| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 201 |
|
AJAY KUMAR MITTAL
(PAN:AFPPM4452E)
|
|
|
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
|
|
| 202 |
|
|
AJAY KUMAR SARAOGI
(PAN:ACCPS4027R)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 3(1) OF SAST REGULATIONS, 2011 IN MATTER OF JAYKAY ENTERPRISES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.18,75,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
09-NOV-2017
|
|
| 203 |
|
|
AJAY KUMAR SONTHALIA
(PAN:ALFPS9929J)
|
|
|
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
|
|
| 204 |
|
|
AJAY MITTAL
(PAN:ADUPM3801A)
|
|
|
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
|
|
| 205 |
|
|
AJAY OMPRAKASH GUPTA
(PAN:ABQPG0045G)
|
|
|
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
|
|
| 206 |
|
|
AJAY RAVINDRA SHAH
(PAN:AAGPS8690G)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH SYNCHRONIZED DEALS AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF EASTERN GASES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,76,000 VIDE CONSENT ORDER)
27-NOV-2013
|
|
| 207 |
|
|
AJAY RELAN
(PAN:AADPR4374F)
|
|
|
ALLEGED DELAY IN AMENDMENT IN CODE OF CONDUCT AND DID NOT INCORPORATE PROVISIONS RELATED TO PRE-CLEARANCE OF TRADES VIOLATING REGULATION 12(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 AND CLAUSE 1.2 OF MODEL CODE OF CONDUCT IN MATTER OF SUZLON ENERGY LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
27-AUG-2013
|
|
| 208 |
|
|
AJAY SARAF
(PAN:AOCPS8498E)
|
|
|
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
|
|
| 209 |
|
|
AJAY SHARMA
|
|
|
|
KESAR PETROPRODUCTS LTD.
CIN:L23209PN1990PLC054829
|
|
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 11/01/2016 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 04/06/2013
SAT: SAT VIDE ITS ORDER DATED 14/06/2017 DIRECTED APPELLANT TO MAKE A REPRESENTATION TO SEBI WITHIN ONE WEEK FROM THE DATE OF THIS ORDER, SETTING OUT IN DETAIL THE MODE AND MANNER IN WHICH THE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT HAS BEEN ACHIEVED. NO COSTS
|
| 210 |
|
|
AJAY SHARMA
(PAN:ALEPS7217A)
|
|
|
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
|
|
| 211 |
|
|
AJAY SHEKHAR SHARMA
(PAN:BBJPS0729P)
|
|
|
|
ONE 97 COMMUNICATIONS LTD.
PAN:AAACO4007A
|
|
ALLEGED VIOLATION OF REGULATION REGULATION 2(1)(I)(III) OF SEBI (SBEB) REGULATIONS, 2021 IN MATTER OF EMPLOYEES STOCK OPTIONS (ESOPS) OF ONE97 COMMUNICATIONS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.57,11,425, DISGORGEMENT AMOUNT RS.35,86,452 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED TO CANCEL 2,22,862 ESOPS GRANTED/VESTED UPON BUT NOT EXERCISED)
REACHED SETTLEMENT (DIRECTED TO DISGORGE) (SETTLEMENT CHARGES RS.57,11,425, DISGORGEMENT AMOUNT RS.35,86,452 VIDE CONSENT ORDER)
08-MAY-2025
|
|
| 212 |
|
|
AJAY SINGH
(PAN:ABJPS9222J)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 10(6) OF SAST REGULATIONS, 2011 IN MATTER OF SPICEJET LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,02,500 VIDE CONSENT ORDER)
10-APR-2017
|
|
| 213 |
|
|
AJAYA CHAND
|
|
|
|
DEN NETWORKS LTD.
|
|
ALLEGED INDULGENCE IN PROVIDING FUNDS TO CERTAIN ENTITIES TO MAKE APPLICATIONS IN IPO OF DEN NETWORKS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
11-MAR-2013
|
|
| 214 |
|
|
AJAYKUMAR RAMAKANT SHARMA
(PAN:AZJPS8694Q)
|
|
|
ALLEGED AIDING AND ABETTING MR.NIRMAL KUMAR SONI TO EXECUTE TRADES IN HIS ACCOUNT AND IN THE ACCOUNTS OF SAAR COMMODITIES PVT.LTD., MANAN SHARECOM PVT.LTD. AND KANHYA TRADING CO.
|
REACHED SETTLEMENT (DIRECTED TO DISGORGE) (SETTLEMENT CHARGES RS.7,41,29,648 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-JAN-2025
|
|
| 215 |
|
|
AJAYKUMAR RAMAKANT SHARMA
(PAN:AZJPS8694Q)
|
|
|
ALLEGED AIDING AND ABETTING MR.NIRMAL KUMAR SONI TO EXECUTE TRADES IN HIS ACCOUNT AND IN THE ACCOUNTS OF SAAR COMMODITIES PVT.LTD., MANAN SHARECOM PVT.LTD. AND KANHYA TRADING CO.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.57,20,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES) FROM 16-JAN-2025 TO 15-JUL-2025
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 16-JAN-2025 TO 15-JUL-2025
16-JAN-2025
|
|
| 216 |
|
|
AJIT DEEPCHAND JAIN
(PAN:ABWPJ1925C)
|
|
|
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
|
|
| 217 |
|
|
AJIT KHANDELWAL
(PAN:AKSPK7801K)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 30(1) AND 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF BNK CAPITAL MARKETS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.13,54,688 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
29-NOV-2021
|
|
| 218 |
|
|
AJIT KHANDELWAL
(PAN:AKSPK7801K)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF BNK CAPITAL MARKETS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.9,30,396 VIDE CONSENT ORDER)
20-JAN-2022
|
|
| 219 |
|
|
AJIT KUMAR SHROFF
(PAN:ALEPS2054H)
|
|
|
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
|
|
| 220 |
|
|
AJIT MITTAL
(PAN:ACQPM5890A)
|
|
|
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
|
|
| 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 11 of 500
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