| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
AJAY KUMAR SHARMA
(PAN:ANQPS0753F
DIN:02356951)
|
|
|
|
MORAL CAPITAL SERVICES LTD.
PAN:AAFCM3135Q
CIN:U67110UP2007PLC034163
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
ACTED AS DEPOSITORY PARTICIPANTS WITHOUT SEBI REGISTRATION
|
WARNED AND ADVISED TO REFRAIN FROM REPRESENTING AS SUB-BROKER OR PORTFOLIO MANAGER OR DEPOSITORY PARTICIPANT IN ANY MANNER WHATSOEVER AND NOT HOLD VALID CERTIFICATES OF REGISTRATION
31-OCT-2017
|
|
| 2 |
|
|
ANUPAMA S.MOTWANI
|
|
|
|
M’BELLE INTERNATIONAL PVT.LTD.
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
PROSECUTION LAUNCHED
31-MAR-2010
|
SAT: SAT VIDE ITS ORDER DATED 17/01/2018 CONDONED THE DELAY OF 603 DAYS IN FILING OF APPEAL. APPEAL DISPOSED OFF. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 12/12/2018 DISPOSED OFF MISC.APPLICATION. COUNSEL FOR SEBI SUBMITTED THAT RECOVERY OFFICER WILL PASS ORDER WITHIN 15 DAYS FROM DATE OF THIS ORDER. NO COSTS
|
| 3 |
|
|
ARUN KUMAR
(PAN:AGZPK5596J
DIN:02000610)
|
|
|
|
MORAL CAPITAL SERVICES LTD.
PAN:AAFCM3135Q
CIN:U67110UP2007PLC034163
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
ACTED AS DEPOSITORY PARTICIPANTS WITHOUT SEBI REGISTRATION
|
WARNED AND ADVISED TO REFRAIN FROM REPRESENTING AS SUB-BROKER OR PORTFOLIO MANAGER OR DEPOSITORY PARTICIPANT IN ANY MANNER WHATSOEVER AND NOT HOLD VALID CERTIFICATES OF REGISTRATION
31-OCT-2017
|
|
| 4 |
|
|
GOPU PARIMAL BELANI
|
|
|
|
M’BELLE INTERNATIONAL PVT.LTD.
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
PROSECUTION LAUNCHED
31-MAR-2010
|
|
| 5 |
|
|
GYANESHWAR SHARMA
(PAN:BQHPS9902F
DIN:01881854)
|
|
|
|
MORAL CAPITAL SERVICES LTD.
PAN:AAFCM3135Q
CIN:U67110UP2007PLC034163
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
ACTED AS DEPOSITORY PARTICIPANTS WITHOUT SEBI REGISTRATION
|
WARNED AND ADVISED TO REFRAIN FROM REPRESENTING AS SUB-BROKER OR PORTFOLIO MANAGER OR DEPOSITORY PARTICIPANT IN ANY MANNER WHATSOEVER AND NOT HOLD VALID CERTIFICATES OF REGISTRATION
31-OCT-2017
|
|
| 6 |
|
|
MANISH N.SHAH
|
|
|
|
MANYOG INVESTMENTS PVT.LTD.
|
|
AIDED AND ABETTED D.K.DALAL AND PROMOTERS OF NATURAL EXPO INDUSTRIES LTD. IN PRICE MANIPULATION IN SCRIP OF NATURAL EXPO INDUSTRIES LTD.
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-SEP-2003 TO 04-SEP-2008
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-SEP-2003 TO 04-SEP-2008
05-SEP-2003
SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
24-APR-2008~
|
SAT: IMPUGNED ORDER SET ASIDE AND INSTRUCTED SEBI TO ISSUE FRESH NOTICE AFTER INITIATING PROCEEDINGS
RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES IN ANY MANNER AND IN ANY CAPACITY FOR A PERIOD OF ONE YEAR (25/07/2007 TO 24/07/2008) IN THE MATTER OF M/S NATURAL EXPO AGRO INDUSTRIES LTD.
|
| 7 |
|
|
PARMANAND YADAV
(PAN:AIMPY3580D)
|
|
|
|
ROXTECH SECURITIES SERVICES
PAN:AIMPY3580D
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION
ISSUED FICTITIOUS CONTRACT NOTES
FALSIFIED/FABRICATED DOCUMENT TO GIVE IMPRESSION OF AUTHENTICITY ABOUT ITS TRANSACTIONS
DELAY IN TRANSFER OF SHARES TO TRANSFEREES SUBSEQUENT TO RECEIPT OF PAYMENT FROM TRANSFEREES VIOLATING SECTION 2(I)(A) OF SCRA, 1956 AND SECTIONS 13, 16 AND 18 OF SCRA, 1956 READ WITH SEBI NOTIFICATION G.S.R 219(E) DATED 02/03/2000 AND SEBI NOTIFICATION NO.LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013 IN MATTER OF DELTA LEASING AND FINANCE LTD.
DID NOT FURNISH REQUIRED INFORMATION IN RESPONSE TO SUMMONS ISSUED BY INVESTIGATION AUTHORITY IN MATTER OF DELTA LEASING AND FINANCE LTD.
STATED FALSE REASONS IN DELIVERY INSTRUCTION SLIP (DIS) FOR TRANSACTIONS AS LOAN OF SHARES, RETURN OF LOAN, BAD DELIVERY, RECTIFICATION OF BAD DELIVERY AND GIFT VIOLATING REGULATION 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DELTA LEASING AND FINANCE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JAN-2023 TO 30-APR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JAN-2023 TO 30-APR-2023
IMPOSED PENALTY RS.8,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JAN-2023
|
|
| 8 |
|
|
PRAVEEN GOYAL
(PAN:AQMPG2650C)
|
|
|
|
SHIVAM TRADING CO.
PAN:AQMPG2650C
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION
ISSUED FICTITIOUS CONTRACT NOTES
FALSIFIED/FABRICATED DOCUMENT TO GIVE IMPRESSION OF AUTHENTICITY ABOUT ITS TRANSACTIONS
DELAY IN TRANSFER OF SHARES TO TRANSFEREES SUBSEQUENT TO RECEIPT OF PAYMENT FROM TRANSFEREES VIOLATING SECTION 2(I)(A) OF SCRA, 1956 AND SECTIONS 13, 16 AND 18 OF SCRA, 1956 READ WITH SEBI NOTIFICATION G.S.R 219(E) DATED 02/03/2000 AND SEBI NOTIFICATION NO.LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013 IN MATTER OF DELTA LEASING AND FINANCE LTD.
DID NOT FURNISH REQUIRED INFORMATION IN RESPONSE TO SUMMONS ISSUED BY INVESTIGATION AUTHORITY IN MATTER OF DELTA LEASING AND FINANCE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JAN-2023 TO 30-APR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JAN-2023 TO 30-APR-2023
IMPOSED PENALTY RS.8,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JAN-2023
|
|
| 9 |
|
|
RITA K.MOTWANI
|
|
|
|
M’BELLE INTERNATIONAL PVT.LTD.
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
PROSECUTION LAUNCHED
31-MAR-2010
|
SAT: SAT VIDE ITS ORDER DATED 17/01/2018 CONDONED THE DELAY OF 603 DAYS IN FILING OF APPEAL. APPEAL DISPOSED OFF. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 12/12/2018 DISPOSED OFF MISC.APPLICATION. COUNSEL FOR SEBI SUBMITTED THAT RECOVERY OFFICER WILL PASS ORDER WITHIN 15 DAYS FROM DATE OF THIS ORDER. NO COSTS
|
| 10 |
|
|
SANJEEV KAPOOR
|
|
|
|
MAX PORTFOLIOS
|
|
SOLICITED INVESTMENTS FROM PUBLIC IN THE FORM OF LOANS, ASSURING HIGH MONTHLY INTEREST
CLAIMED TO HAVE ITS OWN NSE TERMINAL
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
HAD NO LEGAL ACCESS TO A TRADING TERMINAL OF ANY EXCHANGE
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-JAN-2004 TILL FURTHER ORDER
RESTRAINED FROM ACCEPTING LOANS/DEPOSITS FROM PUBLIC FOR SECURITIES MARKET FROM 02-JAN-2004 TILL FURTHER ORDER
02-JAN-2004
|
|
| 11 |
|
|
SANTOSH KUMAR
(PAN:AEKPK6751Q)
|
|
|
|
BALAJI ENTERPRISES
PAN:AEKPK6751Q
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION
ISSUED FICTITIOUS CONTRACT NOTES
FALSIFIED/FABRICATED DOCUMENT TO GIVE IMPRESSION OF AUTHENTICITY ABOUT ITS TRANSACTIONS
DELAY IN TRANSFER OF SHARES TO TRANSFEREES SUBSEQUENT TO RECEIPT OF PAYMENT FROM TRANSFEREES VIOLATING SECTION 2(I)(A) OF SCRA, 1956 AND SECTIONS 13, 16 AND 18 OF SCRA, 1956 READ WITH SEBI NOTIFICATION G.S.R 219(E) DATED 02/03/2000 AND SEBI NOTIFICATION NO.LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013 IN MATTER OF DELTA LEASING AND FINANCE LTD.
DID NOT FURNISH REQUIRED INFORMATION IN RESPONSE TO SUMMONS ISSUED BY INVESTIGATION AUTHORITY IN MATTER OF DELTA LEASING AND FINANCE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JAN-2023 TO 30-APR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JAN-2023 TO 30-APR-2023
IMPOSED PENALTY RS.10,50,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JAN-2023
|
|
| 12 |
|
|
SAPNA
(PAN:DRUPS8079D)
|
|
|
|
STALLION TRADING CO.
PAN:DRUPS8079D
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION
ISSUED FICTITIOUS CONTRACT NOTES
FALSIFIED/FABRICATED DOCUMENT TO GIVE IMPRESSION OF AUTHENTICITY ABOUT ITS TRANSACTIONS
DELAY IN TRANSFER OF SHARES TO TRANSFEREES SUBSEQUENT TO RECEIPT OF PAYMENT FROM TRANSFEREES VIOLATING SECTION 2(I)(A) OF SCRA, 1956 AND SECTIONS 13, 16 AND 18 OF SCRA, 1956 READ WITH SEBI NOTIFICATION G.S.R 219(E) DATED 02/03/2000 AND SEBI NOTIFICATION NO.LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013 IN MATTER OF DELTA LEASING AND FINANCE LTD.
DID NOT FURNISH REQUIRED INFORMATION IN RESPONSE TO SUMMONS ISSUED BY INVESTIGATION AUTHORITY IN MATTER OF DELTA LEASING AND FINANCE LTD.
STATED FALSE REASONS IN DELIVERY INSTRUCTION SLIP (DIS) FOR TRANSACTIONS AS LOAN OF SHARES, RETURN OF LOAN, BAD DELIVERY, RECTIFICATION OF BAD DELIVERY AND GIFT VIOLATING REGULATION 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DELTA LEASING AND FINANCE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JAN-2023 TO 30-APR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JAN-2023 TO 30-APR-2023
IMPOSED PENALTY RS.10,50,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JAN-2023
|
|
| 13 |
|
|
SUNIL SINGH
(PAN:BDGPS0774K)
|
|
|
|
ALFA FINSEC
PAN:BDGPS0774K
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION
ISSUED FICTITIOUS CONTRACT NOTES
FALSIFIED/FABRICATED DOCUMENT TO GIVE IMPRESSION OF AUTHENTICITY ABOUT ITS TRANSACTIONS
DELAY IN TRANSFER OF SHARES TO TRANSFEREES SUBSEQUENT TO RECEIPT OF PAYMENT FROM TRANSFEREES VIOLATING SECTION 2(I)(A) OF SCRA, 1956 AND SECTIONS 13, 16 AND 18 OF SCRA, 1956 READ WITH SEBI NOTIFICATION G.S.R 219(E) DATED 02/03/2000 AND SEBI NOTIFICATION NO.LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013 IN MATTER OF DELTA LEASING AND FINANCE LTD.
DID NOT FURNISH REQUIRED INFORMATION IN RESPONSE TO SUMMONS ISSUED BY INVESTIGATION AUTHORITY IN MATTER OF DELTA LEASING AND FINANCE LTD.
STATED FALSE REASONS IN DELIVERY INSTRUCTION SLIP (DIS) FOR TRANSACTIONS AS LOAN OF SHARES, RETURN OF LOAN, BAD DELIVERY, RECTIFICATION OF BAD DELIVERY AND GIFT VIOLATING REGULATION 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DELTA LEASING AND FINANCE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JAN-2023 TO 30-APR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JAN-2023 TO 30-APR-2023
IMPOSED PENALTY RS.8,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JAN-2023
|
|
| 14 |
|
|
SUNITA GUPTA
(PAN:AAHPG4700E)
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF SUMEET INDUSTRIES LTD.
|
IMPOSED PENALTY RS.5,00,000
23-JAN-2013
|
SAT: SAT VIDE ITS ORDER DATED 12/12/2013 MODIFIED SEBI'S ORDER DATED 23/01/2013 BY REDUCING PENALTY AMOUNT TO RS.1 LAC UNDER SECTION 15A(A) FROM RS.2 LAC, HENCE TOTAL PENALTY AMOUNT WILL BE RS.4 LACS. NO COST
SAT: APPEAL DISMISSED. NO COSTS
|
| 15 |
|
|
SURESH HEMWANI
|
|
|
|
M’BELLE INTERNATIONAL PVT.LTD.
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
PROSECUTION LAUNCHED
31-MAR-2010
|
|
| 16 |
|
|
SUSHIL M.THAKKAR
|
|
|
|
M’BELLE INTERNATIONAL PVT.LTD.
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
PROSECUTION LAUNCHED
31-MAR-2010
|
|
| 17 |
|
|
YOGESH RUPAREL
|
|
|
|
MANYOG INVESTMENTS PVT.LTD.
|
|
AIDED AND ABETTED D.K.DALAL AND PROMOTERS OF NATURAL EXPO INDUSTRIES LTD. IN PRICE MANIPULATION IN SCRIP OF NATURAL EXPO INDUSTRIES LTD.
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-SEP-2003 TO 04-SEP-2008
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-SEP-2003 TO 04-SEP-2008
05-SEP-2003
SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
24-APR-2008~
|
SAT: IMPUGNED ORDER SET ASIDE AND INSTRUCTED SEBI TO ISSUE FRESH NOTICE AFTER INITIATING PROCEEDINGS
RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES IN ANY MANNER AND IN ANY CAPACITY FOR A PERIOD OF ONE YEAR (25/07/2007 TO 24/07/2008) IN THE MATTER OF M/S NATURAL EXPO AGRO INDUSTRIES LTD.
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
