| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ABNISH KUMAR SUDHANSHU
(PAN:AXQPS1237C)
|
|
|
|
AMRAPALI AADYA TRADING & INVESTMENT PVT.LTD.
PAN:AAECA3909P
|
|
CREATED PLEDGE OF SECUTITIES OF ITS CLIENTS AND DID NOT MAKE DISCLOSURE TO NSE VIOLATING CLAUSES A(1) AND A(5) OF CODE OF CONDUCT PRESCRIBED FOR STOCK BROKERS UNDER SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT REPORT ITS DP ACCOUNTS TO NSE VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/MIRSD2/CIR/P/2016/95 DATED 26/09/2016
|
DEBARRED FROM ACTING AS UN-REGISTERED PORTFOLIO MANAGER FROM 22-AUG-2017 UNTIL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-AUG-2017 UNTIL FURTHER ORDERS
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 22-AUG-2017 UNTIL FURTHER ORDERS
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO UTILIZE ASSETS OF THE ENTITIES ONLY FOR THE PURPOSE OF PAYMENT OF MONEY AND/OR DELIVERY OF SECURITIES, AS THE CASE MAY BE, TO CLIENTS/INVESTORS UNDER THE SUPERVISION OF CONCERNED STOCK EXCHANGE(S)
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY BY AMRAPALI AADYA TRADING & INVESTMENT PVT.LTD. AND AADYA COMMODITIES PVT.LTD. AND MR.SANJEEVA KUMAR SINHA EXCEPT FOR THE PURPOSE OF PAYMENT OF MONEY TO CLIENTS/INVESTORS UNDER WRITTEN CONFIRMATION OF CONCERNED STOCK EXCHANGES
22-AUG-2017
|
SEBI VIDE ITS ORDER DATED 31/10/2018 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS EX-PARTE AD INTERIM ORDER DATED 22/08/2017 SUBJECT TO MODIFICATION MENTIONED IN INTERIM ORDER
SEBI VIDE ITS ORDER DATED 06/08/2021 VACATED INTERIM ORDER DATED 22/08/2017 AND CONFIRMATORY ORDER DATED 31/10/2018 WITH IMMEDIATE EFFECT
|
| 2 |
|
|
ADOLF PATRICK PINTO
|
|
|
ALLEGED INDULGENCE IN SYNCHRONIZED, CIRCULAR/REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF KRBL LTD.
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLIED WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF KRBL LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
28-JAN-2010
|
|
| 3 |
|
|
AMAN KOKRADY
(PAN:AKQPK3220N)
|
|
|
|
OPG SECURITIES PVT.LTD.
PAN:AAACO1081C
(Member : NSE)
|
|
GAINED ADVANTAGE BY CONSISTENTLY LOGGED IN FIRST ACROSS POP SERVERS ON ACCOUNT OF BEING AWARE OF THE WEAKNESS OF THE TCP/IP TBT SYSTEM ARCHITECTURE
TRIED TO CROWD OUT OTHER TRADING MEMBERS FROM TCP/IP TBT SYSTEM PLATFORM
GAINED UNFAIR ACCESS AND ADVANTAGE BY CONSISTENTLY LOGGING INTO SECONDARY POP SERVER FOR LARGE NUMBER OF DAYS VIOLATING CLAUSES A(1), A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF OPG SECURITIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-APR-2019 TO 29-APR-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-APR-2019 TO 29-APR-2024
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
30-APR-2019
|
SEBI VIDE ITS ORDER DATED 03/05/2019 ALLOWED OPG SECURITIES PVT.LTD. AND ITS DIRECTORS TO CLOSE OPEN POSITIONS IN FUTURES AND OPTIONS AND CURRENCY DERIVATIVES SEGMENTS OF OPG SECURITIES PVT.LTD. ON OR BEFORE EXPIRY DATE OF RESPECTIVE CONTRACTS OR WITHIN TWO MONTHS FROM 30/04/2019 WHICHEVER IS EARLIER
SAT: SAT VIDE ITS ORDER DATED 20/05/2019 MODIFIED ITS ORDER DATED 06/05/2019 TO THE EXTENT THAT APPELLANTS MAY DEPOSIT RS.7.50 CRORES IN CASH OR IN THE FORM OF BANK GUARANTEE FROM NATIONALIZED BANK ON OR BEFORE 30/05/2019
SAT: SAT VIDE ITS ORDER DATED 14/02/2024 ALLOWED RESPONDENT ONE WEEK TO FILE REPLY
SAT: SAT VIDE ITS ORDER DATED 27/02/2024 DISMISSED THE APPEAL AS WITHDRAWN
SAT: SAT VIDE ITS ORDER DATED 08/03/2024 DIRECTED SEBI TO GIVE FINAL OPPORTUNITY OF INSPECTION OF DOCUMENTS AND CROSS-EXAMINATION OF WITNESSES TO APPELLANTS. DIRECTED APPELLANTS TO APPEAR BEFORE WTM ON 15/03/2024 ON WHICH DATE THE APPELLANTS WILL BE PROVIDED FINAL OPPORTUNITY OF CROSS-EXAMINATION AND INSPECTION
SAT: SAT VIDE ITS ORDER DATED 15/03/2024 ACCEPTED PRAYER OF THE APPLICANT AND SCHEDULE LAID DOWN IS MODIFIED AS A) CROSS-EXAMINATION OF ORIGINAL APPELLANTS/OPG SECURITIES PVT.LTD. MAY TAKE PLACE FOR THREE HOURS EACH DAY UPTO SEVEN DAYS ON ANY DAYS BETWEEN 09/04/2024 TO 22/04/2024 B) FINAL HEARING BEFORE WTM MAY TAKE PLACE BETWEEN 01/05/2024 TO 10/05/2024 C) SEBI GIVEN TIME UPTO 30/06/2024 TO COMPLETE PROCEEDINGS INITIATED PURSUANT TO THE DIRECTION OF THIS TRIBUNAL IN PARA 266(G) TO (I) OF ORDER DATED 23/01/2023 IN APPEAL NO.184 OF 2019
SEBI VIDE ITS ORDER DATED 19/03/2024 DISPOSED OF WRIT PETITION, W.P.NO.2461 OF 2024, AMAN KOKRADY VS SEBI, BEFORE BOMBAY HIGH COURT WHEREIN BOMBAY HIGH COURT DIRECTED SEBI TO DECIDE FIRST THE ISSUE OF JURISDICTION RAISED BY MR.AMAN KOKRADY
SAT: SAT VIDE ITS ORDER DATED 02/07/2025 DIRECETD IF THE COMPANY IN APPEAL NO.696 OF 2024 DEPOSITS THE AMOUNT AS DIRECTED , BENEFIT OF INTERIM ORDER ALSO EXTEND TO THE APPELLANTS HEREIN
SAT: SAT VIDE ITS ORDER DATED 24/07/2025 GRANTED APPELLANTS SIX WEEKS TO SELL SHARES IN DEMAT ACCOUNT AND DEPOSIT THE AMOUNT
|
| 4 |
|
|
ANIL SURESHBHAI MISTRY
|
|
|
INDULGED IN CREATION OF ARTIFICIALLY MARKET AND PRICE MANIPULATION IN SCRIP OF MOH LTD.
VIOLATED REGULATION 4(A) OF PFUTP REGULATIONS, 1996
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-JUN-2007 TO 19-JUN-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-JUN-2007 TO 19-JUN-2009
20-JUN-2007
|
|
| 5 |
|
|
ANISH B.SHAH
|
|
|
|
MOH LTD.
PAN:AABCM0385L
|
|
ISSUED MISLEADING ADVERTISEMENT IN NEWSPAPERS REGARDING POSSIBILITIES OF BUYBACK WHICH WAS SUBSEQUENTLY WITHDRAWN BUT WITHOUT INFORMING THE SHAREHOLDERS
VIOLATED SEBI CODE OF CONDUCT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-MAY-2007 TO 17-MAY-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-MAY-2007 TO 17-MAY-2009
18-MAY-2007
|
|
| 6 |
|
|
ASHA SHARMA
(PAN:AWHPS6616H)
|
|
|
|
F6 FINSERVE PVT.LTD.
PAN:AABCF0080D
|
|
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
FUNDS RECEIVED IN CLIENT A/C TRANSFERRED TO OVERDRAFT BANK A/C
USED SECURITIES FROM CLIENTS TO MEET OBLIGATION OF ANOTHER CLIENT
MIS-UTILIZED SECURITIES FOR SETTLEMENT OF PRO/OWN OBLIGATION
RECEIVED SECURITIES FROM THIRD PARTY IN ITS CLIENTS A/C
DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES
RAISED FUNDS BY PLEDGING SECURITIES OF CLIENTS
INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES
DID NOT CO-OPERATE AND PROVIDE COMPLETE INFORMATION TO INSPECTION AUTHORITY VIOLATING OF REGULATION 21 OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO THE STATUTORY REQUIREMENTS VIOLATING REGULATION 9(F) READ WITH CLAUSES A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
INDULGED IN TRANSFER OF RS.5.51 CRORE (APPROX) BETWEEN F6 SECURITIES PVT.LTD. AND F6 COMMODITIES PVT.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-MAY-2018 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-MAY-2018 TILL FURTHER ORDERS
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 29-MAY-2018 TILL FURTHER ORDERS
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO UTILIZE ASSETS OF THE ENTITIES ONLY FOR THE PURPOSE OF PAYMENT OF MONEY AND/OR DELIVERY OF SECURITIES, AS THE CASE MAY BE, TO CLIENTS/INVESTORS UNDER THE SUPERVISION OF CONCERNED STOCK EXCHANGE(S)
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
29-MAY-2018
|
SEBI VIDE ITS ORDER DATED 14/12/2018 A) CONFIRMED THE DIRECTIONS ISSUED VIDE AD INTERIM EX-PARTE ORDER DATED 29/05/2018 B) DIRECTED DEPOSITORIES, REGISTRAR AND TRANSFER AGENTS AND BANKS THAT NO DEBITS/TRANSFER MADE FROM THE ACCOUNTS OF THE NOTICEES
SEBI VIDE ITS ORDER DATED 09/06/2022 DIRECTED TO BE CAREFUL BEFORE ASSOCIATING THEMSELVES AS A DIRECTOR IN ANY INTERMEDIARY OF THE SECURITIES MARKET
|
| 7 |
|
|
ATUL RATILAL SHAH
|
|
|
DELIVERED FAKE/FORGED SHARES
CONTRAVENED PROVISIONS OF REGULATION 3 AND 6(C) OF SEBI (PFUTP) IN THE SCRIP OF GUJARAT TEXSPIN LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-AUG-2007 TO 26-AUG-2012
27-AUG-2007
|
|
| 8 |
|
|
B.PALINICKER
|
|
|
|
MOH LTD.
PAN:AABCM0385L
|
|
ISSUED MISLEADING ADVERTISEMENT IN NEWSPAPERS REGARDING POSSIBILITIES OF BUYBACK WHICH WAS SUBSEQUENTLY WITHDRAWN BUT WITHOUT INFORMING THE SHAREHOLDERS
VIOLATED SEBI CODE OF CONDUCT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-MAY-2007 TO 17-MAY-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-MAY-2007 TO 17-MAY-2009
18-MAY-2007
|
|
| 9 |
|
|
CHAGAN BHAI A.MANANI
|
|
|
|
MOH LTD.
PAN:AABCM0385L
|
|
ISSUED MISLEADING ADVERTISEMENT IN NEWSPAPERS REGARDING POSSIBILITIES OF BUYBACK WHICH WAS SUBSEQUENTLY WITHDRAWN BUT WITHOUT INFORMING THE SHAREHOLDERS
VIOLATED SEBI CODE OF CONDUCT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-MAY-2007 TO 17-MAY-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-MAY-2007 TO 17-MAY-2009
18-MAY-2007
|
|
| 10 |
|
|
CHANDRA KUMAR SARAWGI
|
|
|
ALLEGED VIOLATION OF REGULATIONS 3, 4(1), 4(2)(A),(B),(G) AND (N) OF SEBI (PROHIBITION OF FRAUDULENT AND UNFAIR TRADE PRACTICES) REGULATIONS, 2003
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.20,000 VIDE CONSENT ORDER)
12-NOV-2008
|
|
| 11 |
|
|
CHETAN PABARI
|
|
|
|
C.V.PABARI & CO.
PAN:AABPP5757A
|
|
CERTIFIED ACCOUNTS OF LISTED COMPANY NEGLIGENTLY
DID NOT MAINTAIN PROFESSIONAL STANDARD IN AUDIT
|
RESTRAINED FROM ISSUING ANY CERTIFICATE, DIRECTLY OR INDIRECTLY, REQUIRED UNDER SECURITIES LAWS I.E.SEBI ACT FROM 31-OCT-2018 TO 30-OCT-2023
DIRECTED NOT TO DIRECTLY OR INDIRECTLY ISSUE ANY CERTIFICATE OF AUDIT OF LISTED COMPANIES, COMPLIANCE OF OBLIGATIONS OF LISTED COMPANIES AND INTERMEDIARIES REGISTERED WITH SEBI AND REQUIREMENTS UNDER SEBI ACT, 1992, SCRA 1956, THE DEPOSITORY ACT, 1996 AND COMPANIES ACT 2013 FROM 31-OCT-2018 TO 30-OCT-2023
30-AUG-2017
|
SEBI VIDE ITS ORDER DATED 31/10/2018 DIRECTED 1) NOT TO DIRECTLY OR INDIRECTLY ISSUE ANY CERTIFICATE OF AUDIT OF LISTED COMPANIES, COMPLIANCE OF OBLIGATIONS OF LISTED COMPANIES AND INTERMEDIARIES REGISTERED WITH SEBI AND REQUIREMENTS UNDER SEBI ACT, 1992, SECURITIES CONTRACTS (REGULATION) ACT, 1956, DEPOSITORY ACT,1996 AND COMPANIES ACT, 2013 FOR A PERIOD OF FIVE YEARS AND DIRECTED LISTED COMPANIES AND INTERMEDIARIES REGISTERED WITH SEBI NOT TO ENGAGE WITH C. V PABARI & CO. AND MR.C.V.PABARI FOR ISSUING ANY CERTIFICATE WITH RESPECT TO COMPLIANCE OF STATUTORY REQUIREMENTS FOR FIVE YEARS
|
| 12 |
|
|
DEEPAK GOEL
(PAN:ADEPG1122G)
|
|
|
|
F6 FINSERVE PVT.LTD.
PAN:AABCF0080D
|
|
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
FUNDS RECEIVED IN CLIENT A/C TRANSFERRED TO OVERDRAFT BANK A/C
USED SECURITIES FROM CLIENTS TO MEET OBLIGATION OF ANOTHER CLIENT
MIS-UTILIZED SECURITIES FOR SETTLEMENT OF PRO/OWN OBLIGATION
RECEIVED SECURITIES FROM THIRD PARTY IN ITS CLIENTS A/C
DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES
MISUTILIZED CLIENTS FUNDS FOR DEBIT OBLIGATION OF OWN/OTHER CLIENTS
RAISED FUNDS BY PLEDGING SECURITIES OF CLIENTS
INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES
INDULGED IN TRANSFER OF RS.5.51 CRORE (APPROX) BETWEEN F6 SECURITIES PVT.LTD. AND F6 COMMODITIES PVT.LTD.
DID NOT CO-OPERATE AND PROVIDE COMPLETE INFORMATION TO INSPECTION AUTHORITY VIOLATING OF REGULATION 21 OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO THE STATUTORY REQUIREMENTS VIOLATING REGULATION 9(F) READ WITH CLAUSES A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-JUN-2022 TO 08-JUN-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-JUN-2022 TO 08-JUN-2027
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 09-JUN-2022 TO 08-JUN-2027
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO UTILIZE ASSETS OF THE ENTITIES ONLY FOR THE PURPOSE OF PAYMENT OF MONEY AND/OR DELIVERY OF SECURITIES, AS THE CASE MAY BE, TO CLIENTS/INVESTORS UNDER THE SUPERVISION OF CONCERNED STOCK EXCHANGE(S)
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
RESTRAINED AND FURTHER PROHIBITED FROM HOLDING AND OCCUPYING ANY MANAGERIAL POST OR BEING ASSOCIATED DIRECTLY OR INDIRECTLY WITH ANY LISTED PUBLIC COMPANY AND/OR ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM 09-JUN-2022 TO 08-JUN-2027
DIRECTED TO REFUND MONEY TO THE INVESTORS
29-MAY-2018
|
SEBI VIDE ITS ORDER DATED 14/12/2018 A) CONFIRMED THE DIRECTIONS ISSUED VIDE AD INTERIM EX-PARTE ORDER DATED 29/05/2018 B) DIRECTED DEPOSITORIES, REGISTRAR AND TRANSFER AGENTS AND BANKS THAT NO DEBITS/TRANSFER MADE FROM THE ACCOUNTS OF THE NOTICEES
SEBI VIDE ITS ORDER DATED 09/06/2022 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET IN ANY MANNER AND ARE ALSO PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER MANNER FOR FIVE YEARS B) NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS, WHETHER MOVABLE OR IMMOVABLE (INCLUDING FUNDS IN THEIR BANK ACCOUNTS) OR CREATE ANY INTEREST OR CHARGE IN ANY SUCH ASSETS, TILL SUCH TIME THE REFUNDS/REPAYMENTS C) BANKS TO ENSURE THAT NO DEBITS ARE MADE IN THE BANK ACCOUNTS HELD JOINTLY OR SEVERALLY BY NOTICES EXCEPT FOR THE PURPOSE OF PAYMENT OF MONEY TO THE CLIENTS/INVESTORS UNDER WRITTEN CONFIRMATION OF THE CONCERNED STOCK EXCHANGE D) RESTRAINED FROM HOLDING POST OF DIRECTOR, ANY MANAGERIAL POSITION OR ASSOCIATING THEMSELVES IN ANY CAPACITY WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC, OR ANY SECURITIES MARKET INTERMEDIARY REGISTERED WITH SEBI FOR FIVE YEARS E) JOINTLY AND SEVERALLY, LIABLE TO REPAY/REFUND THE INVESTORS/CLIENTS’ MONEY WITH INTEREST OF 15% P.A. FROM THE DATE WHEN THE REPAYMENT BECAME DUE TILL DATE OF ACTUAL REPAYMENT UNDER SUPERVISION OF NSE F) JOINTLY AND SEVERALLY, LIABLE TO RETURN THE SECURITIES DUE TO THE CLIENTS/INVESTORS OF F6 FINSERVE OR THEIR MONETARY VALUE AS ON THE DATE OF ACTUAL PAYMENT OF MONEY IN LIEU OF SHARES, UNDER THE SUPERVISION OF NSE
|
| 13 |
|
|
DILIP KUMAR NAHATA
|
|
|
|
SURAJ SECURITIES & FINANCE LTD.
|
|
MIS-STATEMENTS AND NON-DISCLOSURES OF MATERIAL INFORMATION IN PROSPECTUS WERE FRAUDULENT ACTS AS DEFINED UNDER REGULATION 2(C) OF SEBI (PFUTP) REGULATIONS, 1995
DID NOT EXERCISE DUE SKILL, DILIGENCE AND CARE IN PUBLIC ISSUE OF SURAJ SECURITIES & FINANCE LTD.
VIOLATED SEBI CODE OF CONDUCT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 06-SEP-2004 TO 05-SEP-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-SEP-2004 TO 05-SEP-2009
06-SEP-2004
|
|
| 14 |
|
|
IMITIYAZHUSAIN SAIYED MOHMED SAIYED
(DIN:02783229
PAN:ACCPS4868C)
|
|
|
|
IMTSONS INVESTMENTS LTD.
CIN:U65993GJ2009PLC058732
PAN:AACCI1780J
|
|
ENTERED INTO AGREEMENTS WITH CLIENTS/INVESTORS FOR INVESTMENTS IN SECURITIES MARKET, COLLECTING & MANAGING THEIR FUNDS FOR SUCH INVESTMENTS AND PROMISED ASSURED RETURNS ON THEIR INVESTMENTS VIOLATING SECTION 12(1) OF SEBI ACT, RULE 8(3)(F) OF SECURITIES CONTRACTS (REGULATION) RULES, 1957
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 15 READ WITH CLAUSES A(1), A(2), D(1) AND D(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (SUB BROKERS) REGULATIONS, 1992
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 06-OCT-2017 TO 05-OCT-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-OCT-2017 TO 05-OCT-2020
DIRECTED TO REPAY/REFUND TO INVESTORS / CLIENTS MONEY WITH INTEREST @15% P.A. FROM THE DATE OF REPAYMENT DUE TILL THE DATE OF ACTUAL PAYMENT
DIRECTED TO PROVIDE CERTIFICATE FROM CHARTERED ACCOUNTANT IN PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION
06-OCT-2017
|
SEBI VIDE ITS NOTICE DATED 30/05/2022 DIRECTED TO PAY RS.32,75,90,041.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 31/01/2025 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 18/08/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.37,62,51,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 15 |
|
|
J.L.BARDIA
|
|
|
|
SURAJ SECURITIES & FINANCE LTD.
|
|
MIS-STATEMENTS AND NON-DISCLOSURES OF MATERIAL INFORMATION IN PROSPECTUS WERE FRAUDULENT ACTS AS DEFINED UNDER REGULATION 2(C) OF SEBI (PFUTP) REGULATIONS, 1995
DID NOT EXERCISE DUE SKILL, DILIGENCE AND CARE IN PUBLIC ISSUE OF SURAJ SECURITIES & FINANCE LTD.
VIOLATED SEBI CODE OF CONDUCT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 06-SEP-2004 TO 05-SEP-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-SEP-2004 TO 05-SEP-2009
06-SEP-2004
|
|
| 16 |
|
|
JIVRAJBHAI M.PATEL
|
|
|
|
GUJARAT TEXSPIN LTD.
CIN:L17110GJ1992PLC018186
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
COMMITTED IRREGULARITIES IN EFFECTING TRANSFERS
CONTRAVENED PROVISIONS OF REGULATION 3 AND 6(C) OF SEBI (PFUTP) IN THE SCRIP OF GUJARAT TEXSPIN LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-AUG-2007 TO 26-AUG-2012
27-AUG-2007
|
|
| 17 |
|
|
KAVITA ANAND
(PAN:ABHPA9289M)
|
|
|
|
F6 FINSERVE PVT.LTD.
PAN:AABCF0080D
|
|
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
FUNDS RECEIVED IN CLIENT A/C TRANSFERRED TO OVERDRAFT BANK A/C
USED SECURITIES FROM CLIENTS TO MEET OBLIGATION OF ANOTHER CLIENT
MIS-UTILIZED SECURITIES FOR SETTLEMENT OF PRO/OWN OBLIGATION
RECEIVED SECURITIES FROM THIRD PARTY IN ITS CLIENTS A/C
DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES
RAISED FUNDS BY PLEDGING SECURITIES OF CLIENTS
INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES
DID NOT CO-OPERATE AND PROVIDE COMPLETE INFORMATION TO INSPECTION AUTHORITY VIOLATING OF REGULATION 21 OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO THE STATUTORY REQUIREMENTS VIOLATING REGULATION 9(F) READ WITH CLAUSES A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
INDULGED IN TRANSFER OF RS.5.51 CRORE (APPROX) BETWEEN F6 SECURITIES PVT.LTD. AND F6 COMMODITIES PVT.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-MAY-2018 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-MAY-2018 TILL FURTHER ORDERS
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 29-MAY-2018 TILL FURTHER ORDERS
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO UTILIZE ASSETS OF THE ENTITIES ONLY FOR THE PURPOSE OF PAYMENT OF MONEY AND/OR DELIVERY OF SECURITIES, AS THE CASE MAY BE, TO CLIENTS/INVESTORS UNDER THE SUPERVISION OF CONCERNED STOCK EXCHANGE(S)
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
29-MAY-2018
|
SEBI VIDE ITS ORDER DATED 14/12/2018 A) CONFIRMED THE DIRECTIONS ISSUED VIDE AD INTERIM EX-PARTE ORDER DATED 29/05/2018 B) DIRECTED DEPOSITORIES, REGISTRAR AND TRANSFER AGENTS AND BANKS THAT NO DEBITS/TRANSFER MADE FROM THE ACCOUNTS OF THE NOTICEES
SEBI VIDE ITS ORDER DATED 09/06/2022 DIRECTED TO BE CAREFUL BEFORE ASSOCIATING THEMSELVES AS A DIRECTOR IN ANY INTERMEDIARY OF THE SECURITIES MARKET
|
| 18 |
|
|
KRISHNA KUMAR GARG
|
|
|
|
SURAJ SECURITIES & FINANCE LTD.
|
|
MIS-STATEMENTS AND NON-DISCLOSURES OF MATERIAL INFORMATION IN PROSPECTUS WERE FRAUDULENT ACTS AS DEFINED UNDER REGULATION 2(C) OF SEBI (PFUTP) REGULATIONS, 1995
DID NOT EXERCISE DUE SKILL, DILIGENCE AND CARE IN PUBLIC ISSUE OF SURAJ SECURITIES & FINANCE LTD.
VIOLATED SEBI CODE OF CONDUCT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 06-SEP-2004 TO 05-SEP-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-SEP-2004 TO 05-SEP-2009
06-SEP-2004
|
|
| 19 |
|
|
M.K.NAHATA
|
|
|
|
SURAJ SECURITIES & FINANCE LTD.
|
|
MIS-STATEMENTS AND NON-DISCLOSURES OF MATERIAL INFORMATION IN PROSPECTUS WERE FRAUDULENT ACTS AS DEFINED UNDER REGULATION 2(C) OF SEBI (PFUTP) REGULATIONS, 1995
DID NOT EXERCISE DUE SKILL, DILIGENCE AND CARE IN PUBLIC ISSUE OF SURAJ SECURITIES & FINANCE LTD.
VIOLATED SEBI CODE OF CONDUCT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 06-SEP-2004 TO 05-SEP-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-SEP-2004 TO 05-SEP-2009
06-SEP-2004
|
|
| 20 |
|
|
MANUBHAI OGHADLAL SHAH
|
|
|
|
MOH LTD.
PAN:AABCM0385L
|
|
ISSUED MISLEADING ADVERTISEMENT IN NEWSPAPERS REGARDING POSSIBILITIES OF BUYBACK WHICH WAS SUBSEQUENTLY WITHDRAWN BUT WITHOUT INFORMING THE SHAREHOLDERS
VIOLATED SEBI CODE OF CONDUCT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-MAY-2007 TO 17-MAY-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-MAY-2007 TO 17-MAY-2009
18-MAY-2007
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 1 of 3
|
