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SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
UPDATED TILL : 21-NOV-2024

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.

PERSONS: DIRECTED BSE TO WITHHOLD PAYOUT OF 11/02/2009 OF HETAL PATEL AND CHETAN SHAH IN SEPARATE ESCROW ACCOUNT

S.No. PERSON ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person CHETAN SHAH

(PAN:AAFPS7527M)  
  COLLUDED TO MISUSE STOCK EXCHANGE MECHANISM TO PROFITABLY EXIT FROM THEIR POSITIONS IN SCRIP OF RTS POWER CORP.LTD.  DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-OCT-2021 TO 26-OCT-2023

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-OCT-2021 TO 26-OCT-2023

DIRECTED BSE TO WITHHOLD PAYOUT OF 11/02/2009 OF HETAL PATEL AND CHETAN SHAH IN SEPARATE ESCROW ACCOUNT

05-JUN-2009 		SAT: APPEALS FILED BY NETWORTH STOCK BROKING LTD., GEOJIT BNP PARIBAS FINANCIAL SERVICES LTD. AND DAWNAY DAY A V SECURITIES PVT.LTD. TO WITHHELD THE PAYOUT TO OTHER BROKERS, DISMISSED AS PREMATURE. WITH NO ORDER AS TO COSTS

AD-INTERIM EX-PARTE ORDER DATED 05/06/2009 CONFIRMED, VIDE ORDER DATED 26/10/2009

APPEAL DISPOSSED OFF WITH A DIRECTION TO SEBI TO COMPLETE THE INVESTIGATION BY 30/06/2010.

SEBI VIDE ITS ORDER DATED 27/10/2021 RESTRAINED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FOR A FURTHER PERIOD OF TWO YEARS FROM DATE OF THIS ORDER

SAT: SAT VIDE ITS ORDER DATED 13/06/2022 DIRECTED RESPONDENT TO FILE THE REPLY WITHIN A WEEK FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS THEREAFTER

SAT: SAT: SAT VIDE ITS ORDER DATED 13/07/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER

SAT: SAT VIDE ITS ORDER DATED 11/10/2022 ALLOWED APPELLANTS FURTHER TWO WEEKS TO FILE REJOINDER

SAT: SAT VIDE ITS ORDER DATED 04/08/2023 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 27/10/2021
2 
History of entity/person HETAL RAJESH PATEL

(PAN:AQUPP6130E)  
  COLLUDED TO MISUSE STOCK EXCHANGE MECHANISM TO PROFITABLY EXIT FROM THEIR POSITIONS IN SCRIP OF RTS POWER CORP.LTD.  DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-OCT-2021 TO 26-OCT-2023

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-OCT-2021 TO 26-OCT-2023

DIRECTED BSE TO WITHHOLD PAYOUT OF 11/02/2009 OF HETAL PATEL AND CHETAN SHAH IN SEPARATE ESCROW ACCOUNT

05-JUN-2009 		SAT: APPEALS FILED BY NETWORTH STOCK BROKING LTD., GEOJIT BNP PARIBAS FINANCIAL SERVICES LTD. AND DAWNAY DAY A V SECURITIES PVT.LTD. TO WITHHELD THE PAYOUT TO OTHER BROKERS, DISMISSED AS PREMATURE. WITH NO ORDER AS TO COSTS

SAT: APPELLANT APPLIED TO WITHDRAW APPEAL WITH LIBERTY TO CHALLENGE ORDER. APPEAL BECOME INFRUCTUOUS AS INVESTIGATION PENDING. APPEAL DISMISSED WITH NO ORDER AS TO COSTS

SEBI VIDE ITS NOTICE DATED 05/06/2024 DIRECTED TO PAY RS.13,71,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SEBI VIDE ITS ORDER DATED 21/06/2024 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

SEBI VIDE ITS NOTICE DATED 22/07/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.13,81,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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