| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 181 |
|
ANISHA AGARWALA
(PAN:AMHPA8862B)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 3(I) AND 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF GOBIND SUGAR MILLS LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GOBIND SUGAR MILLS LTD.
ALLEGED DELAY IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GOBIND SUGAR MILLS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
08-APR-2013
|
|
| 182 |
|
|
ANISHA DHANANI
(PAN:ACTPD3111C)
(Along with : HABIBUNISHA DHANANI,
KAYUM DHANANI,
GULSHAN I.MEMON,
SHAMIM DHANANI,
SHAJI NAIR,
SUBHASH PANDIT,
ABBAS A.SHAIKH,
ABDUL RAZAK DHANANI,
SADIKA MD.I.MEMON,
MANSOOR I.MEMON,
RAJESH C.MODI,
AKITABANU MD.ISMAIL MEMON,
AKSHAY S.UDAR,
UDAY DHANANI,
ROHINI S.UDAR,
SHIRIN H.MEMON,
MUNAWAR GARBADAWALA,
SHYAMLAL BHASKAR PANDIT,
NOORMOHMAD VOHRA,
REKHA R.PANDIT,
RABIA RAZAK DHANANI,
PRADEEP B.MENON,
NASIM R.DHANANI,
SUCHITRA DHANANI)
|
|
|
|
ARIES HOTELS PVT.LTD.
PAN:AABCA6743N
|
|
|
BHARAT EQUITY SERVICES LTD.
PAN:AAACB7732M
|
|
|
EXCELLENT ESTATE DEVELOPERS PVT.LTD.
PAN:AAACE4152G
|
|
|
LIBERTY CONSTRUCTION & LEASING PVT.LTD.
PAN:AAACL3233H
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 11(1) AND 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SAYAJI HOTELS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SAYAJI HOTELS LTD.
|
IMPOSED PENALTY RS.3,10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-MAR-2018
|
SAT: SAT VIDE ITS ORDER DATED 20/10/2019 SEBI GRANTED APPROVAL IN TERMS OF REGULATION 24(2) OF SETTLEMENT REGULATIONS. NO COSTS
|
| 183 |
|
|
ANITA JAGDISHCHANDRA MANSUKHANI
(PAN:AAHPM0923H)
|
|
|
|
JPA HOLDINGS PVT.LTD.
PAN:AABCJ7151K
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 11(1) READ WITH 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF SHARES OF MAN INDUSTRIES (INDIA) LTD.
|
IMPOSED PENALTY RS.10,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-SEP-2011
|
|
| 184 |
|
|
ANITA JAGDISHCHANDRA MANSUKHANI
(PAN:AAHPM0923H)
|
|
|
|
JPA HOLDINGS PVT.LTD.
PAN:AABCJ7151K
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 11(1) READ WITH 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF SHARES OF MAN INDUSTRIES (INDIA) LTD.
|
IMPOSED PENALTY RS.10,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
21-DEC-2018
|
SAT: SAT VIDE ITS ORDER DATED 26/07/2021 ALLOWED THE APPEAL AND QUASHED THE IMPUGNED ORDER DATED 21/12/2018
|
| 185 |
|
|
ANITA SINGHANIA
(PAN:ADAPA6445Q)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ESSEN SUPPLEMENTS INDIA LTD. (KNOWN AS SQUARE FOUR PROJECTS INDIA LTD.)
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SQUARE FOUR PROJECTS INDIA LTD. (FORMERLY KNOWN AS ESSEN SUPPLEMENTS INDIA LTD.)
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER SQUARE FOUR PROJECTS INDIA LTD. (FORMERLY KNOWN AS ESSEN SUPPLEMENTS INDIA LTD.)
|
IMPOSED PENALTY RS.1,07,00,000 ALONG WITH OTHER ENTITIES/PERSONS
15-JUN-2017
|
SAT: SAT VIDE ITS ORDER DATED 20/05/2019 UPHELD IMPUGNED ORDER DATED 15/06/2017 AND REDUCED PENALTY U/S 15H(II) OF SEBI ACT TO RS.1.00 CRORE FROM RS.2.00 CRORES AND PENALTY RS.7.00 LACS IMPOSED U/S 15A(B) OF SEBI ACT DID NOT CHANGE. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 20/05/2019 UPHELD IMPUGNED ORDER DATED 15/06/2017 AND REDUCED PENALTY U/S 15H(II) OF SEBI ACT TO RS.1.00 CRORE FROM RS 2 CRORES AND PENALTY RS.7.00 LACS IMPOSED RS.15A(B) OF SEBI ACT DID NOT CHANGE. NO COSTS
SAT: APPEAL DISMISSED
|
| 186 |
|
|
ANITHA KARUTURI
(PAN:AABCR6958A)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF KARUTURI GLOBAL LTD.
|
IMPOSED PENALTY RS.15,00,000 ALONG WITH OTHER ENTITIES/PERSONS
02-JUL-2013
|
|
| 187 |
|
|
ANITHA KARUTURI
(PAN:AABCR6958A)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF KARUTURI GLOBAL LTD.
|
IMPOSED PENALTY RS.15,00,000 ALONG WITH OTHER ENTITIES/PERSONS
02-JUL-2013
|
SEBI VIDE ITS NOTICE DATED 24/12/2014 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS 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 05/01/2015 WITHDRAWN THE WARRANT OF ATTACHMENTS ISSUED VIDE ITS ORDER DATED 24/12/2014
|
| 188 |
|
|
ANITHA VASANTH
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 11 (1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF VISION ORGANICS LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
13-MAY-2015
|
SAT: APPEAL DISMISSED. NO COSTS
|
| 189 |
|
|
ANJALI ANNASAHEB MOHITE
(PAN:AEOPM5135N)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(A)(3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ABHISHEK CORP.LTD.
|
IMPOSED PENALTY RS.5,00,000
24-SEP-2014
|
|
| 190 |
|
|
ANJANA B.RANKA
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) READ WITH 14 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF RESIDENCY PROJECTS & INFRATECH LTD.
|
IMPOSED PENALTY RS.50,00,000 ALONG WITH OTHER ENTITIES/PERSONS
17-SEP-2014
|
SAT: SAT VIDE ITS ORDER DATED 02/03/2016 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 17/09/2014 AND RESTORED THE MATTER TO FILE OF AO TO PASS FRESH ORDER ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
|
| 191 |
|
|
ANJANA B.RANKA
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF RESIDENCY PROJECTS & INFRATECH LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
23-MAR-2018
|
|
| 192 |
|
|
ANJANA GUPTA
(DIN:00059090
PAN:AHCPG7242H)
(Along with : BHARAT GUPTA)
|
|
|
|
HEENA DEVELOPERS PVT.LTD.
PAN:AABCH8216M
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF IFL PROMOTERS LTD.
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 35 OF SEBI (SAST) REGULATIONS, 2011 IN MATTER OF IFL PROMOTERS LTD.
|
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
16-APR-2021
|
SEBI VIDE ITS NOTICE DATED 04/07/2022 DIRECTED TO PAY RS.6,97,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 28/07/2022 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
|
| 193 |
|
|
ANJANA GUPTA
(DIN:00059090
PAN:AHCPG7242H)
|
|
|
|
HEENA DEVELOPERS PVT.LTD.
CIN:U74899DL1991PTC044873
PAN:AABCH8216M
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF IFL PROMOTERS LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
17-JAN-2018
|
SEBI VIDE ITS NOTICE DATED 09/09/2019 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
|
| 194 |
|
|
ANJESH GOURH
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND SEBI AS REQUIRED UNDER REGULATIONS 3(3),3(4) & 3(5) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 6,15,900 (25.66%) SHARES/VOTING RIGHTS OF LUMINAIRE TECHNOLOGIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.75,000, ADMINISTRATION CHARGES RS.25,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
07-MAY-2009
|
|
| 195 |
|
|
ANJNI Y.PATEL
(Along with : YOGENDRA D.PATEL)
|
|
|
|
BHARAT FERTILIZER INDUSTRIES LTD.
|
|
|
WADA ALUMS & ACIDS PVT.LTD.
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SHARES OF BHARAT FERTILISER INDUSTRIES LTD.
|
IMPOSED PENALTY RS.40,000 ALONG WITH OTHER ENTITIES/PERSONS
23-OCT-2007
|
|
| 196 |
|
|
ANJU DEVI AGARWAL
(PAN:ACHPA6756E)
|
|
|
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
|
| 197 |
|
|
ANJU R.INNANI
(PAN:AAHPI1233L)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF APOLLO FINVEST (INDIA) LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF APOLLO FINVEST (INDIA) LTD.
|
IMPOSED PENALTY RS.7,00,000
30-APR-2015
|
|
| 198 |
|
|
ANJU R.INNANI
(PAN:AAHPI1233L)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11 (2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF APOLLO FINVEST (INDIA) LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
13-MAY-2015
|
|
| 199 |
|
|
ANJU SIRAJ
|
|
|
|
WEIZMANN LTD.
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF PREFERENCE SHARES OF WEIZMANN FINCORP LTD.
|
IMPOSED PENALTY RS.1,30,000 ALONG WITH OTHER ENTITIES/PERSONS
24-OCT-2008
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER SET ASIDE LEAVING PARTIES TO BEAR THEIR OWN COSTS
|
| 200 |
|
|
ANJUBEN KOTHARI
|
|
|
|
ALKA SECURITIES LTD.
PAN:AAACA4835E
(Member : NSE)
|
|
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 ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-JUL-2009 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHER ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE AD-INTERIM ORDER DATED 28/07/2009 CONFIRMED AND DIRECTED BSE AND NSE TO 1) APPOINT AN INDEPENDENT AUDITOR ON OR BEFORE 22/10/2009 TO VERIFY OWNERSHIP OF SHARES LYING IN BENEFICIAL OWNER ACCOUNTS OF THEIR RESPECTIVE TRADING MEMBERS 2) ASK AUDIOTRS TO SUBMIT REPORT WITHIN A PERIOD OF SIX WEEKS FROM DATE OF APPOINTMENT
SAT: APPEAL DISPOSED OFF WITH DIRECTION TO SEBI TO CONCLUDE INVESTIGATIONS EXPEDITIOUSLY BUT NOT LATER THAN 31/03/2010
SAT: DIRECTED SEBI THAT IN CASE IT PROPOSES TO PROCEED AGAINST APPLICANTS UNDER SECTION 11B,IT SHOULD ISSUE SHOW CAUSE NOTICE NOT LATER THAN 31/08/2010 AND APPLICANT SHALL RESPOND WITHIN TWO WEEKS FROM DATE OF ITS RECEIPT, WHEREAFTER SEBI SHALL PROCEED IN MATTER AND CONCLUDE PROCEEDINGS BEFORE END OF THIS YEAR
SAT: DIRECTED SEBI VIDE ORDER DATED 16/11/2010, TO RELEASE THE SHARES TO THE PERSONS AS RECOMMENDED BY THREE MEMBERS COMMITTEE ON THE CONDITIONS MENTIONED IN THEIR REPORT AND AFTER TAKING INTO ACCOUNT THE REPRESENTATION
SEBI VIDE ITS ORDER DATED 30/12/2010 PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, FOR A PERIOD OF ONE YEAR FROM DATE OF THIS ORDER
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 10 of 148
|
