| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 9941 |
|
YASHVARDHAN JHUNJHUNWALA
(PAN:AIVPJ5478J)
|
|
|
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
|
|
| 9942 |
|
|
YASHWANT KUMAR GOYAL
(PAN:ADNPG7415M)
|
|
|
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
|
|
| 9943 |
|
|
YASHWANTRAI VADILAL SHAH
(PAN:ALPPS0938P)
|
|
|
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
|
|
| 9944 |
|
|
YASHWI DALMIA
(PAN:CBPPD0085E)
|
|
|
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
|
|
| 9945 |
|
|
YASMIN AKBAR
(PAN:AJPPA2298E)
|
|
|
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
|
|
| 9946 |
|
|
YASMIN G.ARAB
(PAN:AKGPA8713Q)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SARANG CHEMICALS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
12-JAN-2011
|
|
| 9947 |
|
|
YASMIN G.ARAB
(PAN:AKGPA8713Q)
|
|
|
|
ROBINSON WORLDWIDE TRADE LTD.
PAN:AABCR6814P
|
|
ACTED IN CONCERT WITH SARANG CHEMICALS GROUP AND OFF-LOADED SHARES OF SARANG CHEMICALS LTD. IN MARKET/OFF-MARKET WHEN COMPANY WAS MAKING FALSE/MISLEADING ANNOUNCEMENT
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SARANG CHEMICALS LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-MAR-2010
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
22-DEC-2010
|
SAT: IMPUGNED ORDER DATED 31/03/2010 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.15,00,000 BY 31/12/2010, AS PER CONSENT ORDER
INCLUDED IN SEBI LIST DATED 30/06/2010, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 9948 |
|
|
YATIN B.SHAH
|
|
|
|
LOKO SECURITIES PVT.LTD.
|
|
|
UTTAM INVESTMENTS
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF ALANG INDUSTRIES GASES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-DEC-2007 TO 09-JUN-2008
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-DEC-2007 TO 09-JUN-2008
10-DEC-2007
|
|
| 9949 |
|
|
YATIN B.SHAH
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF BLUE COAST HOTELS & RESORTS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,000 VIDE CONSENT ORDER)
01-JUN-2009
|
|
| 9950 |
|
|
YATIN NAVINCHANDRA SANGHAVI
(PAN:AWFPS1803E)
|
|
|
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
|
|
| 9951 |
|
|
YELAMANCHI MOHANPRASAD
|
|
|
|
NEYCER INDIA LTD.
PAN:AAACN1998D
|
|
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 16/02/2015 REVOKED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 04/06/2013
|
| 9952 |
|
|
YESHA P.BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
DIRECTING IMPOUNDING THE UNLAWFULLY GAINS MADE IN THEIR ACCOUNTS BY THEIR PARENTS ON THEIR BEHALF
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 9953 |
|
|
YESHA PIYUSH BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
DIRECTING IMPOUNDING THE UNLAWFULLY GAINS MADE IN THEIR ACCOUNTS BY THEIR PARENTS ON THEIR BEHALF
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 9954 |
|
|
YESHABEN P.BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
DIRECTING IMPOUNDING THE UNLAWFULLY GAINS MADE IN THEIR ACCOUNTS BY THEIR PARENTS ON THEIR BEHALF
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 9955 |
|
|
YESHABEN P.BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
DIRECTING IMPOUNDING THE UNLAWFULLY GAINS MADE IN THEIR ACCOUNTS BY THEIR PARENTS ON THEIR BEHALF
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 9956 |
|
|
YEZDI KHARIWALA
(PAN:AACPK8707E)
|
|
|
|
HDFC ASSET MANAGEMENT CO.LTD.
PAN:AAACH7614L
|
|
ALLEGED VIOLATION OF REGULATIONS 18(4)(D), 33(4) AND 39(1) OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF DEBT INSTRUMENTS OF ESSEL GROUP OF COMPANIES
ALLEGED VIOLATION OF REGULATIONS 2(B), 18(4)(D), 31 AND 33(4) OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF DEBT INSTRUMENTS OF ESSEL GROUP OF COMPANIES
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,20,46,420 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-APR-2020
|
|
| 9957 |
|
|
YM BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES IN WHATSOVER MANNER, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 3 YEARS FROM THE DATE OF THIS ORDER I.E.31/12/2008
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 9958 |
|
|
YOGENDRA KUMAR GOYAL
(PAN:ACZPG6087G)
|
|
|
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
|
|
| 9959 |
|
|
YOGESH GOENKA
(PAN:ADXPG3604J)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,97,500 VIDE CONSENT ORDER)
14-JAN-2021
|
|
| 9960 |
|
|
YOGESH JAIN
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SALE OF 10,11,999 SHARES (7.49%) OF SQL INTERNATIONAL LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,50,000 VIDE CONSENT ORDER)
08-JUL-2010
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 498 of 500
|
