| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 181 |
|
SHIVPRASAD AGARWAL
|
|
|
VIOLATED SECTIONS 12(A) TO (C) OF SEBI ACT. READ WITH REGULATIONS 3(B) TO 3(D) & 4(2)(C), 4(2)(F) AND 4(2)(K) OF PFUTP REGULATIONS, 2003 IN MATTER OF GDR ISSUES MAARS SOFTWARE INTERNATIONAL LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
05-SEP-2017
|
|
| 182 |
|
|
SHRIKANT MAHESHWARI
(PAN:AFMPM0281Q)
|
|
|
VIOLATED SECTIONS 12A(A) TO (C) OF THE SEBI ACT READ WITH REGULATIONS 3(B) TO 3(D) & 4(2)(C), 4(2)(F), 4(2)(K) AND 4(2)(R) OF PFUTP REGULATIONS, 2003 IN MATTER OF GDR ISSUES OF K SERA SERA LTD.
DID NOT PROVIDE CORRECT INFORMATION AND CONCEALED MATERIAL INFORMATION FROM SEBI IN MATTER OF GDR ISSUES OF K SERA SERA LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
05-SEP-2017
|
|
| 183 |
|
|
SHRIPRAKASH VINAYKUMAR SARDESAI
(PAN:AMYPS0171J)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH REVERSAL OF TRADE TRANSACTIONS, CIRCULAR, SYNCHRONIZED AND SELF TRADES IN SCRIP OF CRAZY INFOTECH LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-FEB-2015 TO 09-FEB-2017
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-FEB-2015 TO 09-FEB-2017
10-FEB-2015
|
|
| 184 |
|
|
SHYAM SUNDER BOHRA
(PAN:AKCPB6054D)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH REVERSAL OF TRADE TRANSACTIONS, SYNCHRONIZED, SELF TRADE AND OFF MARKET TRANSACTIONS IN SCRIP OF CRAZY INFOTECH LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
10-FEB-2015
|
|
| 185 |
|
|
SIBU PD.SINGH
|
|
|
|
PRIME CAPITAL MARKET LTD.
CIN:L67120OR1994PLC003649
PAN:AABCP9313M
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF PRIME CAPITAL MARKET LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
14-DEC-2009
|
|
| 186 |
|
|
SIDHARTH HANDA
|
|
|
|
SIC STOCKS & SERVICES PVT.LTD.
PAN:AAHCS8176P
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS, SYNCHRONIZED TRANSACTIONS AND SELF-TRADES IN SCRIP OF VERTEX SPINNING LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
21-SEP-2021
|
|
| 187 |
|
|
SONAL U.VORA
(PAN:AAWPV2754Q)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, STRUCTURED AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF GENUS COMMU-TRADE LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-DEC-2012
|
|
| 188 |
|
|
SONALBEN VIJAYBHAI MAKWANA
(PAN:ABHPM9092L)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
|
| 189 |
|
|
SULOCHANA R.KARWA
(PAN:ALFPK4226Q)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
|
| 190 |
|
|
SUNIL KHANDELWAL
(PAN:AGSPK9505G)
|
|
|
ENTERED INTO OPPOSITE TRANSACTION WITHIN SIX MONTHS FROM PRIOR TRANSACTION VIOLATING CLAUSE 10 OF MINIMUM STANDARDS FOR CODE OF CONDUCT TO REGULATE, MONITOR AND REPORT TRADING BY INSIDERS AS UNDER SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ALOK INDUSTRIES LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
23-SEP-2021
|
|
| 191 |
|
|
SURAJ PRAKASH BHALLA
(PAN:AGKPB1054B)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
|
| 192 |
|
|
SWATI A.PIRAMAL
(PAN:AAJPP8862G)
|
|
|
|
PIRAMAL ENTERPRISES LTD.
PAN:AAACN4538P
|
|
DID NOT CLOSE TRADING WINDOW DURING THE TIME OF PRICE SENSITIVE INFORMATION WAS UNPUBLISHED VIOLATING CLAUSES 3.2-1 AND 3.2-3(F) OF MODEL CODE OF CONDUCT FOR PREVENTION OF INSIDER TRADING FOR LISTED COMPANIES IN SCHEDULE I PART A READ WITH REGULATION 12(3) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PIRAMAL ENTERPRISES LTD.
DID NOT HANDLE PRICE SENSITIVE INFORMATION RELATING TO SALE OF DOMESTIC HEALTHCARE BUSINESS TO ABOTT ON NEED TO KNOW BASIS VIOLATING CLAUSES 1.2 AND 2.2 OF MODEL CODE OF CONDUCT FOR PREVENTION OF INSIDER TRADING FOR LISTED COMPANIES IN SCHEDULE I PART A READ WITH REGULATION 12(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF PIRAMAL ENTERPRISES LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
03-OCT-2016
|
SAT: SAT VIDE ITS ORDER DATED 15/05/2019 ALLOWED THE APPEAL BY MODIFYING THE IMPUGNED ORDER FROM IMPOSITION OF PENALTY TO WARNING WITH FURTHER DIRECTIONS IF ANY SUCH INCIDENT OCCURS IN FUTURE, IT WOULD BE OPEN TO SEBI TO PROCEED IN ACCORDANCE WITH LAW. NO COSTS
|
| 193 |
|
|
SWEETYDEVI HITESHKUMAR CHOPRA
(PAN:AFYPB2359C)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
|
| 194 |
|
|
TRIPTA KAPOOR
(PAN:ASVPK5946Q)
|
|
|
|
FICUS COMMODITIES PVT.LTD.
PAN:AABCV4377P
|
|
|
FICUS SECURITIES PVT.LTD.
PAN:AAACV0429K
|
|
DID NOT MAKE DISCLOSURE OF ALL OF DP A/CS TO STOCK EXCHANGES VIOLATING CLAUSES A(1), A(4) AND A(5) OF CODE OF CONDUCT PRESCRIBED FOR STOCK BROKERS UNDER SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
RAISED FUNDS BY PLEDGING CLIENTS SECURITIES VIOLATING CLAUSE A(1) AND A(5) OF CODE OF CONDUCT PRESCRIBED FOR STOCK BROKERS UNDER SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
DID NOT REPORT CORRECT MARGIN TO EXCHANGES IN CD AND FO SEGMENT VIOLATING CLAUSES A(1), A(2) 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 SETTLE CLIENT’S FUNDS AND/OR SECURITIES
TRANSFERRED CLIENTS FUNDS TO FCPL AND FSPL ACCOUNTS
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
20-MAR-2018
|
SEBI VIDE ITS ORDER DATED 17/01/2019 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS EX-PARTE AD INTERIM ORDER DATED 20/03/2018
SEBI VIDE ITS ORDER DATED 25/08/2022 VACATED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 20/03/2018
|
| 195 |
|
|
UDAY H.VORA
(PAN:AAMPV2972L)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, STRUCTURED AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF GENUS COMMU-TRADE LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-DEC-2012
|
|
| 196 |
|
|
UMESH P.SHETH
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PRUDENTIAL PHARMACEUTICALS LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
15-DEC-2010
|
|
| 197 |
|
|
VAISHALI NAINESH JAIN
(PAN:AAEPJ2561P)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
|
| 198 |
|
|
VANDANA ANILKUMAR BHANDARI
(PAN:AEJPB4820Q)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
|
| 199 |
|
|
VENKATRAO KARRI
(PAN:AOBPK0250M)
|
|
|
VIOLATED SECTIONS 12(A) TO (C) OF SEBI ACT. READ WITH REGULATIONS 3(B) TO 3(D) & 4(2)(C), 4(2)(F), 4(2)(K) AND 4(2)(R) OF PFUTP REGULATIONS, 2003 IN MATTER OF GDR ISSUES OF ASAHI INFRASTRUCTURE & PROJECTS LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
05-SEP-2017
|
|
| 200 |
|
|
VIJAY KUMAR BOHRA
(PAN:ABYPB1940P)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH REVERSAL OF TRADE TRANSACTIONS, SYNCHRONIZED, SELF TRADE AND OFF MARKET TRANSACTIONS IN SCRIP OF CRAZY INFOTECH LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
10-FEB-2015
|
|
| 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 11
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