| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 181 |
|
E.SUBBARAYAN
(PAN:BEBPS0342K)
|
|
|
|
TATIA GLOBAL VENNTURE LTD.
CIN:L18101TN1994PLC026546
PAN:AAACT1724B
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF TGVL AND CONSOLIDATING SUBSIDIARIES VIOLATING REGULATIONS 4(1)(A) 4(1)(C), (E) & (G), 4(2)(F)(II)(6) & (7), 4(2)(F)(III)(3),(6) & (12), 16(1)(B)(IV), 17(1)(B), 18(1)(B), 19(1), 23(3), 24(3), 25(3), 33, CLAUSE B(2) OF SCHEDULE III READ WITH REGULATIONS 30 AND 48 OF SEBI (LODR) REGULATION, 2015 IN MATTER OF TATIA GLOBAL VENNTURE LTD.
|
IMPOSED PENALTY RS.6,00,000
28-MAY-2021
|
SAT: SAT VIDE ITS ORDER DATED 03/09/2021 ALLOWED RESPONDENT THREE WEEKS TIME TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 18/11/2021 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 28/02/2022 CONDONED THE DELAY IN FILING OF REJOINDER AFFIDAVIT
SAT: SAT VIDE ITS ORDER DATED 24/08/2022 PARTLY ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER DATED 28/05/2021
|
| 182 |
|
|
EDWARD T.STORY
(PAN:AONPJ7391G)
|
|
|
|
VEDANTA LTD.
PAN:AACCS7101B
|
|
DELAY IN PAYMENT OF DIVIDEND TO CAIRN UK HOLDINGS 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 12-MAR-2024 TO 11-APR-2024
12-MAR-2024
|
SAT: SAT VIDE ITS ORDER DATED 20/03/2024 ALLOWED RESPONDENT FOUR WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER FOUR WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 18/06/2024 GRANTED THREE WEEKS TO FILE REPLY AND ONE WEEK THEREAFTER TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 17/10/2024 CONDONED THE DELAY IN FILING OF APPEAL
|
| 183 |
|
|
ESWAR RAO
(PAN:AFIPM0175K)
|
|
|
|
CONCORD DRUGS LTD.
PAN:AAACC8171D
|
|
MISREPRESENTED FINANCIAL STATEMENTS AND DID NOT TAKE APPROVAL FROM AUDIT COMMITTEE/SHAREHOLDERS FOR RELATED PARTY TRANSACTIONS
TRANSACTED WITH STRUCK OFF ENTITY
DID NOT FILE LIMITED REVIEW REPORT TO STOCK EXCHANGES
WRONGLY REPORTED TRADE RECEIVABLES
MISREPRESENTED IN FINANCIALS OF DEBTORS-CREDITORS NETTING OFF
DISCREPANCIES / DEFICIENCIES IN DOCUMENTATION FOUND IN TRANSACTIONS ENTERED WITH BHUVANA ENTERPRISES
APPOINTED INELIGIBLE INDEPENDENT DIRECTORS
DID NOT ADHERE TO REGULATIONS 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF CONCORD DRUGS LTD.
DEFAULTED IN APPOINTMENT OF COMPANY SECRETARY AND/OR COMPLIANCE OFFICER VIOLATING REGULATION 6(1) OF SEBI (LODR) REGULATIONS, 2015
DID NOT HAVE SUFFICIENT AND ADEQUATE INTERNAL CONTROL IN PLACE
|
IMPOSED PENALTY RS.11,00,000
11-AUG-2023
|
SEBI VIDE ITS NOTICE DATED 12/12/2023 DIRECTED TO PAY RS.11,56,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 10/07/2024 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 21/08/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.10,51,712.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SEBI VIDE ITS NOTICE DATED 03/09/2024 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 10/07/2024
SEBI VIDE ITS ORDER DATED 03/09/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7460 OF 2023 DATED 12/12/2023
|
| 184 |
|
|
FAHIM IUNUS SHAIKH
(PAN:BLRPS5717H)
|
|
|
MISREPRESENTED FINANCIAL STATEMENTS IN PROSPECTUS AND SHOWED FICTITIOUS SALES AND PURCHASES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D) AND 4(1), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF VARANIUM CLOUD LTD.
MISREPRESENTED FINANCIAL STATEMENTS IN PROSPECTUS AND SHOWED FICTITIOUS SALES AND PURCHASES VIOLATING REGULATION 24(1) OF SEBI (ICDR) REGULATIONS, 2018 IN MATTER OF VARANIUM CLOUD LTD.
MISREPRESENTED FINANCIAL STATEMENTS IN PROSPECTUS AND SHOWED FICTITIOUS SALES AND PURCHASES VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), 4(1)(E),4(1)(G) AND 4(1)(J) AND 33(1)(A), 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH IND AS-1 IN MATTER OF VARANIUM CLOUD LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-AUG-2026 TO 24-AUG-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-AUG-2026 TO 24-AUG-2027
RESTRAINED FROM BEING ASSOCIATED WITH SECURITIES MARKET INCLUDING AS A DIRECTOR OR KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM 25-AUG-2026 TO 24-AUG-2027
IMPOSED PENALTY RS.6,00,000
25-AUG-2026
|
|
| 185 |
|
|
FALGUNI MAJUMDAR
(PAN:AHTPM7003M)
(Along with : PARAG MAJMUDAR)
|
|
|
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS IN ANNUAL REPORT FOR FY.2015-16 AND 2016-17 VIOLATING REGULATION 4(2)(F)(I) (1) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF RITMAN INFRA LTD.
|
IMPOSED PENALTY RS.3,00,000 ALONG WITH OTHER ENTITIES/PERSONS
24-DEC-2019
|
SAT: SAT VIDE ITS ORDER DATED 06/03/2020 SET ASIDED PENALTY AMOUNT OF RS.5 LACS AND DISPOSED OFF THE APPEAL WITH WARNING TO APPELLANT
|
| 186 |
|
|
FALGUNI MAJUMDAR
(PAN:AHTPM7003M)
(Along with : DINESH MAJUMDAR,
PUSHPA MAJUMDAR,
LIPIKA RAY,
DIBYENDU SARKAR)
|
|
|
DID NOT MAKE DISCLOSURE OF ADVANCE OF RS.0.17 CRORES TAKEN FROM MANTRA PANAGARH DEVELOPERS PVT.LTD. VIOLATING REGULATION 4(2)(F)(II) (6) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF RITMAN INFRA LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
24-DEC-2019
|
SAT: SAT VIDE ITS ORDER DATED 06/03/2020 SET ASIDED PENALTY AMOUNT OF RS.5 LACS AND DISPOSED OFF THE APPEAL WITH WARNING TO APPELLANT
|
| 187 |
|
|
G.L.VISHWANATH
(PAN:AAGPV1493C)
|
|
|
|
KOLTE-PATIL DEVELOPERS LTD.
PAN:AAACK7310G
|
|
ALLEGED INDULGED IN SUBMISSION OF INCORRECT CERTIFICATE THAT THEY COMPLY WITH ALL THE CRITERIA OF INDEPENDENT DIRECTOR VIOLATING REGULATION 25(8) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF KOLTE-PATIL DEVELOPERS LTD.
ALLEGED BOTH THE INDEPENDENT DIRECTORS WERE DIRECTLY RELATED HENCE EVALUATION OF BOARD OF DIRECTORS OF KOLTE-PATIL DEVELOPERS LTD. WAS NOT IN COMPLIANCE OF REGULATION 17(10)(B) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF KOLTE-PATIL DEVELOPERS LTD.
ALLEGED BOTH THE INDEPENDENT DIRECTORS WERE DIRECTLY RELATED TO EACH OTHER HENCE DID NOT MEET CRITERIA OF INDEPENDENT DIRECTORS VIOLATING REGULATION 17(11)(B) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF KOLTE-PATIL DEVELOPERS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,72,500 VIDE CONSENT ORDER)
18-NOV-2022
|
|
| 188 |
|
|
G.R.ARUN KUMAR
(PAN:ADJPA2469F)
|
|
|
|
VEDANTA LTD.
PAN:AACCS7101B
|
|
DELAY IN PAYMENT OF DIVIDEND TO CAIRN UK HOLDINGS 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 12-MAR-2024 TO 11-MAY-2024
12-MAR-2024
|
SAT: SAT VIDE ITS ORDER DATED 20/03/2024 STAYED EFFECT AND OPERATION OF IMPUGNED ORDER AND DIRECTED APPELLANT TO DEPOSIT 50% OF INTEREST AMOUNT TO CAIRN UK HOLDINGS LTD. IN INTEREST BEARING ACCOUNT WITHIN TWO WEEKS FROM DATE OF THIS ORDER. IF AMOUNT DEPOSITED, BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 18/06/2024 GRANTED THREE WEEKS TO FILE REPLY AND ONE WEEK THEREAFTER TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 17/10/2024 CONDONED THE DELAY IN FILING OF APPEAL
|
| 189 |
|
|
G.SRI VIGNESH
(PAN:GOAPS3552D)
|
|
|
|
SECUREKLOUD TECHNOLOGIES LTD.
PAN:AABCP6266D
|
|
DID NOT DISCHARGE DUTY AS COMPLIANCE OFFICER VIOLATING REGULATIONS 6(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SECUREKLOUD TECHNOLOGIES LTD. (FORMERLY KNOWN AS 8K MILES SOFTWARE SERVICES LTD.)
|
IMPOSED PENALTY RS.1,00,000
14-SEP-2022
|
SAT: SAT VIDE ITS ORDER DATED 22/11/2022 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER. DIRECTED APPELLANT TO DEPOSIT PENALTY OF RS.10 LAC WITHIN FOUR WEEKS FROM DATE OF THIS ORDER. IF AMOUNT DEPOSITED, BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 20/01/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 10/04/2023 DIRECTED TO FILE WRITTEN SUBMISSION WITHIN THREE WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 07/06/2023 CONDONED THE DELAY IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 12/06/2023 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY AMOUNT TO RS.1 LAC FROM RS.4 LAC
SEBI VIDE ITS NOTICE DATED 13/12/2023 DIRECTED TO PAY RS.1,08,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 20/12/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7471 OF 2023 DATED 13/12/2023
SAT: SAT VIDE ITS ORDER DATED 06/03/2026 DISMISSED THE APPEAL. NO COSTS
|
| 190 |
|
|
GAGANDEEP SINGH BEDI
(PAN:AOJPB8749L)
|
|
|
|
FORTIS HEALTHCARE LTD.
PAN:AAACF0987E
|
|
AIDED IN MISUSE AND DIVERSION OF PUBLIC SHAREHOLDERS FUNDS THROUGH BORROWER COMPANIES (BEST, FERN AND MODLAND) FOR BENEFIT OF RHC HOLDING PVT.LTD. VIOLATING SECTION 12(C) OF SEBI ACT, 1992 AND REGULATIONS 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF FORTIS HEALTHCARE LTD.
ISSUED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF FORTIS HEALTHCARE LTD.
DID NOT ADHERE TO REGULATIONS 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF FORTIS HEALTHCARE 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 19-APR-2022 TO 18-APR-2024
IMPOSED PENALTY RS.2,50,00,000
19-APR-2022
|
SAT: SAT VIDE ITS ORDER DATED 08/07/2022, DIRECTED RESPONDENT TO FILE REPLY ON OR BEFORE NEXT DATE. DIRECTED APPELLANTS TO DEPOSIT 50% PENALTY AMOUNT WITHIN SIX WEEKS FROM DATE OF THIS ORDER. IF AMOUNT DEPOSITED, DIRECTED RESPONDENT NOT TO MAKE FURTHER RECOVERY
SAT: SAT VIDE ITS ORDER DATED 01/08/2022 ALLOWED RESPONDENT FURTHER THREE WEEKS TO FILE REPLY
SAT: SAT VIDE ITS ORDER DATED 29/09/2022 DIRECTED TO FILE REJOINDER WITHIN THREE WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 17/11/2022 GRANTED RESPONDENT THREE WEEKS TO FILE REPLY AND REJOINDER IF ANY, THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 05/01/2023 ADJOURNED THE APPEALS 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 16/05/2023 CONDONED THE DELAY IN FILING OF APPEAL
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
|
| 191 |
|
|
GANPATRAJ LALCHAND CHOWDHARY
(PAN:ABWPL2726K)
|
|
|
|
RIDDHI SIDDHI GLUCO BIOLS LTD.
PAN:AABCR3417Q
|
|
DID NOT ADHERE TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
DID NOT ADHERE TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT VIOLATING REGULATIONS 103(2) AND 38 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF RIDDHI SIDDHI GLUCO BIOLS LTD.
DID NOT ADHERE TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT VIOLATING CLAUSE 40A OF LISTING AGREEMENT READ WITH SECTION 21 OF SECURITIES CONTRACTS (REGULATIONS) ACT, 1956 IN MATTER OF RIDDHI SIDDHI GLUCO BIOLS LTD.
PARTICIPATED IN FRAUDULENT DEVICE, SCHEME OR ARTIFICIAL AT VARIOUS STAGES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D), 4(1) AND 4(2)(A) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RIDDHI SIDDHI GLUCO BIOLS LTD.
FRAUDULENTLY TRADED TO MAKE DELISTING OFFER SUCCESSFUL VIOLATING REGULATIONS 4(5)(A) TO 4(5)(C) OF SEBI (DELISTING OF EQUITY SHARES) REGULATIONS, 2009 IN MATTER RIDDHI SIDDHI GLUCO BIOLS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-MAR-2026 TO 08-SEP-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-MAR-2026 TO 08-SEP-2026
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 09-MAR-2026 TO 08-SEP-2026
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
11-AUG-2021
|
SAT: SAT VIDE ITS ORDER DATED 09/09/2021 DISPOSED OFF WITH THE DIRECTION TO RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM THE DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 28/10/2021 DIRECTED APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS FROM DATE OF THIS ORDER. EFFECT AND OPERATION OF THE IMPUGNED ORDER STAYED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 07/04/2022 GRANTED APPELLANT THREE WEEKS & NO MORE TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 09/03/2026 PARTLY ALLOWED THE APPEAL BY REDUCING DEBARMENT PERIOD TO SIX MONTHS FROM TWO YEARS
|
| 192 |
|
|
GANPATRAJ LALCHAND CHOWDHARY
(PAN:ABWPL2726K)
|
|
|
|
RIDDHI SIDDHI GLUCO BIOLS LTD.
PAN:AABCR3417Q
|
|
MADE INCORRECT DISCLOSURE OF SHAREHOLDING PATTERN TO STOCK EXCHANGES VIOLATING CLAUSE 35 OF LISTING AGREEMENT READ WITH REGULATIONS 103(2), 31(1) AND 31(4) OF SEBI (LODR) REGULATIONS, 2015 AND SECTION 21 OF SCR ACT 1956 IN MATTER OF RIDDHI SIDDHI GLUCO BIOLS LTD.
MADE INCORRECT DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF RIDDHI SIDDHI GLUCO BIOLS LTD.
|
IMPOSED PENALTY RS.5,00,000
02-JUL-2021
|
SAT: SAT VIDE ITS ORDER DATED 12/08/2021 ALLOWED RESPONDENT THREE WEEKS TIME TO FILE REJOINDER AND APPELLANTS TO FILE REJOINDER THREE WEEKS THEREAFTER. DIRECTED APPELLANTS TO DEPOSIT THE AMOUNT AS DIRECTED BY AO WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 09/03/2026 DISMISSED THE APPEAL. NO COSTS
|
| 193 |
|
|
GAURAV AGARWAL
(PAN:ATFPA3651B)
|
|
|
DID NOT ADHERE TO REGULATION 26(3) READ WITH CLAUSES A, C AND H OF COMPANY’S CODE OF CONDUCT VIOLATING SEBI (LODR) REGULATIONS, 2015 IN MATTER OF URJA GLOBAL LTD.
DID NOT DISCHARGE DUTY AS CHIEF EXECUTIVE OFFICER (CEO) VIOLATING REGULATIONS 6(2)(A) AND 6(2)(C) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF URJA GLOBAL LTD.
|
IMPOSED PENALTY RS.3,00,000
29-JAN-2025
|
SEBI VIDE ITS NOTICE DATED 01/05/2025 DIRECTED TO PAY RS.3,16,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 05/05/2025 GRANTED RESPONDENT SIX WEEKS TO FILE REPLY AND REJOINDER, IF ANY, BE FILED WITHIN TWO WEEKS THEREAFTER. STAYED RECOVERY SUBJECT TO DEPOSIT OF 50% OF PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 194 |
|
|
GAURAV GOYAL
(PAN:AFJPG2468N)
|
|
|
|
FAMILY CARE HOSPITALS LTD.
PAN:AAACP2883M
|
|
DID NOT EXERCISE DUE DILIGENCE AS A MEMBER OF AUDIT COMMITTEE IN APPROVING FINANCIAL STATEMENTS VIOLATING REGULATION 18(3) READ WITH CLAUSE A(1) AND A(4) UNDER PART C OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF FAMILY CARE HOSPITALS LTD.
|
IMPOSED PENALTY RS.2,00,000
03-JUN-2025
|
SEBI VIDE ITS NOTICE DATED 07/08/2025 DIRECTED TO PAY RS.2,07,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 21/08/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.8853 OF 2025 DATED 07/08/2025
SAT: SAT VIDE ITS ORDER DATED 14/10/2025 CONDONED THE DELAY OF 39 DAYS IN FILING OF APPEAL. ALLOWED RESPONDENT SIX WEEKS TO FILE REPLY AND REJOINDER, IF ANY TO BE FILED WITHIN THREE WEEKS THEREAFTER
|
| 195 |
|
|
GAURAV GUPTA
(PAN:AECPK7502D)
|
|
|
DID NOT MAKE DISCLOSURE OF HIS DISQUALIFICATION AS A DIRECTOR BY ROC VIOLATING REGULATIONS 4(2)(F)(III)(6) AND 26(3) READ WITH 17(5)(A) OF SEBI (LODR) REGULATIONS, 2015 READ WITH PARAS 3 AND 8 OF COMPANY’S CODE OF CONDUCT FOR DIRECTORS AND SENIOR MANAGEMENT IN MATTER OF GKB OPHTHALMICS LTD.
|
IMPOSED PENALTY RS.5,00,000
29-JUL-2022
|
|
| 196 |
|
|
GAURAV MITTAL
(PAN:AAMPM2544D)
|
|
|
MADE MISLEADING DECLARATION VIOLATING REGULATIONS 4(2) (F) (II) (7) & (8) AND 33(3)(D) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF CHD DEVELOPERS LTD.
|
IMPOSED PENALTY RS.2,00,000
28-SEP-2021
|
|
| 197 |
|
|
GAURI BHAGAT
(PAN:AQGPB6603E)
|
|
|
|
SHIVOM INVESTMENT & CONSULTANCY LTD.
PAN:AAACG9355K
|
|
DID NOT ADHERE TO REGULATIONS 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF SHIVOM INVESTMENT & CONSULTANCY LTD.
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF SHIVOM INVESTMENT & CONSULTANCY LTD. VIOLATING REGULATIONS 4(2)(F)(II)(1), (6), (7), 4(2)(F)(III)(2), (3) (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SHIVOM INVESTMENT & CONSULTANCY 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 24-FEB-2023 TO 23-MAY-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
24-FEB-2023
|
|
| 198 |
|
|
GAUTAM MOHAN DESHPANDE
(DIN:00975368
PAN:AFVPD7782E)
(Along with : PANDOO PRABHAKAR NAIG,
SOWMYA GAUTAM DESHPANDE,
AMIT SATISHCHAND TYAGI)
|
|
|
MISREPRESENTED/MISSTATED IN FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(2)(F), 4(2)(K), 4(2)(R) READ WITH 2(1)(B) AND (C)(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF FAMILY CARE HOSPITALS LTD.
MISREPRESENTED/MISSTATED IN FINANCIAL STATEMENTS VIOLATING REGULATIONS
4(1)(A) TO 4(1)(E), 4(1)(G) TO 4(1)(J), 4(2)(E)(I), 23(2), 23(4), 23(9), 30(2) READ WITH PART A OF SCHEDULE III, 33(1)(C), 34(3) AND/OR 33(2)(A) READ WITH PART A OF SCHEDULE V AND 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF FAMILY CARE HOSPITALS LTD.
MISREPRESENTED/MISSTATED IN FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(2)(F)(I)(2), 4(2)(F)(II)(2), (6) TO (8), 4(2)(F)(III)(1)(3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF FAMILY CARE HOSPITALS LTD.
DID NOT EXERCISE DUE DILIGENCE AS A MEMBER OF AUDIT COMMITTEE IN APPROVING FINANCIAL STATEMENTS VIOLATING REGULATION 18(3) READ WITH CLAUSE A(1) AND A(4) UNDER PART C OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF FAMILY CARE HOSPITALS LTD.
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IMPOSED PENALTY RS.13,00,000 ALONG WITH OTHER ENTITIES/PERSONS
03-JUN-2025
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SEBI VIDE ITS NOTICE DATED 07/08/2025 DIRECTED TO PAY RS.13,40,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 20/08/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.8850 OF 2025 DATED 07/08/2025
SAT: SAT VIDE ITS ORDER DATED 14/10/2025 CONDONED THE DELAY OF 39 DAYS IN FILING OF APPEAL. ALLOWED RESPONDENT SIX WEEKS TO FILE REPLY AND REJOINDER, IF ANY TO BE FILED WITHIN THREE WEEKS THEREAFTER
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GAUTAM THAPAR
(PAN:ABNPT6298B)
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CG POWER & INDUSTRIAL SOLUTIONS LTD.
PAN:AAACC3840K
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INDULGED IN MIS-STATEMENT OF ACCOUNTS AND DIVERSION OF FUNDS FROM LISTED COMPANY AND/OR ITS SUBSIDIARIES/ASSOCIATES VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D) AND 4(2)(F) & (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CG POWER & INDUSTRIAL SOLUTIONS LTD.
DID NOT MAKE DISCLOSURE OF INFORMATION VIOLATING OF REGULATIONS 4(2)(F)(I)-(II), 4(2)(F)(III)(3) AND (6) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF CG POWER & INDUSTRIAL SOLUTIONS LTD.
DID NOT ADHERE TO CODE OF CONDUCT OF BOARD OF DIRECTORS AND SENIOR MANAGEMENT ON ANNUAL BASIS VIOLATING OF REGULATION 26(3) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF CG POWER & INDUSTRIAL SOLUTIONS 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 17-SEP-2019 TO 16-SEP-2024
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
RESTRAINED FROM ASSOCIATING WITH ANY INTERMEDIARY REGISTERED WITH SEBI OR ANY LISTED ENTITY OR ITS MATERIAL UNLISTED SUBSIDIARY FROM 17-SEP-2019 TO 16-SEP-2024
PERMITTED BSE AND NSE TO ALLOW SQUARE OFF EXISTING OPEN POSITIONS IN FUTURES & OPTIONS SEGMENT, IF ANY, IMMEDIATELY AND DIRECTED CONCERNED STOCK EXCHANGES TO ENSURE THAT NO FRESH POSITIONS ARE CREATED
IMPOSED PENALTY RS.10,00,00,000
17-SEP-2019
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SAT: APPEAL DISMISSED
SAT: SAT VIDE ITS ORDER DATED 18/02/2020 ALLOWED THE APPLICATION AND DIRECTED SEBI TO PASS CONFIRMATORY ORDER ON OR BEFORE 10/03/2010
SEBI VIDE ITS ORDER DATED 11/03/2020 DIRECTED TO A) RESTRAIN FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES IN ANY MANNER WHATSOEVER, EITHER DIRECTLY OR INDIRECTLY, TILL FURTHER ORDERS. PERMITTED TO LIQUIDATE UPTO 25% OF VALUE OF SECURITIES HELD BY THEM AS ON DATE OF INTERIM ORDER B) RESTRAINED FROM BEING ASSOCIATED WITH ANY INTERMEDIARY REGISTERED WITH SEBI OR ANY LISTED ENTITY OR ITS MATERIAL UNLISTED SUBSIDIARY, IN ANY MANNER WHATSOEVER,TILL FURTHER ORDERS C) NOT TO TAKE FRESH POSITIONS OR INCREASE THEIR OPEN POSITIONS OR EXECUTE TRADES IN F&O SEGMENT, TILL FURTHER ORDERS
SAT: SAT VIDE ITS ORDER DATED 06/04/2021 DISMISSED THE APPEAL AND DIRECTED TO DISCONTINUE RESTRAIN ORDER DATED 17/09/2019
SAT: SAT VIDE ITS ORDER DATED 10/05/2021 ALLOWED THE APPLICATIONS AND DIRECTED SEBI TO ISSUE SCN ON OR BEFORE 25/05/2021
SEBI VIDE ITS ORDER DATED 23/02/2022 ALLOWED THE EXPENSES WITHOUT PREJUDICE TO THE DIRECTION TO THE APPLICANT TO RETAIN FUND/OTHER ASSETS, AS GIVEN IN EX-PARTE ORDER DATED 17/09/2019
SEBI VIDE ITS ORDER DATED 04/10/2022 DIRECTED TO RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER, FOR FIVE YEARS FROM DATE OF COMING INTO FORCE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 30/11/2022 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 23/01/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 27/02/2023 CONDONED THE DELAY IN FILING OF REJOINDER REPLY BY RESPONDENT. EFFECT AND OPERATION OF IMPUGNED ORDER TO REMAIN STAYED AND APPELLANT TO DEPOSITS 50% OF PENALTY AMOUNT WITHIN THREE WEEKS FROM DATE OF THIS ORDER. IF AMOUNT DEPOSITED, BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF THE APPEAL
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| 200 |
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GAUTAMBHAI SHANTILAL ADANI
(PAN:ABKPA0965H)
(Along with : RAJESHBHAI SHANTILAL ADANI,
DEVANG S.DESAI,
VASANT S.ADANI,
AMEET H.DESAI,
PRANAV VINOD ADANI,
VINAY PRAKASH)
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ADANI ENTERPRISES LTD.
CIN:L51100GJ1993PLC019067
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ALLEGED FAILURE IN ADHERING TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT VIOLATING RULE 19A OF SECURITIES CONTRACTS (REGULATIONS) RULES, 1957 AND CLAUSES 35 AND 40A OF LISTING AGREEMENT IN MATTER OF ADANI GROUP COMPANIES
ALLEGED FAILURE IN ADHERING TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT VIOLATING REGULATIONS 31 AND 38 OF SEBI (LODR) REGULATIONS, 2015 AND SECTION 24(1) OF SCRA, 1956 IN MATTER OF ADANI GROUP COMPANIES
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REACHED SETTLEMENT (SETTLEMENT CHARGES RS.37,05,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-SEP-2026
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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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