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Regulatory Actions Covered By This Website

REGULATORY ACTIONS IN CHRONOLOGICAL ORDER

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

ENTITY

S.
No.		 DATE OF ORDER ENTITY PERSON COMPETENT AUTHORITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
10981 29-JAN-2021
History of entity/person INVOREX VINCOM PVT.LTD. 

(PAN:AACCI3168A)
  SEBI  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF STEEL EXCHANGE INDIA LTD.

DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF STEEL EXCHANGE INDIA LTD. 		IMPOSED PENALTY RS.11,00,000

29-JAN-2021 		 
10982 29-JAN-2021
History of entity/person KABERI GOODS PVT.LTD. 

(PAN:AACCK7867L)
  SEBI  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF STEEL EXCHANGE INDIA LTD.

DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF STEEL EXCHANGE INDIA LTD. 		IMPOSED PENALTY RS.11,00,000

29-JAN-2021 		 
10983 29-JAN-2021
History of entity/person KASSA FINVEST PVT.LTD. 

(CIN:U74899DL1994PTC060668
PAN:AAACK1206B)

(Member : NSE/BSE/MSEI/OTC)
  SEBI  DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS

DID NOT SETTLE ACCOUNTS OF CLIENTS WITHIN STIPULATED TIME

COMMITTED IRREGULARITIES IN DEALING IN CASH WITH CLIENTS

DID NOT RETURN CLIENTS SECURITIES

DID NOT REDRESS INVESTOR COMPLAINTS 		CANCELLED REGISTRATION AS STOCK BROKER FROM 29-JAN-2021

29-JAN-2021 		 
10984 29-JAN-2021
History of entity/person MAHARASHTRA PATBANDHARE VITTIYA CO.LTD. 

(Old Name : SICOM LTD.)

(PAN:AAACH2639D)
  SEBI  DELAY IN SUBMISSION OF HALF YEARLY FINANCIAL RESULTS TO STOCK EXCHANGES VIOLATING REGULATIONS 52(1), 52(4) AND 52(5) OF SEBI (LODR) REGULATIONS, 2015 IMPOSED PENALTY RS.4,00,000

29-JAN-2021 		 
10985 29-JAN-2021
History of entity/person MANSUKH FINANCE & INVESTMENT PVT.LTD. 

(PAN:AABCM0703C)
History of entity/person MITHLESH SURESH SHARMA
  		SEBI  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF VERTEX SPINNING 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 29-JAN-2021 TO 28-JAN-2022

DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS

29-JAN-2021 		 
10986 29-JAN-2021
History of entity/person MASTER CAPITAL SERVICES LTD. 

(Old Name : MASTER TRUST LTD.)

(PAN:AABCM1406A)

(Member : NSE)
  SEBI  DID NOT CONDUCT ANY INSPECTION OF ITS AUTHORIZED PERSON VIOLATING SEBI CIRCULAR NO MIRSD/DR-1/CIR-16/09 DATED 06/11/2009 IMPOSED PENALTY RS.2,00,000

29-JAN-2021 		SAT: SAT VIDE ITS ORDER DATED 12/05/2021 ALLOWED RESPONDENT THREE WEEKS TIME TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. DIRECTED APPELLANT TO DEPOSIT PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER

SAT: SAT VIDE ITS ORDER DATED 07/12/2021 DISMISSED THE APPEAL FOR WANT OF PROSECUTION  
10987 29-JAN-2021
History of entity/person MID INDIA COMMODITIES PVT.LTD. 

(PAN:AABCT1983F)

(Member : NCDEX)
  SEBI  DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 9 READ WITH CLAUSES A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF CASTOR SEED CONTRACTS IMPOSED PENALTY RS.1,00,000

29-JAN-2021 		 
10988 29-JAN-2021
History of entity/person MONOTYPE INDIA LTD. 

(CIN:287552
PAN:AABCM8156H)
  SEBI  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF STEEL EXCHANGE INDIA LTD. IMPOSED PENALTY RS.5,00,000

29-JAN-2021 		 
10989 29-JAN-2021
History of entity/person NEER-OCEAN MULTITRADE PVT.LTD. 

(PAN:AADCN3061E)

(Member : NCDEX)
  SEBI  DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 9 READ WITH CLAUSES A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF CASTOR SEED CONTRACTS IMPOSED PENALTY RS.1,00,000

29-JAN-2021 		 
10990 29-JAN-2021
History of entity/person NIIT TECHNOLOGIES LTD. 

(PAN:AAACN0332P)
  SEBI  ALLEGED DELAY IN MAKING CORPORATE DISCLOSURE TO STOCK EXCHANGES VIOLATING CLAUSE 36 OF EQUITY LISTING AGREEMENT READ WITH REGULATION 103(2) OF SEBI (LODR) REGULATIONS, 2015 REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.19,12,500 VIDE CONSENT ORDER)

29-JAN-2021 		 
10991 29-JAN-2021
History of entity/person PINCERS COMMODITIES PVT.LTD. 

(CIN:U74999WB2012PTC179174
PAN:AAGCP5446E)
  SEBI  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PINCON LIFESTYLE LTD. IMPOSED PENALTY RS.5,00,000

29-JAN-2021 		SEBI VIDE ITS NOTICE DATED 05/01/2022 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 29/11/2022 DIRECTED ALL THE BANKS TO REMIT RS.5,53,767.00 TO THE EXTENT LYING IN THE ACCOUNT OF PINCERS COMMODITIES PVT.LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS  
10992 29-JAN-2021
History of entity/person RAJASTHAN STATE ROAD TRANSPORT CORP.LTD. 

(PAN:AABCR7187B)
  SEBI  DELAY IN SUBMISSION OF HALF YEARLY FINANCIAL RESULTS TO STOCK EXCHANGES VIOLATING REGULATIONS 52(1), 52(4) AND 52(5) OF SEBI (LODR) REGULATIONS, 2015 IMPOSED PENALTY RS.1,00,000

29-JAN-2021 		 
10993 29-JAN-2021
History of entity/person RICHHOLD PROPERTIES PVT.LTD. 

(PAN:AABCR4071J)
  SEBI  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF STEEL EXCHANGE INDIA LTD.

DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF STEEL EXCHANGE INDIA LTD. 		IMPOSED PENALTY RS.11,00,000

29-JAN-2021 		 
10994 29-JAN-2021
History of entity/person S.S.FORGINGS & ENGINEERING LTD. 

(CIN:L27106MH1994PLC108685
PAN:AABCS2068J)
History of entity/person DALJIT SINGH MATHARU

History of entity/person MITHLESH SURESH SHARMA

History of entity/person RAM PRATAP SINGH

History of entity/person SURESH JAIRAM SHARMA

History of entity/person ASHOK SHARMA
  		SEBI  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF VERTEX SPINNING 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 29-JAN-2021 TO 28-JAN-2022

DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS

29-JAN-2021 		 
10995 29-JAN-2021
History of entity/person SYNERGY DEALCOM PVT.LTD. 

(PAN:AAKCS8906Q)
  SEBI  INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE IMPOSED PENALTY RS.5,00,000

29-JAN-2021 		 
10996 29-JAN-2021
History of entity/person TWINSTAR FINVEST PVT.LTD. 

(PAN:AABCT1168Q)
History of entity/person MITHLESH SURESH SHARMA

History of entity/person SURESH JAIRAM SHARMA
  		SEBI  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF VERTEX SPINNING 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 29-JAN-2021 TO 28-JAN-2022

DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS

29-JAN-2021 		 
10997 29-JAN-2021
History of entity/person VERTEX SPINNING LTD. 

(CIN:L28900MH1994PLC108684
PAN:AABCV5617N)
History of entity/person SACHIN SURESH SHARMA

History of entity/person SURESH JAIRAM SHARMA
  		SEBI  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF VERTEX SPINNING 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 29-JAN-2021 TO 28-JUL-2021

DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS

29-JAN-2021 		 
10998 28-JAN-2021
History of entity/person RAJESH HOUSING PVT.LTD. 

(PAN:AAHCR1769B)
  SEBI  DELAY IN SUBMISSION OF HALF YEARLY FINANCIAL RESULTS TO STOCK EXCHANGES VIOLATING REGULATIONS 52(1), 52(4) AND 52(5) OF SEBI (LODR) REGULATIONS, 2015 IMPOSED PENALTY RS.1,00,000

28-JAN-2021 		 
10999 28-JAN-2021
History of entity/person UNISHIRE URBANSCAPE PVT.LTD. 

(PAN:AABCU2652A)
  SEBI  DELAY IN SUBMISSION OF HALF YEARLY FINANCIAL RESULTS TO STOCK EXCHANGES VIOLATING REGULATIONS 52(1), 52(4) AND 52(5) OF SEBI (LODR) REGULATIONS, 2015 IMPOSED PENALTY RS.1,00,000

28-JAN-2021 		SEBI VIDE ITS NOTICE DATED 01/09/2021 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 28/09/2021 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 01/09/2021  
11000 27-JAN-2021
History of entity/person AKRITI ADVISORY SERVICES PVT.LTD. 

(New Name : JAGRUTI INFRA DEVELOPERS PVT.LTD.)

(PAN:AAICA9057G)
  SEBI  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SURABHI CHEMICALS & INVESTMENTS LTD. (NOW KNOWN AS SUPERSPACE INFRASTRUCTURE LTD.) DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-JAN-2021 TO 26-JUL-2021

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-JAN-2021 TO 26-JUL-2021

DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS

27-JAN-2021 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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