| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
BANHEM STOCK BROKING PVT.LTD.
(PAN:AACCB5251H)
|
|
|
|
KAUSHAL CHANDARANA
PAN:ABJPC5129L
|
|
|
MANISHKUMAR SUMATILAL MEHTA
PAN:AAEPM2096G
|
|
INDULGED IN FRONT RUNNING TRADING ACTIVITIES VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
|
DIRECTED TO DISGORGE RS.18,63,438 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO DEPOSIT WRONGFUL GAINS IN ESCROW ACCOUNT
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
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
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 OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
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 REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
28-MAR-2023
|
SAT: SAT VIDE ITS ORDER DATED 13/04/2023 DIRECTED A) RESPONDENT TO FILE REPLY WITHIN A WEEK FROM DATE OF THIS ORDER B) SET ASIDE DIRECTION IN PARA 51.1 OF IMPUGNED ORDER DATED 28/03/2023 FOR RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET OR ASSOCIATING THEMSELVES WITH SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER UNTIL FURTHER ORDERS C) APPELLANT TO DEPOSIT 50% AMOUNT IN ESCROW ACCOUNT. UPON DEPOSIT, THEIR BANK ACCOUNTS, DEMAT ACCOUNTS ETC. WILL BE DEFREEZED FORTHWITH
SAT: SAT VIDE ITS ORDER DATED 27/04/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED TEN DAYS TO FILE REJOINDER
|
| 2 |
|
|
NINJA SECURITIES PVT.LTD.
(PAN:AAACN2336B)
|
|
|
|
KAUSHAL CHANDARANA
PAN:ABJPC5129L
|
|
|
MANISHKUMAR SUMATILAL MEHTA
PAN:AAEPM2096G
|
|
INDULGED IN FRONT RUNNING TRADING ACTIVITIES VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
|
DIRECTED TO DISGORGE RS.2,04,83,412 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO DEPOSIT WRONGFUL GAINS IN ESCROW ACCOUNT
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
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
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 OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
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 REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
28-MAR-2023
|
SAT: SAT VIDE ITS ORDER DATED 13/04/2023 DIRECTED A) RESPONDENT TO FILE REPLY WITHIN A WEEK FROM DATE OF THIS ORDER B) SET ASIDE DIRECTION IN PARA 51.1 OF IMPUGNED ORDER DATED 28/03/2023 FOR RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET OR ASSOCIATING THEMSELVES WITH SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER UNTIL FURTHER ORDERS C) APPELLANT TO DEPOSIT 50% AMOUNT IN ESCROW ACCOUNT. UPON DEPOSIT, THEIR BANK ACCOUNTS, DEMAT ACCOUNTS ETC. WILL BE DEFREEZED FORTHWITH
SAT: SAT VIDE ITS ORDER DATED 27/04/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED TEN DAYS TO FILE REJOINDER
|
| 3 |
|
|
SARITA GARG (HUF)
(PAN:ABIHS4539R)
|
|
|
INDULGED IN FRONT RUNNING TRADING ACTIVITIES VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF LIFE INSURANCE CORP.OF INDIA
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-APR-2023 UNTIL FURTHER ORDERS
DIRECTED TO CEASE & DESIST FROM DIRECTLY OR INDIRECTLY, ENGAGED IN FRAUDULENT, MANIPULATIVE OR UNFAIR TRADE PRACTICE INCLUDING FRONT RUNNING ACTIVITIES FROM 27-APR-2023 UNTIL FURTHER ORDERS
DIRECTED TO DEPOSIT WRONGFUL GAINS IN ESCROW ACCOUNT
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 BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 27-APR-2023 UNTIL FURTHER ORDERS
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 SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
27-APR-2023
|
SEBI VIDE ITS ORDER DATED 19/03/2024 DIRECTED TO DEPOSIT THE PROCEEDS IN ESCROW ACCOUNT IMMEDIATELY. DIRECTIONS AT PARAGRAPH 39.6 OF INTERIM ORDER DATED 27/04/2023 ISSUED TO THE BANKS AND DEPOSITORIES TO CONTINUE AGAINST THE NOTICEES TILL RECEIPT OF ANY OTHER COMMUNICATION FROM SEBI
|
| 4 |
|
|
VED PRAKASH (HUF)
(PAN:AAMHV6845A)
|
|
|
INDULGED IN FRONT RUNNING TRADING ACTIVITIES VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF LIFE INSURANCE CORP.OF INDIA
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-APR-2023 UNTIL FURTHER ORDERS
DIRECTED TO CEASE & DESIST FROM DIRECTLY OR INDIRECTLY, ENGAGED IN FRAUDULENT, MANIPULATIVE OR UNFAIR TRADE PRACTICE INCLUDING FRONT RUNNING ACTIVITIES FROM 27-APR-2023 UNTIL FURTHER ORDERS
DIRECTED TO DEPOSIT WRONGFUL GAINS IN ESCROW ACCOUNT
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 BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 27-APR-2023 UNTIL FURTHER ORDERS
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 SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
27-APR-2023
|
SEBI VIDE ITS ORDER DATED 19/03/2024 DIRECTED TO DEPOSIT THE PROCEEDS IN ESCROW ACCOUNT IMMEDIATELY. DIRECTIONS AT PARAGRAPH 39.6 OF INTERIM ORDER DATED 27/04/2023 ISSUED TO THE BANKS AND DEPOSITORIES TO CONTINUE AGAINST THE NOTICEES TILL RECEIPT OF ANY OTHER COMMUNICATION FROM SEBI
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
