| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 181 |
|
AJAY KUMAR KATTA
(PAN:ACXPK2323H)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF ECO FRIENDLY FOOD PROCESSING PARK LTD., ESTEEM BIO ORGANIC FOOD PROCESSING LTD., CHANNEL NINE ENTERTAINMENT LTD. AND HPC BIOSCIENCES LTD.
MISUSED STOCK EXCHANGE SYSTEM TO GENERATE FICTITIOUS LONG-TERM CAPITAL GAINS (LTCG) TO CONVERT UNACCOUNTED INCOME INTO ACCOUNTED ONE WITH NO PAYMENT OF TAXES AS LTCG IS TAX EXEMPT IN THE MATTER OF ECO FRIENDLY FOOD PROCESSING PARK LTD., ESTEEM BIO ORGANIC FOOD PROCESSING LTD., CHANNEL NINE ENTERTAINMENT LTD. AND HPC BIOSCIENCES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-JUN-2015 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-JUN-2015 TILL FURTHER ORDERS
29-JUN-2015
|
SEBI VIDE ITS ORDER DATED 15/06/2017 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 29/06/2015 SUBJECT TO THE RELIEFS DETAILED WITH IMMEDIATE EFFECT : A) CARRY ON DELIVERY BASED TRANSACTIONS IN CASH SEGMENT IN SECURITIES COVERED IN NSE NIFTY 500 INDEX SCRIPS AND / OR S&P BSE 500 SCRIPS B) SUBSCRIBE TO UNITS OF MUTUAL FUNDS INCLUDING THROUGH SIP AND REDEEM THE UNITS OF MUTUAL FUNDS SO SUBSCRIBED C) DEAL IN DEBT/GOVERNMENT SECURITIES D) INVEST IN ETF E) AVAIL THE BENEFITS OF CORPORATE ACTIONS LIKE RIGHTS ISSUE, BONUS ISSUE, STOCK SPLIT, DIVIDEND, ETC. F) TENDER / SELL THE SHARES LYING IN THEIR DEMAT ACCOUNTS OR IN ANY OPEN OFFER/DELISTING OFFER UNDER THE RELEVANT REGULATIONS OF SEBI, AS ON THE DATE OF THE INTERIM ORDER, WITH THE CONDITION THAT THE SALE PROCEEDS SHOULD BE DEPOSITED IN AN INTEREST BEARING ESCROW ACCOUNT WITH A NATIONALIZED BANK. G) DEAL WITH OR UTILIZE THE SALE PROCEEDS LYING IN THE ESCROW ACCOUNT UNDER THE SUPERVISION OF THE CONCERNED STOCK EXCHANGE AS PROVIDED I) SALE PRODEEDS MAY BE UTILISED FOR INVESTMENTS PERMITTED IN 35 (A) II) UPTO 25% OF THE VALUE OF THE PORTFOLIO AS ON THE DATE OF THE INTERIM ORDER OR THE AMOUNT IN EXCESS OF THE PROFIT MADE /LOSS INCURRED OR VALUE OF SHARES PURCHASED TO GIVE EXIT, WHICHEVER IS HIGHER, MAY BE UTILIZED FOR BUSINESS PURPOSES AND/OR FOR MEETING ANY OTHER EXIGENCIES OR ADDRESS LIQUIDITY PROBLEMS
SEBI VIDE ITS ORDER DATED 06/09/2017 REVOKED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 29/06/2015 READ WITH CORRIGENDUM ORDER DATED 04/01/2016
SAT: SAT VIDE ITS ORDER DATED 15/06/2023 REJOINDER TO BE FILE WITHIN TWO WEEKS FROM DATE OF THIS ORDER
|
| 182 |
|
|
AJAY KUMAR MAHAPATRA
(PAN:AEZPM0434K)
|
|
|
|
MASS INFRA REALTY LTD.
CIN:U45400WB2010PLC152714
PAN:AAGCM7419N
|
|
MOBILIZED RS.37.90 CRORES FROM PUBLIC THROUGH ISSUANCE OF NON-CONVERTIBLE REDEEMABLE DEBENTURES SHARES (NCDS) BY WAY OF PRIVATE PLACEMENT TO 14,256 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36), 73, 117B AND 117C OF THE COMPANIES ACT, 1956 READ WITH THE COMPANIES ACT, 2013 AND THE DEBT SECURITIES REGULATIONS
|
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 25-APR-2016 TO 24-APR-2020
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-APR-2016 TO 24-APR-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-APR-2016 TO 24-APR-2020
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 25-APR-2016 TO 24-APR-2020
04-DEC-2014
|
SEBI VIDE ITS ORDER DATED 25/04/2016 DIRECTED TO A) JOINTLY AND SEVERALLY, REFUND THE MONEY COLLECTED THROUGH ISSUANCE OF NON-CONVERTIBLE REDEEMABLE DEBENTURES (NCDS) WITH INTEREST @ 15% P.A. COMPOUNDED AT HALF YEARLY INTERVALS FROM THE DATE WHEN REPAYMENTS BECAME DUE TO INVESTORS TILL DATE OF ACTUAL PAYMENT THROUGH BANK DEMAND DRAFT OR PAY ORDER B) PERMITTED TO SELL ASSETS OF THE COMPANY ONLY FOR SOLE PURPOSE OF MAKING REFUNDS INCLUDING INTEREST AND DEPOSIT PROCEEDS IN ESCROW ACCOUNT OPENED WITH A NATIONALISED BANK C) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING THE MODALITIES FOR REFUND D) DIRECTED TO PROVIDE FULL INVENTORY OF ALL ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, OR HELD IN PHYSICAL FORM E) RESTRAINED FROM ACCESSING SECURITIES MARKET AND ARE FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY AND ARE ALSO RESTRAINED FROM ASSOCIATING THEMSELVES WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FOR A PERIOD OF FOUR YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS
SAT: SAT VIDE ITS ORDER DATED 19/09/2017 CONDONED THE DELAY OF 10 DAYS IN FILING OF APPEAL. FURTHER, PERMITTED APPELLANTS TO WITHDRAW THE APPEAL WITH LIBERTY TO FILE FRESH APPEAL WITHIN TWO WEEKS FROM THE DATE OF THIS ORDER. NO COSTS
SEBI VIDE ITS NOTICE DATED 02/09/2020 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1. ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) BY WHATEVER NAME CALLED INCLUDING LOCKERS 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 ORDER DATED 13/04/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.37,90,00,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTGS
SAT: SAT VIDE ITS ORDER DATED 16/01/2026 DISMISSED THE APPEAL. NO COSTS
|
| 183 |
|
|
AJAY KUMAR MUKHIYA
(PAN:EQCPM6774F)
|
|
|
|
MOMENTUM TIPS
PAN:EQCPM6774F
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 25-OCT-2022 TO 24-OCT-2025
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-OCT-2022 TO 24-OCT-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-OCT-2022 TO 24-OCT-2025
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY INVESTMENT ADVISORY SERVICES AND/OR RESEARCH ANALYST ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI FROM 25-OCT-2022 TO 24-OCT-2025
25-OCT-2022
|
SEBI VIDE ITS NOTICE DATED 29/05/2025 DIRECTED TO PAY RS.43,83,115.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 13/11/2025 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS, MUTUAL FUNDS FOLIOS AND/OR POST OFFICE ACCOUNT 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 19/12/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.46,72,684.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 184 |
|
|
AJAY KUMAR SHARMA
(PAN:ANQPS0753F
DIN:02356951)
|
|
|
|
MORAL COMMOTRADE LTD.
CIN:U51909WB2010PLC152841
PAN:AAGCM8052P
|
|
|
MORAL DEVCON LTD.
CIN:U45400UP2011PLC045251
PAN:AAHCM3170B
|
|
|
MORAL HEALTH & PERSONAL CARE LTD.
CIN:U51900MP2011PLC026128
PAN:AAHCM3158P
|
|
|
MORAL INFRASTRUCTURES CORP.LTD.
CIN:U45300WB2010PLC145291
PAN:AAGCM4867L
|
|
MOBILIZED RS.15.70 CRORES FROM PUBLIC THROUGH ISSUANCE OF NON-CONVERTIBLE DEBENTURES (NCDS) BY WAY OF PRIVATE PLACEMENT TO 33,848 INVESTORS VIOLATING SECTIONS 67 AND 73 OF THE COMPANIES ACT, 1956 AND REGULATIONS 4(2), 4(3), 4(4), 6(1), 6(6), 16(1) AND 19(1) OF SEBI (ISSUE AND LISTING OF DEBT SECURITIES) REGULATIONS, 2008
|
DIRECTED TO REFUND MONEY COLLECTED TOWARDS ALLOTMENT OF NON-CONVERTIBLE DEBENTURES ALONGWITH INTEREST @15% PER ANNUM
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-OCT-2017 TO 30-OCT-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-OCT-2017 TO 30-OCT-2021
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 31-OCT-2017 TO 30-OCT-2021
31-OCT-2017
|
SAT: SAT VIDE ITS ORDER DATED 09/05/2018 PERMITTED APPELLANTS TO WITHDRAW THE APPEAL WITH LIBERTY TO MAKE REPRESENTATION TO SEBI WITHIN SIX WEEKS FROM THE DATE OF THIS ORDER. NO COSTS
SEBI VIDE ITS ORDER DATED 20/03/2020 DIRECTED TO 1) NEWSPAPER PUBLICATION IN ONE WIDELY CIRCULATED NEWSPAPER, ONE IN ENGLISH AND HINDI EACH, INVITING COMPLAINTS/CLAIMS FROM ANY INVESTOR IN RESPECT OF NON-CONVERTIBLE DEBENTURES (NCDS) ISSUED THAT ARE STILL OUTSTANDING WITHIN TWO MONTH FROM DATE OF THIS ORDER 2) NEWSPAPER PUBLICATION TO CONTAIN ADVISORY, INFORMING THE INVESTOR TO FORWARD A COPY OF SUCH COMPLAINTS/CLAIMS, WITH SUPERSCRIPTION “COMPLAINTS/CLAIMS IN MATTER OF MORAL GROUP OF COMPANIES”, TO ENFORCEMENT DEPARTMENT-I (DRA-IV), MUMBAI - 400051 3) COMPANY AND DIRECTORS TO SUBMIT TO SEBI A COMPLIANCE REPORT ALONG WITH INFORMATION ON COMPLAINTS RECEIVED AND MONIES REFUNDED, WITHIN TWO MONTHS FROM DATE OF PUBLICATION IN NEWSPAPERS 4) CONTINUE TO RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET AND FROM ASSOCIATING THEMSELVES WITH ANY LISTED COMPANY OR ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC TILL FURTHER ORDERS
SEBI VIDE ITS ORDER DATED 13/01/2021 DIRECTED TO RESTRAINED / PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, FROM ACCESSING THE SECURITIES MARKET AND FROM ASSOCIATING THEMSELVES WITH ANY LISTED COMPANY OR ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FOR A PERIOD OF FOUR YEARS FROM 31/10/2017
|
| 185 |
|
|
AJAY MAHAJAN
|
|
|
|
DANIN LEATHERS LTD.
|
|
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-MAY-2000 TO 10-MAY-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-MAY-2000 TO 10-MAY-2005
11-MAY-2000
|
|
| 186 |
|
|
AJAY NIRANJAN THAKER
(PAN:AEVPT3698G)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET & PRICE MANIPULATION IN SCRIP OF VOLTAIRE LEASING & FINANCE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-APR-2020 TO 12-OCT-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-APR-2020 TO 12-OCT-2020
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
13-APR-2020
|
|
| 187 |
|
|
AJAY PRAKASH
|
|
|
|
KAMARAO PLASTIQUE PVT.LTD.
|
|
INDULGED IN FICTITIOUS/CIRCULAR AND MANIPULATIVE TRANSACTIONS IN SCRIP OF CYBERSPACE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-MAR-2008 TO 02-MAR-2013
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-MAR-2008 TO 02-MAR-2013
03-MAR-2008
|
|
| 188 |
|
|
AJAY RAMESHWAR AGARWAL
|
|
|
|
TRIDENT STEELS LTD.
|
|
HOLDINGS OF PROMOTERS HAD ALREADY BEEN PLEDGED TO A BANK FOR RAISING CREDIT LIMITS
DID NOT DISCLOSE IN PROSPECTUS PRINCIPAL TERMS OF LOAN AND ASSETS CHARGED AS SECURITY
MIS-STATEMENTS IN THE PROSPECTUS
DID NOT TRANSFER SHARES LODGED FOR TRANSFER
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-MAR-2004 TO 30-MAR-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAR-2004 TO 30-MAR-2009
31-MAR-2004
|
SAT: SET ASIDE SEBI ORDER DATED 31/03/2004 VIDE ITS ORDER DATED 28/04/2004. SET ASIDE SAT ORDER DATED 28/10/2004 AND UPHELD SEBI ORDER DATED 31/03/2004, VIDE ITS ORDER DATED 25/02/2010 AND DIRECTED AJAY AGARWAL TO BE RESTRAINED FROM ASSOCIATING WITH ANY CORPORATE BODY IN ACCESSING SECURITIES MARKET AND ALSO PROHIBITED FROM BUYING, SELLING OR DEALING IN SECURITIES FOR A BALANCE PERIOD OF FOUR YEARS AND SIX MONTHS FROM DATE OF ORDER 25/02/2010, AS AJAY AGARWAL HAS ALREADY SUFFERED DEBARMENT FOR ALMOST SIX MONTHS
|
| 189 |
|
|
AJAY ROONGTA
(PAN:AAVPR5584R)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED/CIRCULAR TRANSACTIONS IN SCRIPS OF ALLCARGO LOGISTICS LTD.,ASIAN STAR CO.LTD.,KSL & INDUSTRIES LTD.,MAVENS BIOTECH LTD.,PANORAMIC UNIVERSAL LTD.,RASI ELECTRONIC LTD.,SAT INDUSTRIES LTD. AND USHDEV INTERNATIONAL LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 06-SEP-2013 TO 05-SEP-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-SEP-2013 TO 05-SEP-2020
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
27-MAY-2011
|
SEBI VIDE ITS ORDER DATED 27/03/2012 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS EX-PARTE AD INTERIM ORDER DATED 27/05/2011
SEBI VIDE ITS ORDER DATED 06/09/2013 RESTRAINED NOTICEES FROM ACCESSING CAPITAL MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, FOR A PERIOD OF FIVE YEARS FROM DATE OF ORDER
|
| 190 |
|
|
AJAY ROONGTA
(PAN:AAVPR5584R)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, STRUCTURED, CIRCULAR AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF ASIAN STAR CO.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 06-SEP-2020 TO 05-SEP-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-SEP-2020 TO 05-SEP-2025
27-MAY-2014
|
|
| 191 |
|
|
AJAY SAMPATRAJ JAIN
(PAN:AABPJ0451D)
|
|
|
|
MADHAV STOCK VISION PVT.LTD.
PAN:AABCM8845M
(Member : NSE)
|
|
INDULGED IN FRONT RUNNING THE TRADES OF BIG CLIENTS VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 24-JUL-2026 TO 23-JUL-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-JUL-2026 TO 23-JUL-2027
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF COMPLYING WITH THIS ORDER
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
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
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
23-APR-2025
DIRECTED TO DISGORGE RS.2,51,15,698 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
24-JUL-2026
|
SAT: SAT VIDE ITS ORDER DATED 10/08/2026 ALLOWED APPLICATION FOR EXEMPTION AND GRANTED RESPONDENT SIX WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER
|
| 192 |
|
|
AJAY SANGHAVI
|
|
|
|
NEXUS SOFTWARE LTD.
PAN:AAACR2591J
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-DEC-2010 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-DEC-2010 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
13-DEC-2010
|
|
| 193 |
|
|
AJAY SANTOSHRAO KADHAO
|
|
|
|
ENKAY TEXOFOOD INDUSTRIES LTD.
PAN:AAACE0833A
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-OCT-2003 TO 09-OCT-2008
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-OCT-2003 TO 09-OCT-2008
10-OCT-2003
|
|
| 194 |
|
|
AJAY SARAF
(PAN:AKYPS6638Q)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHERS ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 10/09/2012 REVOKED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/07/2009 AND CONFIRMATORY ORDER DATED 30/10/2009 WITH IMMEDIATE EFFECT
|
| 195 |
|
|
AJAY SATIA
|
|
|
|
VIJAY REMEDIES LTD.
CIN:L74899DL1994PLC057803
|
|
MIS-STATEMENTS IN THE PROSPECTUS
MISUTILIZED ISSUE PROCEEDS
USED PROCEEDS OF PUBLIC ISSUE FOR PURCHASE OF OWN SHARES
IRREGULAR ALLOTMENT OF SHARES IN PUBLIC ISSUE OF VIJAY REMEDIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-JAN-2003 TO 26-JAN-2008
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-JAN-2003 TO 26-JAN-2008
27-JAN-2003
|
SAT: APPEAL DISMISSED
|
| 196 |
|
|
AJAY SETHI
(PAN:AIDPS3802K)
|
|
|
|
CHROMATIC INDIA LTD.
PAN:AAACC6220B
|
|
DID NOT MAKE CORRECT DISCLOSURE TO STOCK EXCHANGES ABOUT SUBSCRIPTION OF GDR ISSUE VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) & 4(1) OF PFUTP REGULATIONS, 2003 IN MATTER OF CHROMATIC INDIA LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-SEP-2019 TO 29-SEP-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-SEP-2019 TO 29-SEP-2020
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
30-SEP-2019
|
SAT: SAT VIDE ITS ORDER DATED 12/05/2021 DISMISSED THE APPEAL
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| 197 |
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AJAY SHANKARLAL BANKDA
(PAN:ADHPB2851J)
|
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SYNCOM HEALTHCARE LTD.
PAN:AAKCS3247G
|
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INDULGED IN APPROVAL OF BOARD RESOLUTION WITHOUT MENTIONING GDR ISSUE VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SYNCOM HEALTHCARE LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-JAN-2019 TO 14-JAN-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-JAN-2019 TO 14-JAN-2024
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
15-JAN-2019
|
SAT: SAT VIDE ITS ORDER DATED 30/04/2021 DISMISSED THE APPEAL
|
| 198 |
|
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AJAY SHARMA
|
|
|
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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
|
| 199 |
|
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AJAY SINGH
(PAN:AMOPS6983Q)
|
|
|
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RASOYA PROTEINS LTD.
CIN:L15143MH1992PLC066662
PAN:AABCM1757C
|
|
DID NOT MAKE DISCLOSURES TO BSE AS REQUIRED UNDER CLAUSE 22 AND 36 OF LISTING AGREEMENT AND MADE FALSE & MISLESDING DISCLOSURES/REPRESENTATIONS IN ANNUAL REPORT OF RASOYA PROTIEN LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 24-SEP-2014 TO 22-OCT-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-SEP-2014 TO 22-OCT-2021
DIRECTED NOT TO DEAL IN SECURITIES OR INSTRUMENT EXCHANGEABLE OR CONVERTIBLE INTO SECURITIES, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 24-SEP-2014 TO 22-OCT-2021
24-SEP-2014
|
SEBI VIDE ITS ORDER DATED 23/03/2015 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 24/09/2014
SAT: SAT VIDE ITS ORDER DATED 12/09/2017 DISPOSED OFF THE APPEAL AS THE COUNSEL FOR SEBI ON INSTRUCTION STATES THAT INVESTIGATION IN CASE OF APPELLANT WOULD BE COMPLETED WITHIN A PERIOD OF THREE MONTHS FROM DATE OF THIS ORDER AND IF DEEMED FIT SHOW CAUSE NOTICE WOULD BE ISSUED WITHIN A PERIOD OF TWO WEEKS THEREAFTER. NO COSTS
SEBI VIDE ITS ORDER DATED 21/10/2021 RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY AND ASSOCIATING WITH SECURITIES MARKET IN ANY MANNER TILL THE DATE OF THIS ORDER
|
| 200 |
|
|
AJAY SINGH
(PAN:EBAPS3617G)
|
|
|
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RE INDIA INFRATECH LTD.
CIN:U45400DL2010PLC206350
PAN:AAECR8905J
|
|
MOBILIZED RS.16.88 CRORE FROM PUBLIC THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 13,662 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH SECTIONS 2(36), 67(3) AND 73 OF THE COMPANIES ACT, 1956 READ WITH SECTION 465(2) OF THE COMPANIES ACT, 2013 IN MATTER OF RE INDIA INFRATECH LTD.
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PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 24-FEB-2025 TO 23-MAY-2025
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 24-FEB-2025 TO 23-MAY-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-FEB-2025 TO 23-MAY-2025
24-FEB-2025
|
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| 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 487
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