| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 181 |
|
ANMOL SINGH JAGGI
(PAN:AGNPJ4504B)
|
|
|
|
GENSOL ENGINEERING LTD.
CIN:L74210GJ2012PLC129176
PAN:AAECG9092M
|
|
MISUTILISED AND DIVERTED FUNDS BY SUBMITTING FORGED CONDUCT LETTERS PURPORTEDLY ISSUED BY ITS LENDERS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF GENSOL ENGINEERING LTD.
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS UNDER REGULATIONS 4 AND 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF GENSOL ENGINEERING LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-APR-2025 UNTIL FURTHER ORDERS
DIRECTED SEBI TO APPOINT FORENSIC AUDITOR TO EXAMINE BOOKS OF ACCOUNTS
RESTRAINED FROM HOLDING ANY POSITION AS A DIRECTOR OR A KEY MANAGERIAL PERSONNEL IN GENSOL ENGINEERING LTD. FROM 15-APR-2025 UNTIL FURTHER ORDERS
15-APR-2025
|
SEBI VIDE ITS ORDER DATED 30/07/2025 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 15/04/2025
|
| 182 |
|
|
ANNASWAMI VENKATRAMANI
(PAN:AABPV3960F)
|
|
|
|
G.V.FILMS LTD.
CIN:L92490MH1989PLC238780
PAN:AAACG2118C
|
|
SIGNED ACCOUNT CHARGES AGREEMENT WHICH PROVIDED GDR PROCEEDS TO BE KEPT AS A SECURITY TOWARDS LOAN AVAILED BY WHITEVIEW FOR SUBSCRIPTION OF GDR 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 G.V.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-JUN-2019 TO 24-JUN-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-JUN-2019 TO 24-JUN-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
25-JUN-2019
|
SAT: SAT VIDE ITS ORDER DATED 09/10/2020 DISMISSED THE APPEAL
|
| 183 |
|
|
ANNASWAMI VENKATRAMANI
(PAN:AABPV3960F)
|
|
|
|
KAASHYAP TECHNOLOGIES LTD.
CIN:U72300TN1997PLC038233
PAN:AAACK4451A
|
|
INDULGED IN APPROVAL OF BOARD RESOLUTION OF GDR ISSUE VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF KAASHYAP TECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.20,00,000
29-JUL-2022
|
SEBI VIDE ITS NOTICE DATED 26/05/2023 DIRECTED TO PAY RS.22,21,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 23/06/2023 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 24/07/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.22,61,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SAT VIDE ITS ORDER DATED 04/09/2023 DISMISSED THE APPEAL. NO COSTS
SEBI VIDE ITS ORDER DATED 20/01/2026 A) PROHIBITED FROM DISPOSING, TRANSFERRING, ALIENATING OR CHARGING IN RESPECT OF ALL THE IMMOVABLE AND MOVABLE PROPERTIES LISTED IN THE ORDER B) PROHIBITED FROM TAKING ANY BENEFIT UNDER SUCH DISPOSAL, TRANSFER, ALIENATION OR CHARGE IN RESPECT OF THE PROPERTIES LISTED IN ORDER C) DIRECTED TO FURNISH COMPLETE DETAILS OF ALL MOVABLE AND IMMOVABLE PROPERTIES HELD BY DEFAULTERS AND CHARGES, IF ANY, ALONG WITH ORIGINAL TITLE DEEDS PERTAINING TO THE PROPERTIES, WITHIN TWO WEEKS FROM DATE OF THIS ORDER AT SEBI, SOUTHERN REGIONAL OFFICE, CHENNAI D) DEFAULTERS AND INSPECTOR GENERAL OF REGISTRATION OF ALL THE STATES AND UNION TERRITORIES AND SPECIFICALLY TO THE CONCERNED TEHSILDARS, DISTRICT REGISTRARS AND SUB-REGISTRARS IN THE STATE OF TAMIL NADU E) NOT TO ACT UPON ANY DOCUMENTS PURPORTING TO BE DEALING WITH TRANSFER, MORTGAGE, CHARGE, LEASE OR CREATION OR ALTERATION OF ANY INTEREST IN ANY OF THE PROPERTIES OWNED / HELD BY THE DEFAULTER, INCLUDING THE SAID PROPERTIES, IF PRESENTED FOR REGISTRATION
|
| 184 |
|
|
ANNASWAMI VENKATRAMANI
(PAN:AABPV3960F)
|
|
|
|
G.V.FILMS LTD.
CIN:L92490MH1989PLC238780
PAN:AAACG2118C
|
|
INDULGED IN APPROVAL OF BOARD RESOLUTION SUBMITTED TO EURAM BANK 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 GV FILMS LTD.
|
IMPOSED PENALTY RS.15,00,000
29-JAN-2020
|
SAT: SAT VIDE ITS ORDER DATED 17/12/2020 CONDONED THE DELAY OF 192 DAYS IN FILING OF APPEAL ON PAYMENT OF RS 25,000.00 AND ALLOWED THREE WEEKS TIME TO RESPONDENT TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
SEBI VIDE ITS NOTICE DATED 31/12/2020 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 16/02/2026 A) PROHIBITED FROM DISPOSING, TRANSFERRING, ALIENATING OR CHARGING IN RESPECT OF ALL THE IMMOVABLE AND MOVABLE PROPERTIES LISTED IN THE ORDER B) PROHIBITED FROM TAKING ANY BENEFIT UNDER SUCH DISPOSAL, TRANSFER, ALIENATION OR CHARGE IN RESPECT OF THE PROPERTIES LISTED IN ORDER C) DIRECTED TO FURNISH COMPLETE DETAILS OF ALL MOVABLE AND IMMOVABLE PROPERTIES HELD BY DEFAULTERS AND CHARGES, IF ANY, ALONG WITH ORIGINAL TITLE DEEDS PERTAINING TO THE PROPERTIES, WITHIN TWO WEEKS FROM DATE OF THIS ORDER AT SEBI, SOUTHERN REGIONAL OFFICE, CHENNAI D) DEFAULTERS AND INSPECTOR GENERAL OF REGISTRATION OF ALL THE STATES AND UNION TERRITORIES AND SPECIFICALLY TO THE CONCERNED TEHSILDARS, DISTRICT REGISTRARS AND SUB-REGISTRARS IN THE STATE OF TAMIL NADU E) NOT TO ACT UPON ANY DOCUMENTS PURPORTING TO BE DEALING WITH TRANSFER, MORTGAGE, CHARGE, LEASE OR CREATION OR ALTERATION OF ANY INTEREST IN ANY OF THE PROPERTIES OWNED / HELD BY THE DEFAULTER, INCLUDING THE SAID PROPERTIES, IF PRESENTED FOR REGISTRATION
|
| 185 |
|
|
ANNASWAMI VENKATRAMANI
(PAN:AABPV3960F)
|
|
|
|
KAASHYAP TECHNOLOGIES LTD.
CIN:U72300TN1997PLC038233
PAN:AAACK4451A
|
|
INDULGED IN APPROVAL OF BOARD RESOLUTION OF 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 KASHYAP TECHNOLOGIES LTD.
|
DIRECTED TO FURNISH CERTIFICATE FROM PEER REVIEWED CHARTERED ACCOUNTANTS ALONGWITH NECESSARY DOCUMENTARY EVIDENCES TO SEBI
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-APR-2019 TO 11-APR-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-APR-2019 TO 11-APR-2024
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
12-APR-2019
|
SAT: SAT VIDE ITS ORDER DATED 23/12/2022 CONDONED THE DELAY IN FILING OF APPEAL AND GRANTED THREE WEEKS TO FILE REJOINDER FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 13/02/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 186 |
|
|
ANNU ANIL AGRAWAL
(PAN:ADMPA0248F)
|
|
|
|
RAVI KUMAR DISTILLERIES LTD.
PAN:AABCR4195D
|
|
INDULGED IN SIPHONING OFF/DIVERSION OF IPO PROCEEDS VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RAVI KUMAR DISTILLERIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-MAR-2019 TO 11-MAR-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-MAR-2019 TO 11-MAR-2024
DIRECTED TO RETURN RS.33.83 CRORES WITH INTEREST @12% P.A. W.E.F. 01/04/2011 WITHIN ONE YEAR FROM DATE OF ORDER
12-MAR-2019
|
SAT: SAT VIDE ITS ORDER DATED 31/08/2021 ALLOWED APPELLANT THREE WEEKS TIME TO FILE REJOINDER
|
| 187 |
|
|
ANNU ANIL AGRAWAL
(PAN:ADMPA0248F)
|
|
|
|
RAVI KUMAR DISTILLERIES LTD.
PAN:AABCR4195D
|
|
INDULGED IN SIPHONING OFF/DIVERSION OF IPO PROCEEDS VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RAVI KUMAR DISTILLERIES LTD.
MADE MIS-STATEMENTS IN THE BALANCE SHEET VIOLATING REGULATION 4(F) & (K) OF SEBI (PFUTP) REGULATIONS, 2003
|
DIRECTED NOT TO HOLD POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 12-MAR-2019 TO 11-MAR-2022
12-MAR-2019
|
SAT: SAT VIDE ITS ORDER DATED 16/11/2020 DIRECTED THAT NO COERCIVE STEPS TO BE TAKEN AGAINST THE APPELLANT PURSUANT TO IMPUGNED ORDER
SAT: SAT VIDE ITS ORDER DATED 31/08/2021 ALLOWED APPELLANT THREE WEEKS TIME TO FILE REJOINDER
|
| 188 |
|
|
ANNU ANIL AGRAWAL
(PAN:ADMPA0248F)
|
|
|
|
COMFORT SECURITIES LTD.
PAN:AABCC9625R
|
|
|
RAVI KUMAR DISTILLERIES LTD.
PAN:AABCR4195D
|
|
DID NOT EXERCISE DUE DILIGENCE, SKILL AND CARE AS INDEPENDENT PROFESSIONAL JUDGEMENT WHILE ACTING AS BOOK RUNNING LEAD MANAGER VIOLATING REGULATIONS 64(1), 8(2) (B), (E) AND (F) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF IPO OF RAVI KUMAR DISTILLERIES LTD.
DID NOT EXERCISE DUE DILIGENCE, SKILL AND CARE AS INDEPENDENT PROFESSIONAL JUDGEMENT WHILE ACTING AS BOOK RUNNING LEAD MANAGER VIOLATING REGULATIONS 64(1), 8(2) (B), (E) AND (F) AND REGULATION 13 READ WITH CLAUSES 1 TO 4, 6, 7 AND 21 OF THE CODE OF CONDUCT SPECIFIED UNDER SCHEDULE III OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992 IN MATTER OF IPO OF RAVI KUMAR DISTILLERIES LTD.
INDULGED IN SIPHONING OFF/DIVERSION OF RS.33.83 CRORES IN IPO PROCEEDS VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF RAVI KUMAR DISTILLERIES LTD.
|
IMPOSED PENALTY RS.1,20,00,000
21-AUG-2020
|
SAT: SAT VIDE ITS ORDER DATED 08/07/2025 GRANTED TWO WEEKS TO FILE WRITTEN SUBMISSION
|
| 189 |
|
|
ANOJ MENON
(PAN:AHTPM6650N)
|
|
|
|
BIRLA PACIFIC MEDSPA LTD.
CIN:L85100MH2008PLC184689
PAN:AADCB5167F
|
|
INDULGED IN MIS-UTILIZATION OF IPO PROCEEDS AS PER THE OBJECTS STATED IN THE PROSPECTUS VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(E), (F) AND (K) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF BIRLA PACIFIC MEDSPA LTD.
|
IMPOSED PENALTY RS.25,00,000
28-SEP-2022
|
|
| 190 |
|
|
ANSHU MISHRA
(PAN:BMIPS3480H)
(Along with : ABHAY DWIVEDI,
MANISH MISHRA,
ANKUR SHARMA,
VIVEK CHAUHAN,
DIPAK DWIWEDI,
NEETU DWIVEDI,
PALLAVI,
AMRIT PAL SINGH)
|
|
|
UPLOADED FALSE AND MISLEADING CONTENT RECOMMENDING INVESTMENT IN SCRIP OF DECILLION FINANCE LTD. VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT.,1992 AND REGULATIONS 3(A) TO 3(D), 4(1),4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF DECILLION FINANCE LTD.
|
IMPOSED PENALTY RS.2,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
03-AUG-2026
|
|
| 191 |
|
|
ANSHU MISHRA
(PAN:BMIPS3480H)
(Along with : MANISH MISHRA)
|
|
|
PLANTED FALSE AND MISLEADING INFORMATION THROUGH YOUTUBE VIDEOS AND ALSO RECOMMENDED TO BUY SHARES OF PRESSURE SENSITIVE SYSTEMS (INDIA) LTD. VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT. 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1), 4(2)(A), 4(2)(D), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003
|
DIRECTED TO DISGORGE RS.10,90,500 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 31-JAN-2025 TO 30-JAN-2030
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 31-JAN-2025 TO 30-JAN-2030
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
31-JAN-2025
|
SAT: SAT VIDE ITS ORDER DATED 09/05/2025 GRANTED RESPONDENT SIX WEEKS TO FILE REPLY AND REJOINDER, IF ANY, BE FILED WITHIN THREE WEEKS THEREAFTER
SEBI VIDE ITS NOTICE DATED 30/05/2025 DIRECTED TO PAY RS.11,35,120.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 23/06/2025 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
SAT: SAT VIDE ITS ORDER DATED 04/08/2025 DIRECTED SEBI TO ALLOW DEBIT OF 3,65,944 CONVERTIBLE WARRANTS AND CREDIT OF EQUITY SHARES INTO APPELLANTS DEMAT ACCOUNT IN RESPECT OF OMEGA INTERACTIVE TECHNOLOGIES LTD.
|
| 192 |
|
|
ANSHU MISHRA
(PAN:BMIPS3480H)
(Along with : MANISH MISHRA,
REKHA BHANDARI,
SUNIL BHANDARI)
|
|
|
|
LADDU GOPAL VENTURES PVT.LTD.
|
|
|
SRESTHA FINVEST LTD.
|
|
|
SUNSTAR REALTY DEVELOPMENT LTD.
|
|
INDUCED PUBLIC INVESTORS TO INVEST IN SCRIP BY UPLOADING FALSE & MISLEADING VIDEOS ON CERTAIN YOUTUBE CHANNELS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(A), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF GG ENGINEERING LTD.
|
IMPOSED PENALTY RS.50,00,000 ALONG WITH OTHER ENTITIES/PERSONS
19-DEC-2025
|
SAT: SAT VIDE ITS ORDER DATED 08/05/2026 CONDONED THE DELAY OF 85 DAYS IN FILING OF APPEAL. GRANTED RESPONDENT SIX WEEKS TO FILE REPLY AND REJOINDER, IF ANY, TO BE FILED WITHIN THREE WEEKS THEREAFTER AND STAYED RECOVERY SUBJECT TO DEPOSIT OF RS.10 LAC
|
| 193 |
|
|
ANSHU MISHRA
(PAN:BMIPS3480H)
|
|
|
PLANTED FALSE AND MISLEADING INFORMATION THROUGH YOUTUBE VIDEOS AND ALSO RECOMMENDED TO BUY SHARES OF PRESSURE SENSITIVE SYSTEMS (INDIA) LTD. VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT. 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1), 4(2)(A), 4(2)(D), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003
|
IMPOSED PENALTY RS.50,00,000
31-JAN-2025
|
SEBI VIDE ITS NOTICE DATED 23/05/2025 DIRECTED TO PAY RS.52,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 09/05/2025 GRANTED RESPONDENT SIX WEEKS TO FILE REPLY AND REJOINDER, IF ANY, BE FILED WITHIN THREE WEEKS THEREAFTER
SEBI VIDE ITS ORDER DATED 20/06/2025 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
SAT: SAT VIDE ITS ORDER DATED 19/06/2025 STAYED RECOVERY PROCEEDINGS SUBJECT TO DEPOSIT OF 50% OF PENALTY AMOUNT WITHIN SIX WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 24/06/2025 STAYED RECOVERY SUBJECT TO DEPOSIT OF 50% OF PENALTY AMOUNT WITHIN SIX WEEKS FROM DATE OF THIS ORDER
SEBI VIDE ITS NOTICE DATED 18/08/2025 ALLOWED THE APPEAL AND DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 20/06/2025
SAT: SAT VIDE ITS ORDER DATED 04/08/2025 DIRECTED SEBI TO ALLOW DEBIT OF 3,65,944 CONVERTIBLE WARRANTS AND CREDIT OF EQUITY SHARES INTO APPELLANTS DEMAT ACCOUNT IN RESPECT OF OMEGA INTERACTIVE TECHNOLOGIES LTD.
|
| 194 |
|
|
ANU MARWAH
(PAN:AEPPM3218P)
|
|
|
|
JAI MATA GLASS LTD.
CIN:L26101HP1981PLC004430
PAN:AAACJ3873F
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF JAI MATA GLASS LTD. AND SUBSIDIARIES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF JAI MATA GLASS LTD.
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF JAI MATA GLASS LTD. AND SUBSIDIARIES VIOLATING REGULATIONS 4(2)(F)(II)(6), (7), 4(2)(F)(III)(2) (3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF JAI MATA GLASS LTD.
DID NOT ADHERE TO REGULATIONS 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF JAI MATA GLASS LTD.
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 23-NOV-2021 TO 22-MAY-2022
IMPOSED PENALTY RS.1,50,000
23-NOV-2021
|
|
| 195 |
|
|
ANU S.WADHAWAN
(PAN:AAQPW2792P)
|
|
|
|
WADHAWAN CONSOLIDATED HOLDINGS PVT.LTD.
PAN:AACCD2944F
|
|
|
WADHAWAN GLOBAL CAPITAL LTD.
PAN:AAACW9811G
|
|
|
WADHAWAN HOLDINGS PVT.LTD.
CIN:U74999MH2002PTC135601
PAN:AAACW5001G
|
|
|
WADHAWAN RETAIL VENTURES PVT.LTD.
PAN:AAACW6632R
|
|
INDULGED IN MANIPULATION/FALSIFICATION IN BOOKS OF ACCOUNTS VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO (D), 4(1) & 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DEWAN HOUSING FINANCE CORP.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-SEP-2020 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-SEP-2020 TILL FURTHER ORDERS
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 20-SEP-2020 TILL FURTHER ORDERS
22-SEP-2020
|
SEBI VIDE ITS ORDER DATED 22/10/2021 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 22/09/2020
SAT: SAT VIDE ITS ORDER DATED 05/09/2022 ALLOWED EXEMPTION APPLICATION AND DIRECTED REPLY TO BE FILED TO MISC. APPLICATION 915 OF 2022 AS WELL AS MEMO OF APPEAL WITHIN THREE WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 30/09/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 02/11/2022 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 11/01/2023 CONDONED THE DELAY IN FILING OF APPEAL
SEBI VIDE ITS ORDER DATED 10/03/2023 VACATED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 22/09/2020 READ WITH CONFIRMATORY ORDER DATED 22/10/2021
SAT VIDE ITS ORDER DATED 17/03/2023 DISMISSED THE APPEALS AS INFRUCTUOUS
|
| 196 |
|
|
ANURAG DALMIA
(PAN:AADPD9439P)
|
|
|
|
GOLDEN TOBACCO LTD.
PAN:AAACG1421A
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DIVERTED FUND IN DISGUISE OF TRANSFERS FOR LAND DEVELOPMENT AND FURTHER TRANSFER TO PROMOTER RELATED ENTITIES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF GOLDEN TOBACCO LTD.
ISSUED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATIONS 33(2)(A) AND 103 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF GOLDEN TOBACCO LTD.
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RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 29-AUG-2025 TO 28-AUG-2027
IMPOSED PENALTY RS.20,00,000
29-AUG-2025
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SAT: SAT VIDE ITS ORDER DATED 08/10/2025 GRANTED RESPONDENT SIX WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. STAYED DEBARMENT AND RECOVERY OF PENALTY SUBJECT TO DEPOSIT 50% WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
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| 197 |
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ANURAG KALRA
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AIDED AND ABETTED ROUTING OF FUNDS FROM FHL TO RHC HOLDINGS VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF FORTIS HEALTHCARE LTD.
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IMPOSED PENALTY RS.25,00,000
18-MAY-2022
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SAT: SAT VIDE ITS ORDER DATED 03/08/2022 REPLY MAY BE FILE WITHIN FIVE WEEKS FROM DATE OF THIS ORDER AND REJOINDER IF ANY, BE FILE WITHIN THREE WEEKS THEREAFTER. THE EFFECT AND OPERATION OF IMPUGNED ORDER SHALL REMAIN STAYED IN SO FAR AS IT RELATES TO APPELLANT DEPOSIT 50% PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 29/09/2022 ALLOWED RESPONDENT FURTHER THREE WEEKS TO FILE REPLY AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 17/11/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 05/01/2023 ADJOURNED THE APPEAL AND REJOINDER IF ANY, TO BE FILED WITHIN THREE WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 12/04/2023 ALLOWED FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 24/07/2023 CONDONED THE DELAY IN FILING OF APPEAL AND DIRECTED REJOINDER TO BE FILED WITHIN A WEEK
SAT: SAT VIDE ITS ORDER DATED 27/08/2024 DIRECTED TO DEPOSIT 50% OF PENALTY AMOUNT WHICH COMES TO RS.12.50 LAC TO SEBI WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
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| 198 |
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ANURUPA DASGUPTA
(PAN:BGLPD8151R)
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ALLEGED FAILURE WHILE IN POSSESSION OF UNPUBLISHED MATERIAL INFORMATION ABOUT VALUATION OF DEFAULT SECURITIES AND WITHDREW ENTIRE INVESTMENT FROM FUND TO ADVANTAGE VIOLATING REGULATIONS 3(A), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF BANK OF INDIA INVESTMENT MANAGERS PVT.LTD. (PREVIOUSLY: BOI AXA INVESTMENT MANAGERS PVT.LTD.
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REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.39,00,000 VIDE CONSENT ORDER)
28-DEC-2022
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| 199 |
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APOORV NITIN SONTAKKE
(PAN:AQZPS1675G)
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INDULGED IN DUBIOUS ACCOUNTING PRACTICES TO DEFRAUD INVESTORS BY MANIPULATING FINANCIAL STATEMENTS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1) AND 4(2)(A), (E), (F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF BLUE BIRD (INDIA) LTD.
INDULGED IN DUBIOUS ACCOUNTING PRACTICES TO DEFRAUD INVESTORS BY MANIPULATING FINANCIAL STATEMENTS VIOLATING CLAUSES 41(I)(A), 41(I)(H), 41(II)(A), 41(IV)(G), 41(IV)(H), 49(IV)(B), 49(IV)(F)(II), 49(V) AND 50 OF SEBI LISTING AGREEMENT
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RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 18-JUN-2021 TO 17-JUN-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
18-JUN-2021
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| 200 |
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ARCHANA GUPTA
(PAN:AAHPG2849Q)
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ALLEGED INDULGENCE IN MAKING FALSE/MISLEADING STATEMENTS AND MISREPRESENTING GDR ISSUE SUBSCRIBED BY SEVERAL INVESTORS WHEN INFACT ISSUE WAS SUBCRIBED BY FUSION INVESTMENTS LTD. VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D), 4(1), 4(2)(F) (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF KEI INDUSTRIES LTD.
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REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,36,00,000 VIDE CONSENT ORDER)
28-FEB-2019
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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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