| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
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
|
| 2 |
|
|
AANCHAL JINDAL
(PAN:AIHPJ4158R)
|
|
|
DELAY IN DELIVERY OF SECURITIES WITHOUT GIVING ANY COGENT EXPLANATION OR REASON VIOLATING SECTIONS 13, 16 AND 18 OF SC(R)A READ WITH SEBI NOTIFICATION G.S.R.219(E) DATED 02/03/2000 & SEBI NOTIFICATION NO.LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2010 IN MATTER OF DELTA LEASING & FINANCE LTD.
|
IMPOSED PENALTY RS.1,00,000
29-JUL-2021
|
SEBI VIDE ITS NOTICE DATED 11/08/2022 DIRECTED TO PAY RS.1,15,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 22/11/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.5331 OF 2022 DATED 11/08/2022
|
| 3 |
|
|
ABHAY DATTATRAY JAVLEKAR
(PAN:ACVPJ4679B)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF INCAP FINANCIAL SERVICES LTD.
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 10 AND 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF INCAP FINANCIAL SERVICES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(1) AND 13(3) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF INCAP FINANCIAL SERVICES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, SELF-TRADES, REVERSAL OF TRADES AND OFF-MARKET TRANSACTIONS IN SCRIP OF INCAP FINANCIAL SERVICES LTD.
DID NOT SUBMIT DOCUMENTARY PROOF OF PAYMENT MADE OR RECEIPT OF CONSIDERATION BY COUNTERPARTY VIOLATING SECTION 16 OF SCRA, 1956 READ WITH SEBI NOTIFICATION NO.G.S.R.219 (E) DATED 02/03/2000 AND SECTIONS 13 AND 18 OF SCRA READ WITH SECTIONS 2(I) OF SCRA ACT, 1956 IN MATTER OF INCAP FINANCIAL SERVICES LTD.
|
IMPOSED PENALTY RS.18,50,000
20-APR-2020
|
SEBI VIDE ITS NOTICE DATED 08/06/2021 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1.ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) 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 10/05/2022 DIRECTED ALL THE BANKS TO REMIT RS.23,32,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.ABHAY DATTATRAY JAVLEKAR TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 4 |
|
|
ABHISHEK ASHOKA
(PAN:AEBPA9685A)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KALPA COMMERCIAL LTD.
TRANSFERRED AND RECEIVED SHARES IN OFF-MARKET TRANSACTIONS WITHOUT/PARTIAL CONSIDERATION VIOLATING SECTION 16 OF SCRA, 1956 READ WITH SEBI NOTIFICATION NO.G.S.R. 219(E) DATED 03/10/2013 AND SECTIONS 13 AND 18 OF SCRA, 1956 READ WITH SECTION 2(I) OF SEBI SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF KALPA COMMERCIAL LTD.
|
IMPOSED PENALTY RS.12,00,000
24-NOV-2021
|
SEBI VIDE ITS NOTICE DATED 12/07/2022 DIRECTED TO PAY RS.13,09,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 25/04/2023 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
|
| 5 |
|
|
ACHIN KUMAR ROY
(PAN:AACPR6406K)
|
|
|
|
LEEL ELECTRICALS LTD.
PAN:AAACL0484G
|
|
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF LEEL ELECTRICAL LTD.
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), 4(1)(E), 4(1)(G) TO 4(1)(J), 4(2)(F)(I)(2), 4(2)(F)(II)(2),(6)(7), 4(2)(F)(III)(7), 23(4) READ WITH 23(1) AND 33(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF LEEL ELECTRICAL LTD.
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING CLAUSE 41(1)(A) OF ERSTWHILE LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF LEEL ELECTRICAL LTD.
|
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 18-APR-2024 TO 17-APR-2027
IMPOSED PENALTY RS.2,00,00,000
18-APR-2024
|
SEBI VIDE ITS NOTICE DATED 23/07/2024 DIRECTED TO PAY RS.2,08,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 29/08/2024 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
|
| 6 |
|
|
ACHIN KUMAR ROY
(PAN:AACPR6406K)
|
|
|
|
LEEL ELECTRICALS LTD.
PAN:AAACL0484G
|
|
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF LEEL ELECTRICAL LTD.
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), 4(1)(E), 4(1)(G) TO 4(1)(J), 4(2)(F)(I)(2), 4(2)(F)(II)(2),(6)(7), 4(2)(F)(III)(7), 23(4) READ WITH 23(1) AND 33(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF LEEL ELECTRICAL LTD.
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING CLAUSE 41(1)(A) OF ERSTWHILE LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF LEEL ELECTRICAL LTD.
|
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 18-APR-2024 TO 17-APR-2029
18-APR-2024
|
SAT: SAT VIDE ITS ORDER DATED 26/09/2024 GRANTED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 08/10/2024 CONDONED THE DELAY OF 100 DAYS IN FILING OF APPEAL. GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER. NO RECOVERY OF PENALTY AMOUNT SUBJECT TO DEPOSIT OF RS.3 LAC WITH SEBI WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 7 |
|
|
AJAY SHAH
(PAN:AAPPS2553M)
|
|
|
|
NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE
PAN:AAACN1797L
|
|
MISUSED CONFIDENTIAL DATA VIOLATING CODE OF CONDUCT FOR OFFICE BEARERS OF THE STOCK EXCHANGE AND PROVISIONS RELATED TO FAIRNESS & TRANSPARENCY, DUE DILIGENCE AND CONFLICT OF INTEREST AS SPECIFIED IN MASTER CIRCULAR NO.CIR/MRD/DSA/SE/43/2010 OF 31/12/ 2010 READ WITH SECTION 3(2)(B) OF SCRA, 1956 IN MATTER OF NSE CO-LOCATION AND CORPORATE GOVERNANCE
INDULGED IN FRAUDULENTLY UTILIZE CONFIDENTIAL AND SENSITIVE DATA OF NSE FOR THE PURPOSE OF DEVELOPING ALGORITHMIC TRADING SOFTWARE AND SALE OF SAME TO MARKET PARTICIPANTS TO DEAL IN SECURITIES MARKET VIOLATING SECTIONS 12A(B) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(C) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF NSE CO-LOCATION AND CORPORATE GOVERNANCE
|
IMPOSED PENALTY RS.3,00,00,000
30-JUN-2022
|
SAT: SAT VIDE ITS ORDER DATED 11/08/2022 RESPONDENT FILE REPLIES IN ALL APPEALS AND REJOINDER FILE WITHIN THREE WEEKS FROM DATE OF THIS ORDER. DIRECTED AO PURSUANT TO THE IMPUGNED ORDER SHALL REMAIN STAYED DURING THE PENDENCY OF THE APPEAL.
|
| 8 |
|
|
AKSHAT ASHOK GUPTA
(PAN:AMYPG2411K)
|
|
|
ENTERED INTO SPOT DELIVERY CONTRACTS WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION VIOLATING SECTION 2(I) READ WITH SECTIONS 13, 16 AND 18 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF SVC RESOURCES LTD.
|
IMPOSED PENALTY RS.5,00,000
31-JUL-2018
|
SEBI VIDE ITS NOTICE DATED 10/07/2019 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 13/08/2020 DIRECTED ALL THE BANKS TO REMIT RS.4,98,847.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.AKSHAT ASHOK GUPTA TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 9 |
|
|
ALPA HAREN SHAH
|
|
|
SOLD SHARES IN SPOT DELIVERY CONTRACT WITHOUT RECEIVING PAYMENT VIOLATING SECTION 2(I) (A) READ WITH SECTION 13 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF ALPHA HI TECH FUEL LTD.
|
IMPOSED PENALTY RS.5,00,000
23-OCT-2009
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
|
| 10 |
|
|
AMIT MAHESH BHATT
(PAN:AJTPB7179F)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SMALL TRADES IN SCRIP OF WISEC GLOBAL LTD.
EXECUTED OFF-MARKET TRANSACTION OF SHARES WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION VIOLATING SECTION 2(I) OF SCRA, 1956 READ WITH SECTIONS 13, 16 AND 18 OF SCRA, 1956 AND READ WITH SEBI NOTIFICATION NO.LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013 IN MATTER OF WISEC GLOBAL LTD.
|
IMPOSED PENALTY RS.11,00,000
30-JUN-2022
|
SAT: SAT VIDE ITS ORDER DATED 12/10/2022 CONDONED THE DELAY IN FLING OF APPEAL. IN THE MEANWHILE, RESPONDENT MAY FILE REPLY WITHIN THREE WEEKS AND REJOINDER ON OR BEFORE NEXT DATE AND APPELLANT TO DEPOSITS RS.6 LAC WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 15/12/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 11 |
|
|
AMOD KRISHNA
(PAN:ADBPP4227G)
|
|
|
TRANSFERRED AND RECEIVED SHARES IN OFF-MARKET TRANSACTIONS WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION VIOLATING SECTION 2(I) OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 AND SEBI NOTIFICATION S.O.184(E) DATED 01/03/2000 READ WITH SECTIONS 16, 13 AND 10 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF DELTA LEASING & FINANCE LTD.
|
IMPOSED PENALTY RS.10,000
31-AUG-2021
|
|
| 12 |
|
|
AMUL GAGABHAI DESAI
(PAN:AHDPD3526G)
|
|
|
TRANSFERRED AND RECEIVED SHARES IN OFF-MARKET TRANSACTIONS WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION VIOLATING SECTION 2(I) READ WITH SECTIONS 13, 16 AND 18 OF SCRA, 1956 READ WITH SEBI NOTIFICATION NO.LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013 IN MATTER OF TIMBOR HOME LTD.
DID NOT ADHERE TO SUMMONS ISSUED BY INVESTIGATION AUTHORITY IN MATTER OF TIMBOR HOME LTD.
|
IMPOSED PENALTY RS.2,30,000
06-JUL-2021
|
SAT: SAT VIDE ITS ORDER DATED 04/02/2022 CONDONED THE DELAY IN FILING OF THE APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SEBI VIDE ITS NOTICE DATED 13/04/2022 DIRECTED TO PAY RS.2,52,248.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 13 |
|
|
ANAND KALU RAPU MARATHE
(PAN:AKWPM0699M)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF INDO PACIFIC SOFTWARE & ENTERTAINMENT LTD.
ENTERED INTO OFF-MARKET TRANSACTIONS WHICH WERE NOT IN THE NATURE OF SPOT DELIVERY CONTRACTS VIOLATING SECTIONS 13 AND 18 READ WITH SECTION 2(I) OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN SCRIP OF INDO PACIFIC SOFTWARE & ENTERTAINMENT LTD.
|
IMPOSED PENALTY RS.3,75,000
29-FEB-2012
|
|
| 14 |
|
|
ANAND SUBRAMANIAN
(PAN:AARPA8290K)
|
|
|
|
NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE
PAN:AAACN1797L
|
|
MADE INCORRECT AND MISLEADING STATEMENT TO SEBI ON HIS APPOINTMENT AND SELECTION IN NSE VIOLATING SECTION 6(4) OF SCRA, 1956
|
RESTRAINED FROM ASSOCIATING WITH ANY MARKET INFRASTRUCTURE INSTITUTION OR ANY INTERMEDIARY REGISTERED WITH SEBI
IMPOSED PENALTY RS.2,00,00,000
11-FEB-2022
|
SEBI VIDE ITS NOTICE DATED 26/04/2022 DIRECTED TO PAY A RS.2,04,87,575.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 11/05/2022 CONDONED THE DELAY IN FILING OF APPEAL. IN THE MEANWHILE, RESPONDENT MAY FILE REPLY WITHIN THREE WEEKS AND APPELLANT MAY FILE REJOINDER ON OR BEFORE NEXT DATE. DIRECTED APPELLANT TO DEPOSIT RS.60 LAC WITHIN FOUR WEEKS FROM DATE OF THIS ORDER. IF AMOUNT DEPOSITED THE BALANCE AMOUNT SHALL NOT BE RECOVERED DURING PENDENCY OF APPEAL AND DEPOSIT AMOUNT SHALL BE KEPT IN INTEREST BEARING ACCOUNT
|
| 15 |
|
|
ANANT SURESHCHANDRA MALOO
(PAN:ACSPM2958D)
|
|
|
|
MALOO BUILDING MATERIALS PVT.LTD.
PAN:AABCM0619D
|
|
TRANSFERRED AND RECEIVED SHARES IN OFF-MARKET TRANSACTIONS WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION VIOLATING SECTION 2(I) READ WITH SECTIONS 13, 16 AND 18 OF SCRA, 1956 READ WITH SEBI NOTIFICATION NO.LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013 IN MATTER OF TIMBOR HOME LTD.
|
IMPOSED PENALTY RS.1,30,000
06-JUL-2021
|
SAT: SAT VIDE ITS ORDER DATED 04/02/2022 CONDONED THE DELAY IN FILING OF THE APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTERA
SEBI VIDE ITS NOTICE DATED 13/04/2022 DIRECTED TO PAY RS.1,43,010.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 16 |
|
|
ANGURI DEVI GARG
(PAN:ABQPG5315F)
|
|
|
EXECUTED OFF-MARKET TRANSACTION OF SHARES WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION VIOLATING SECTION 2(I)(A) OF SCRA, 1956 READ WITH SECTIONS 13, 16 AND 18 OF SCRA, 1956 AND SEBI NOTIFICATION NO.LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013 IN MATTER OF VIKAS PROPPANT & GRANITE LTD.
|
IMPOSED PENALTY RS.1,00,000
20-MAR-2024
|
|
| 17 |
|
|
ANIL BAGARIA
(PAN:AGJPB7753L)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF ROCKON FINTECH LTD.
INDULGED IN CREATION OF REVERSAL OF TRADE TRANSACTIONS AND OFF-MARKET TRANSFERS WITHOUT ANY CONSIDERATION IN MATTER OF ROCKON FINTECH LTD.
|
IMPOSED PENALTY RS.2,00,000
11-MAY-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 07/11/2019 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1. ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) 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
|
| 18 |
|
|
ANIL BANSAL
(PAN:AAOPB5907B)
|
|
|
TRANSFERRED AND RECEIVED SHARES IN OFF-MARKET TRANSACTIONS WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION VIOLATING SECTION 2(I) OF SEBI SCRA ACT, 1956 READ WITH SECTIONS 13, 16 AND 18 OF SEBI SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF YAMINI INVESTMENT CO.LTD.
|
IMPOSED PENALTY RS.2,00,000
20-SEP-2021
|
SEBI VIDE ITS NOTICE DATED 25/01/2022 DIRECTED TO PAY RS.2,09,351.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 25/04/2023 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
|
| 19 |
|
|
ANIL KUMAR BAGRI
(PAN:ADPPB7746L)
|
|
|
|
OASIS SECURITIES LTD.
PAN:AAACO0091J
|
|
MISREPRESENTATED CASH FLOW STATEMENT VIOLATING ACCOUNTING STANDARD 3 ISSUED BY ICAI WHICH RESULTED IN NON-COMPLIANCE OF CLAUSE 50 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
DID NOT MAKE DISCLOSURE OF MATERIAL EVENTS TO STOCK EXCHANGE VIOLATING CLAUSE 36 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
DID NOT EXPLAIN DIFFERENCE BETWEEN QUARTERLY RESULTS AND ANNUAL RESULTS IN SALES/INCOME FIGURES TO STOCK EXCHANGES VIOLATING CLAUSE 41 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.3,00,000
25-JUN-2018
|
SEBI VIDE ITS NOTICE DATED 24/01/2020 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1. ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) 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 27/01/2020 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL AND MUTUAL FUNDS 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 24/01/2020
|
| 20 |
|
|
ANIL KUMAR DUBEY
(PAN:AIBPD9829P)
|
|
|
DID NOT DISCLOSE ACTUAL SHAREHOLDING PATTERN TO STOCK EXCHANGES VIOLATING SECTION 21 OF SCRA, 1956
ACTED IN CONCERT WITH PROMOTERS OF JAY BHARAT TEXTILE & REAL ESTATE LTD.FOR THE PURPOSE OF ACQUISITION OF SHARES/VOTING RIGHTS INDIRECTLY FOR PROMOTERS FOR THE PURPOSE OF CONCEALMENT OF THEIR ACQUISITION OF SHARES VIOLATING REGULATIONS 7 AND 8 SEBI TAKEOVER CODE, 1997
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 10 AND 11 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF JAY BHARAT TEXTILE & REAL ESTATE LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF JAY BHARAT TEXTILE & REAL ESTATE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-MAR-2010 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES OF PROMOTERS/PERSONS ACTING IN CONCERT/DIRECTORS/CLIENTS IN DEFAULT FROM 12-MAR-2010 TILL FURTHER ORDERS
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
DIRECTED REGISTRAR & TRANSFER AGENT NOT TO GIVE EFFECT TRANSFER OF SHARES FROM 12-MAR-2010 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES TO KEEP A WATCH AND REPORT SUSPICIOUS ACTIVITIES TO SEBI
12-MAR-2010
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 1 of 16
|
