| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 181 |
|
AJAI VIKRAM SINGH
|
|
|
ALLEGED VIOLATION OF CLAUSE 36 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN THE MATTER OF HORIZON INFRASTRUCTURE LTD. (NOW KNOWN AS SKIL INFRASTRUCTURE LTD.)
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,32,74,000, INTEREST RS.5,10,595 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-MAY-2017
|
|
| 182 |
|
|
AJANTA RUSTAGI
(PAN:AANPR8489F)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 183 |
|
|
AJAY BHATIA
(PAN:AAMPB2104N)
|
|
|
|
QUANTLASE LAB LLC
|
|
ALLEGED COMMUNICATION OF UNPUBLISHED PRICE SENSITIVE INFORMATION TO OTHERS VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ADANI GREEN ENERGY LTD., ADANI ENTERPRISES LTD. AND ADANI TRANSMISSION LTD.
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND (E) OF SEBI ACT, 1992 READ WITH REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ADANI GREEN ENERGY LTD., ADANI ENTERPRISES LTD. AND ADANI TRANSMISSION LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,04,87,903, DISGORGEMENT AMOUNT RS.55,34,457, INTEREST RS.9,58,902 VIDE CONSENT ORDER)
16-SEP-2025
|
|
| 184 |
|
|
AJAY BIJLI
|
|
|
|
PVR LTD.
|
|
ALLEGED FAILURE IN COMPLIANCE OF CLAUSES D(V) (2) TO D(V) (4) OF CODE OF CONDUCT PRESCRIBED FOR DIRECTORS AND SENIOR MANAGEMENT OF COMPANY AS STIPULATED UNDER CLAUSE 49D OF ERSTWHILE LISTING AGREEMENT AND CORRESPONDING PROVISIONS OF REGULATION 17(5) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 IN MATTER OF PVR LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.20,40,000 VIDE CONSENT ORDER)
24-JAN-2018
|
|
| 185 |
|
|
AJAY DHOOT
(PAN:AFPPD3078M)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 186 |
|
|
AJAY DOSHI
(PAN:ADKPD1954H)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 187 |
|
|
AJAY GANGWAL
(PAN:ADRPG3326K)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (CONSENT ORDER)
08-MAR-2023
|
|
| 188 |
|
|
AJAY GANGWAL
(PAN:AFQPG8739M)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 189 |
|
|
AJAY GUPTA
(PAN:AGQPG4913Q)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 190 |
|
|
AJAY GUPTA
(PAN:AACHA1539A)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 191 |
|
|
AJAY JAIN
(PAN:ACJPJ6652L)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 192 |
|
|
AJAY JASWANTLAL DOSHI
(PAN:AAAPD9688D)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.13,17,500 VIDE CONSENT ORDER)
14-JAN-2021
|
|
| 193 |
|
|
AJAY JHUNJHUNWALA
|
|
|
|
SOMAIYA ORGANICS (INDIA) LTD.
|
|
DID NOT ADHERE TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
DIRECTED TO FREEZ OF VOTING RIGHTS AND CORPORATE BENEFITS LIKE DIVIDEND, RIGHTS, BONUS SHARES, SPLIT, ETC. WITH RESPECT TO EXCESS OF PROPORTIONATE PROMOTER / PROMOTERS GROUP SHAREHOLDING FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
RESTRAINED SHAREHOLDERS FORMING PART OF PROMOTER / PROMOTER GROUP FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
RESTRAINED DIRECTORS FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
04-JUN-2013
|
SEBI VIDE ITS ORDER DATED 16/12/2015 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 04/06/2013
|
| 194 |
|
|
AJAY KUMAR
(PAN:AGNPK5993M)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 195 |
|
|
AJAY KUMAR
(PAN:APLPK8439D)
|
|
|
|
INVESTCORP INDIA ASSET MANAGERS PVT.LTD.
PAN:AAFCI0227D
|
|
|
INVESTCORP REAL ESTATE YIELD FUND
PAN:AABTI0798Q
|
|
ALLEGED DELAY IN LIQUIDATION AND DISTRIBUTION OF ASSETS OF THE FUND VIOLATING REGULATIONS 13(5) AND 29(7) READ WITH 20(1) AND 20(5) AND CLAUSES 2(A), 2(C) AND 3(B) OF CODE OF CONDUCT SPECIFIED IN FOURTH SCHEDULE OF (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 IN MATTER OF INVESTCORP REAL ESTATE YIELD FUND
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
07-MAR-2025
|
|
| 196 |
|
|
AJAY KUMAR AGARWAL
(PAN:ACOPA6946P)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 197 |
|
|
AJAY KUMAR BAID
(PAN:ADIPB4571C)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 198 |
|
|
AJAY KUMAR GUPTA
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
|
PROHIBITED FROM OPERATING DP ACCOUNT WITH INDIABULLS SECURITIES LTD. EXCEPT FOR THE PURPOSE OF TRANSFER OF SECURITIES ON ACCOUNT OF SALE TRANSACTIONS
SEBI VIDE ITS ORDER DATED 18/08/2016 RECALLED THE RESTRAINT ORDER PASSED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 12/01/2006 AND CONFIRMEND VIDE ITS ORDER DATED 27/04/2016
|
| 199 |
|
|
AJAY KUMAR JAIN
(PAN:AAGPJ8327F)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 200 |
|
|
AJAY KUMAR JAJODIA
(PAN:ACSPJ9740J)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
14-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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| Page 10 of 500
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