH KUMAR JAIN
(PAN:AFOPJ2850C)
|
|
|
ALLEGED ACTED AS A TIPPER VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) READ WITH 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ADITYA BIRLA MUTUAL FUND
|
REACHED SETTLEMENT (CONSENT ORDER) (DIRECTED TO DISGORGE)
26-APR-2024
|
|
| 12 |
|
|
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 (CONSENT ORDER) (DIRECTED TO DISGORGE)
16-JAN-2025
|
|
| 13 |
|
|
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 (CONSENT ORDER) (DIRECTED TO DISGORGE)
16-JAN-2025
|
|
| 14 |
|
|
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 (CONSENT ORDER) (DIRECTED TO DISGORGE)
16-JAN-2025
|
|
| 15 |
|
|
SIMI BHAUMIK
(PAN:AHPPB7419L)
|
|
|
ALLEGED PROVIDING NON-PUBLIC INFORMATION TO CERTAIN ENTITIES (PROFIT MAKERS) PRIOR TO BROADCASTING OF THEIR RECOMMENDATIONS
|
REACHED SETTLEMENT (CONSENT ORDER) (DIRECTED TO DISGORGE)
16-JAN-2025
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
