| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 181 |
|
SADHNA BIO OILS PVT.LTD.
(PAN:AAKCS4057N)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SADHNA BROADCAST LTD. USING MISLEADING YOUTUBE VIDEOS WITH FALSE CONTENT BACKED BY PAID MARKETING CAMPAIGN
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-MAR-2023 UNTIL FURTHER ORDERS
DIRECTED TO OPEN INTEREST BEARING ESCROW ACCOUNT WITH A SCHEDULED COMMERCIAL BANK AND DEPOSIT THE IMPOUNDED AMOUNT THEREIN IN THE MATTER OF TO BE PROCEEDS GENERATED FROM FRONT RUNNING TRADES WITHOUT PERMISSION FROM SEBI
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 02-MAR-2023 UNTIL FURTHER ORDERS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
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
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT NOT TRANSFERRED SECURITIES HELD JOINTLY OR SEVERALLY
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.8,93,01,600
02-MAR-2023
|
SAT: SAT VIDE ITS ORDER DATED 17/03/2023 ALLOWED THE APPLICATION FOR EXEMPTION OF CERTIFIED COPY
SEBI VIDE ITS ORDER DATED 31/10/2023 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 02/03/2023 READ WITH CONFIRMATORY ORDER DATED 20/07/2023 AND A) DIRECTED TO RESTRAIN FROM DEALING IN THE SCRIP OF SADHNA BROADCAST LTD. DURING PENDENCY OF THE INVESTIGATION B) FUNDS TO BE DEPOSITED IN INTEREST BEARING ESCROW ACCOUNTS AS DIRECTED IN INTERIM ORDER WILL REMAIN IN THE SAID ACCOUNT WITH LIEN IN FAVOUR OF SEBI UNTIL FURTHER ORDERS
SAT: SAT VIDE ITS ORDER DATED 08/01/2024 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 12/02/2024 ALLOWED APPELLANT FURTHER TWO WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 16/04/2024 ALLOWED APPELLANTS ADDITIONAL AND FINAL THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 19/08/2024 GRANTED APPELLANT TWO MONTHS TO SETTLE THE CASE
SAT: SAT VIDE ITS ORDER DATED 31/07/2025 DIRECTED APPELLANT TO DEPOSIT TOTAL SUM OF RS.60 LAC AFTER ALLOWING CREDIT FOR THE AMOUNT WHICH IS ALREADY DEPOSITED
|
| 182 |
|
|
SAFE TRADER
(PAN:BOHPC6521A)
|
|
|
|
RAJNANDANI JALKHEDIYA
PAN:BOHPC6521A
|
|
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
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 25-JAN-2023 TO 24-JAN-2025
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DIRECTED TO DEPOSIT REMAINING BALANCE AMOUNT WITH SEBI TO BE KEPT IN ESCROW ACCOUNT
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-JAN-2023 TO 24-JAN-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-JAN-2023 TO 24-JAN-2025
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 25-JAN-2023 TO 24-JAN-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-JAN-2023 TO 24-JAN-2025
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 25-JAN-2023 TO 24-JAN-2025
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
25-JAN-2023
|
SEBI VIDE ITS NOTICE DATED 12/12/2023 DIRECTED TO PAY RS.44,41,678.29 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 183 |
|
|
SAI METALTECH LLP
(PAN:ADXFS9004L)
(Along with : ROBERT RESOURCES LTD.,
ECONO TRADE (INDIA) LTD.,
ECONO BROKING PVT.LTD.,
RUSHP TRADING LLP,
SATRAMA TRADING LLP,
SHIVHARI TRADING LLP)
|
|
|
|
BAJAJ SONALI ATEET
PAN:APCPC1264M
|
|
|
DURGESHWARI PRADIPBHAI CHIRIPAL
PAN:AHWPC2289G
|
|
|
HANIF KASAMBHAI SHEKH
PAN:CBEPS9710A
|
|
|
HASINA KASAMBHAI SHEKH
PAN:BFHPS4813N
|
|
|
KASAMBHAI SHEKH
PAN:AGRPS7734C
|
|
|
MANUJ ASHOKKUMAR CHIRIPAL
PAN:AUCPC1621M
|
|
|
TRISHA VIKASH BAJAJ
PAN:AEGPA7779E
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF VISHAL FABRICS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-JUN-2023 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-JUN-2023 TILL FURTHER ORDERS
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
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
DIRECTED TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI
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 ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
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
DIRECTED TO DISGORGE RS.30,96,00,866 ALONG WITH OTHER ENTITIES/PERSONS
19-JUN-2023
|
|
| 184 |
|
|
SAI METALTECH LLP
(PAN:ADXFS9004L)
(Along with : ROBERT RESOURCES LTD.,
ECONO TRADE (INDIA) LTD.,
ECONO BROKING PVT.LTD.)
|
|
|
|
AAKASH DILIP DOSHI
PAN:AILPD8283D
|
|
|
ANKURKUMAR SURESHKUMAR MEHTA
PAN:AJGPM2288K
|
|
|
ARVIND SHANTILAL SHAH
PAN:AAPPS5253A
|
|
|
BHARATI ARVIND SHAH
PAN:ANDPS3927Q
|
|
|
BHASHIT DEEPAK SHAH
PAN:BLOPS8366M
|
|
|
BHAVIN ARVIND SHAH
PAN:AAKPS2177G
|
|
|
DHAVANI JAYANTKUMAR SHAH
PAN:AIWPS7376P
|
|
|
HANIF KASAMBHAI SHEKH
PAN:CBEPS9710A
|
|
|
HASINA KASAMBHAI SHEKH
PAN:BFHPS4813N
|
|
|
HIMANSHU RAMNIKLAL SHAH
PAN:ACSPS6353A
|
|
|
KASAMBHAI SHEKH
PAN:AGRPS7734C
|
|
|
KEVIN KAPADIA
PAN:AGIPK9817H
|
|
|
KRUTI KEVIN KAPADIA
PAN:BCRPK1909C
|
|
|
MEHUL HASMUKH SHAH
PAN:AKMPS7735C
|
|
|
RAJVI NARESH SHAH
PAN:BJAPS6060A
|
|
|
RAMNARESH DASHADEEN NIRMAL
PAN:ADGPN1274J
|
|
|
RUPAL BHAVIN SHAH
PAN:AUWPS1058E
|
|
|
SHASHIKANT CHINUBHAI KAPADIA
PAN:AARPK2091E
|
|
|
VIDHI MEHUL SHAH
PAN:APFPS2795N
|
|
|
YASH MANISH MEHTA
PAN:CGGPM6543Q
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF DARJEELING ROPEWAY CO.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-JUN-2023 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-JUN-2023 TILL FURTHER ORDERS
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
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
DIRECTED TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI
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 ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
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
DIRECTED TO DISGORGE RS.10,39,71,344 ALONG WITH OTHER ENTITIES/PERSONS
19-JUN-2023
|
SAT: SAT VIDE ITS ORDER DATED 12/09/2023 DISPOSED OF THE APPEAL AND DIRECTED APPELLANTS TO FILE REPLY/OBJECTION TO SCN AS WELL
|
| 185 |
|
|
SAI METALTECH LLP
(PAN:ADXFS9004L)
(Along with : HIGHGROWTH VINCOM PVT.LTD.,
GLORIOUS VINCOM PVT.LTD.,
ROBERT RESOURCES LTD.,
ECONO TRADE (INDIA) LTD.,
ECONO BROKING PVT.LTD.)
|
|
|
|
ARUN DUTTA
PAN:AIYPD5217E
|
|
|
ARUN LAHA
PAN:APWPL5441F
|
|
|
HANIF KASAMBHAI SHEKH
PAN:CBEPS9710A
|
|
|
HASINA KASAMBHAI SHEKH
PAN:BFHPS4813N
|
|
|
KASAMBHAI SHEKH
PAN:AGRPS7734C
|
|
|
MINU MALLICK
PAN:DGTPM2047B
|
|
|
PRIYANKAR LAHA
PAN:AKLPL2832L
|
|
|
TAPAS LAHA
PAN:ANCPL7138F
|
|
|
UJJAL LAHA
PAN:ATSPL2483R
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF MAURIA UDYOG LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-JUN-2023 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-JUN-2023 TILL FURTHER ORDERS
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
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
DIRECTED TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI
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 ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
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
DIRECTED TO DISGORGE RS.33,48,04,829 ALONG WITH OTHER ENTITIES/PERSONS
19-JUN-2023
|
SAT: SAT VIDE ITS ORDER DATED 12/09/2023 DISPOSED OF THE APPEAL AND DIRECTED APPELLANTS TO FILE REPLY/OBJECTION TO SCN AS WELL
|
| 186 |
|
|
SAI METALTECH LLP
(PAN:ADXFS9004L)
(Along with : ROBERT RESOURCES LTD.,
ECONO TRADE (INDIA) LTD.,
ECONO BROKING PVT.LTD.,
RUSHP TRADING LLP,
SATRAMA TRADING LLP,
SHIVHARI TRADING LLP,
LINKUP FINANCIAL CONSULTANTS PVT.LTD.,
HIGHGROWTH VINCOM PVT.LTD.)
|
|
|
|
ARUN DUTTA
PAN:AIYPD5217E
|
|
|
BAJAJ SONALI ATEET
PAN:APCPC1264M
|
|
|
BUDDHADEB LAHA
PAN:AQBPL5563C
|
|
|
CHIRAGKUMAR MAKWANA
PAN:CTXPM2544K
|
|
|
DEBASHISH DUTTA
PAN:CVMPD9641P
|
|
|
DURGESHWARI PRADIPBHAI CHIRIPAL
PAN:AHWPC2289G
|
|
|
HANIF KASAMBHAI SHEKH
PAN:CBEPS9710A
|
|
|
HASINA KASAMBHAI SHEKH
PAN:BFHPS4813N
|
|
|
HINA BAROT
PAN:DGUPB9477B
|
|
|
KASAMBHAI SHEKH
PAN:AGRPS7734C
|
|
|
MAKWANA MADHUBEN
PAN:CUHPM8134L
|
|
|
MANUJ ASHOKKUMAR CHIRIPAL
PAN:AUCPC1621M
|
|
|
MINU MALLICK
PAN:DGTPM2047B
|
|
|
PRAKASH KANTILAL VAGHELA
PAN:AGEPV6889L
|
|
|
SANJAY DEY
PAN:BWHPD4063L
|
|
|
SOURAV DAS
PAN:CEJPD9809M
|
|
|
SUMIT LAHA
PAN:AXJPL4908J
|
|
|
SUPRABHAT LAHA
PAN:APXPL1814M
|
|
|
TRISHA VIKASH BAJAJ
PAN:AEGPA7779E
|
|
|
UJJAL LAHA
PAN:ATSPL2483R
|
|
|
UMA DUTTA
PAN:COXPD8400E
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF VISHAL FABRICS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-JUN-2023 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-JUN-2023 TILL FURTHER ORDERS
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
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
DIRECTED TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI
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 ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
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
DIRECTED TO DISGORGE RS.1,34,67,773 ALONG WITH OTHER ENTITIES/PERSONS
19-JUN-2023
|
SAT: SAT VIDE ITS ORDER DATED 12/09/2023 DISPOSED OF THE APPEAL AND DIRECTED APPELLANTS TO FILE REPLY/OBJECTION TO SCN AS WELL
|
| 187 |
|
|
SAI METALTECH LLP
(PAN:ADXFS9004L)
(Along with : ROBERT RESOURCES LTD.,
ECONO TRADE (INDIA) LTD.,
ECONO BROKING PVT.LTD.)
|
|
|
|
CHIRAGKUMAR MAKWANA
PAN:CTXPM2544K
|
|
|
DIPIKA POPATBHAI PARMAR
PAN:DKMPP5973A
|
|
|
FULDEEP POPATBHAI SEHGAL
PAN:GIOPS7160B
|
|
|
HANIF KASAMBHAI SHEKH
PAN:CBEPS9710A
|
|
|
HASINA KASAMBHAI SHEKH
PAN:BFHPS4813N
|
|
|
HIMANSHU RAMNIKLAL SHAH
PAN:ACSPS6353A
|
|
|
HINA BAROT
PAN:DGUPB9477B
|
|
|
KARAN BIRJUBHAI SANGHVI
PAN:ESJPS8192E
|
|
|
KASAMBHAI SHEKH
PAN:AGRPS7734C
|
|
|
KEVAL SAVANT
PAN:HYAPS6005L
|
|
|
KRUSHA BIRJUKUMAR SANGHVI
PAN:FXCPS0434J
|
|
|
LILABEN POPATBHAI PARMAR
PAN:DBYPP5174G
|
|
|
MAKWANA MADHUBEN
PAN:CUHPM8134L
|
|
|
MANISHKUMAR RAJPUT
PAN:CGPPR9641K
|
|
|
POPATBHAI RAMJIBHAI PARMAR
PAN:DGFPP6706L
|
|
|
PRITIBEN POPATBHAI PARMAR
PAN:AXGPP6927Q
|
|
|
RAVI KANNADASAN ADIDRAVID
PAN:AVSPA1063A
|
|
|
SAHILKUMAR AMRUTBHAI VAGHELA
PAN:ATLPV1359B
|
|
|
SHAHRUKHKHAN PATHAN
PAN:DOJPP7089N
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF DARJEELING ROPEWAY CO.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-JUN-2023 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-JUN-2023 TILL FURTHER ORDERS
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
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
DIRECTED TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI
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 ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
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
DIRECTED TO DISGORGE RS.2,68,397 ALONG WITH OTHER ENTITIES/PERSONS
19-JUN-2023
|
SAT: SAT VIDE ITS ORDER DATED 12/09/2023 DISPOSED OF THE APPEAL AND DIRECTED APPELLANTS TO FILE REPLY/OBJECTION TO SCN AS WELL
|
| 188 |
|
|
SAI METALTECH LLP
(PAN:ADXFS9004L)
(Along with : ROBERT RESOURCES LTD.,
ECONO TRADE (INDIA) LTD.,
ECONO BROKING PVT.LTD.,
HIGHGROWTH VINCOM PVT.LTD.,
GLORIOUS VINCOM PVT.LTD.,
LINKUP FINANCIAL CONSULTANTS PVT.LTD.)
|
|
|
|
AKSHAY JITENDRAKUMAR BRAHAMBHATT
PAN:CDXPB7730C
|
|
|
ARPAN DAS
PAN:CEZPD7390K
|
|
|
ARUN DUTTA
PAN:AIYPD5217E
|
|
|
BUDDHADEB LAHA
PAN:AQBPL5563C
|
|
|
DIXIT BORISA
PAN:BNDPB5397L
|
|
|
HANIF KASAMBHAI SHEKH
PAN:CBEPS9710A
|
|
|
HASINA KASAMBHAI SHEKH
PAN:BFHPS4813N
|
|
|
KAMLESHKUMAR G.SOLANKI
PAN:BFLPS7554C
|
|
|
KASAMBHAI SHEKH
PAN:AGRPS7734C
|
|
|
MAHESHKUMAR NARESHKUMAR PURABIA
PAN:APJPP8572N
|
|
|
MANOHARPRASAD GHANSHYAMBHAI VAISHNAV
PAN:AKDPV8381N
|
|
|
NAGINBHAI JESHINGBHAI MAHERIYA
PAN:AZRPM0004E
|
|
|
NITESH P.PAVSKAR
PAN:BJQPP0910G
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PRIYANKAR LAHA
PAN:AKLPL2832L
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SANJAY DEY
PAN:BWHPD4063L
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SHRENIK JITENDRABHAI GOHIL
PAN:BRCPG1140D
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UJJAL LAHA
PAN:ATSPL2483R
|
|
|
VIJAY RAJESHBHAI VASITA
PAN:AXQPV0383G
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF GBL INDUSTRIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-JUN-2023 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-JUN-2023 TILL FURTHER ORDERS
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
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
DIRECTED TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI
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 ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
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
DIRECTED TO DISGORGE RS.4,39,37,085 ALONG WITH OTHER ENTITIES/PERSONS
19-JUN-2023
|
SAT: SAT VIDE ITS ORDER DATED 12/09/2023 DISPOSED OF THE APPEAL AND DIRECTED APPELLANTS TO FILE REPLY/OBJECTION TO SCN AS WELL
|
| 189 |
|
|
SAI METALTECH LLP
(PAN:ADXFS9004L)
(Along with : ROBERT RESOURCES LTD.,
ECONO TRADE (INDIA) LTD.,
ECONO BROKING PVT.LTD.,
HIGHGROWTH VINCOM PVT.LTD.)
|
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ARPAN DAS
PAN:CEZPD7390K
|
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CHANDRIKABEN MAHESHBHAI CHAUHAN
PAN:BWSPC8594A
|
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CHINTUKUMAR VASUDEVBHAI PANDYA
PAN:BBGPP8915H
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DIBAKAR LAHA
PAN:AJVPL4026B
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DIXIT BORISA
PAN:BNDPB5397L
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GOVINDBHAI NATVARLAL CHAUHAN
PAN:BFMPC4964H
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HANIF KASAMBHAI SHEKH
PAN:CBEPS9710A
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HASINA KASAMBHAI SHEKH
PAN:BFHPS4813N
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JITENDRA HARJIVANBHAI GOHIL
PAN:AJMPG6403E
|
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KAMLESHKUMAR G.SOLANKI
PAN:BFLPS7554C
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KASAMBHAI SHEKH
PAN:AGRPS7734C
|
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MAHESHKUMAR NARESHKUMAR PURABIA
PAN:APJPP8572N
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MANOHARPRASAD GHANSHYAMBHAI VAISHNAV
PAN:AKDPV8381N
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NAGINBHAI JESHINGBHAI MAHERIYA
PAN:AZRPM0004E
|
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NATVARBHAI PATLIA
PAN:DDYPP0586C
|
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NITESH P.PAVSKAR
PAN:BJQPP0910G
|
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RAVINDRA NANALAL RAVAL
PAN:AETPR3110B
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SANJAY DEY
PAN:BWHPD4063L
|
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SOURAV DAS
PAN:CEJPD9809M
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SUMIT LAHA
PAN:AXJPL4908J
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SUPRABHAT LAHA
PAN:APXPL1814M
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SUSHMA JASMIN BAROT
PAN:CEYPB7305B
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TEJAL AMITKUMAR KHATRI
PAN:ERFPK5538F
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UJJAL LAHA
PAN:ATSPL2483R
|
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VIJAY RAJESHBHAI VASITA
PAN:AXQPV0383G
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF 7NR RETAIL LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-JUN-2023 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-JUN-2023 TILL FURTHER ORDERS
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
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
DIRECTED TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI
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 ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
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
DIRECTED TO DISGORGE RS.29,60,46,866 ALONG WITH OTHER ENTITIES/PERSONS
19-JUN-2023
|
SAT: SAT VIDE ITS ORDER DATED 12/09/2023 DISPOSED OF THE APPEAL AND DIRECTED APPELLANTS TO FILE REPLY/OBJECTION TO SCN AS WELL
|
| 190 |
|
|
SAI METALTECH LLP
(PAN:ADXFS9004L)
(Along with : MAURIA UDYOG LTD.,
VEE EM INFOCENTRE PVT.LTD.,
ROBERT RESOURCES LTD.,
ECONO TRADE (INDIA) LTD.,
ECONO BROKING PVT.LTD.)
|
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DEEPA SUREKA
PAN:ANTPS8310F
|
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|
HANIF KASAMBHAI SHEKH
PAN:CBEPS9710A
|
|
|
HASINA KASAMBHAI SHEKH
PAN:BFHPS4813N
|
|
|
KASAMBHAI SHEKH
PAN:AGRPS7734C
|
|
|
NAVNEET KUMAR SUREKA
PAN:ANWPS5531K
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF MAURIA UDYOG LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-JUN-2023 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-JUN-2023 TILL FURTHER ORDERS
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
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
DIRECTED TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI
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 ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
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
DIRECTED TO DISGORGE RS.26,19,68,781 ALONG WITH OTHER ENTITIES/PERSONS
19-JUN-2023
|
SAT: SAT VIDE ITS ORDER DATED 12/09/2023 DISPOSED OF THE APPEAL AND DIRECTED APPELLANTS TO FILE REPLY/OBJECTION TO SCN AS WELL
|
| 191 |
|
|
SAI PROFICIENT RESEARCH INVESTMENT ADVISORY
(PAN:AVBPV2205J)
|
|
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|
MEESHIKA VISHWAKARMA
PAN:AVBPV2205J
|
|
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-FEB-2021 UNTIL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-FEB-2021 UNTIL FURTHER ORDERS
CEASED & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS AN INVESTMENT ADVISOR, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 09-FEB-2021 UNTIL FURTHER ORDERS
DIRECTED TO CEASE & DESIST FROM ACTING AS AN INVESTMENT ADVISOR AND/OR RESEARCH ANALYST AND CEASE TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER UNREGISTERED ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 09-FEB-2021 UNTIL FURTHER ORDERS
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 09-FEB-2021 UNTIL FURTHER ORDERS
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
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO THOSE SCHEMES / ACTIVITIES (INVESTMENT ADVISER AND ALTERNATIVE INVESTMENT FUND, AND/OR RESEARCH ANALYST) OR ANY UNREGISTERED ACTIVITIES FROM 09-FEB-2021 UNTIL FURTHER ORDERS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND CREDITS MADE IN DEMAT ACCOUNTS
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
09-FEB-2021
|
SEBI VIDE ITS ORDER DATED 27/08/2021 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS EX-PARTE AD INTERIM ORDER DATED 09/02/2021
|
| 192 |
|
|
SANJAY J.SHAH (HUF)
(PAN:AAFHS6079C)
|
|
|
INDULGED IN FRONT RUNNING TRADING ACTIVITIES OF DEALERS OF RELIANCE SECURITIES LTD. AND OTHER CONNECTED ENTITIES VIOLATING REGULATIONS 3(A) TO (D) AND 4(1) & 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003
|
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 07-AUG-2020 UNTIL FURTHER ORDERS
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 07-AUG-2020 UNTIL FURTHER ORDERS
DIRECTED TO OPEN ESCROW ACCOUNT WITH A NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT TO BE PROCEEDS GENERATED FROM FRONT RUNNING TRADES WITHOUT PERMISSION FROM SEBI
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
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 07-AUG-2020 UNTIL FURTHER ORDERS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
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
07-AUG-2020
|
SAT: SAT VIDE ITS ORDER DATED 10/12/2020 DISPOSED OFF THE APPEAL AND DIRECTED APPELLANT TO FILE THEIR REPLY/OBJECTION ON OR BEFORE 15/12/2020
SEBI VIDE ITS ORDER DATED 30/12/2020 REVOKED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 07/08/2020
SAT: SAT VIDE ITS ORDER DATED 07/06/2023 CONDONED THE DELAY IN FILING OF APPEAL. IN THE MEANWHILE, RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER. STAYED IMPUGNED ORDER AND DIRECTED APPELLANT TO DEPOSIT BALANCE DISGORGEMENT AMOUNT AND PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 193 |
|
|
SARITA GARG (HUF)
(PAN:ABIHS4539R)
|
|
|
INDULGED IN FRONT RUNNING TRADING ACTIVITIES 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 IN MATTER OF LIFE INSURANCE CORP.OF INDIA
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-APR-2023 UNTIL FURTHER ORDERS
DIRECTED TO CEASE & DESIST FROM DIRECTLY OR INDIRECTLY, ENGAGED IN FRAUDULENT, MANIPULATIVE OR UNFAIR TRADE PRACTICE INCLUDING FRONT RUNNING ACTIVITIES FROM 27-APR-2023 UNTIL FURTHER ORDERS
DIRECTED TO DEPOSIT WRONGFUL GAINS IN ESCROW ACCOUNT
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
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
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 27-APR-2023 UNTIL FURTHER ORDERS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
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
27-APR-2023
|
SEBI VIDE ITS ORDER DATED 19/03/2024 DIRECTED TO DEPOSIT THE PROCEEDS IN ESCROW ACCOUNT IMMEDIATELY. DIRECTIONS AT PARAGRAPH 39.6 OF INTERIM ORDER DATED 27/04/2023 ISSUED TO THE BANKS AND DEPOSITORIES TO CONTINUE AGAINST THE NOTICEES TILL RECEIPT OF ANY OTHER COMMUNICATION FROM SEBI
|
| 194 |
|
|
SATRAMA TRADING LLP
(PAN:ABUFS0540C)
(Along with : ROBERT RESOURCES LTD.,
ECONO TRADE (INDIA) LTD.,
ECONO BROKING PVT.LTD.,
SAI METALTECH LLP,
RUSHP TRADING LLP,
SHIVHARI TRADING LLP,
LINKUP FINANCIAL CONSULTANTS PVT.LTD.,
HIGHGROWTH VINCOM PVT.LTD.)
|
|
|
|
ARUN DUTTA
PAN:AIYPD5217E
|
|
|
BAJAJ SONALI ATEET
PAN:APCPC1264M
|
|
|
BUDDHADEB LAHA
PAN:AQBPL5563C
|
|
|
CHIRAGKUMAR MAKWANA
PAN:CTXPM2544K
|
|
|
DEBASHISH DUTTA
PAN:CVMPD9641P
|
|
|
DURGESHWARI PRADIPBHAI CHIRIPAL
PAN:AHWPC2289G
|
|
|
HANIF KASAMBHAI SHEKH
PAN:CBEPS9710A
|
|
|
HASINA KASAMBHAI SHEKH
PAN:BFHPS4813N
|
|
|
HINA BAROT
PAN:DGUPB9477B
|
|
|
KASAMBHAI SHEKH
PAN:AGRPS7734C
|
|
|
MAKWANA MADHUBEN
PAN:CUHPM8134L
|
|
|
MANUJ ASHOKKUMAR CHIRIPAL
PAN:AUCPC1621M
|
|
|
MINU MALLICK
PAN:DGTPM2047B
|
|
|
PRAKASH KANTILAL VAGHELA
PAN:AGEPV6889L
|
|
|
SANJAY DEY
PAN:BWHPD4063L
|
|
|
SOURAV DAS
PAN:CEJPD9809M
|
|
|
SUMIT LAHA
PAN:AXJPL4908J
|
|
|
SUPRABHAT LAHA
PAN:APXPL1814M
|
|
|
TRISHA VIKASH BAJAJ
PAN:AEGPA7779E
|
|
|
UJJAL LAHA
PAN:ATSPL2483R
|
|
|
UMA DUTTA
PAN:COXPD8400E
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF VISHAL FABRICS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-JUN-2023 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-JUN-2023 TILL FURTHER ORDERS
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
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
DIRECTED TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI
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 ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
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
DIRECTED TO DISGORGE RS.1,34,67,773 ALONG WITH OTHER ENTITIES/PERSONS
19-JUN-2023
|
|
| 195 |
|
|
SATRAMA TRADING LLP
(PAN:ABUFS0540C)
(Along with : ROBERT RESOURCES LTD.,
ECONO TRADE (INDIA) LTD.,
ECONO BROKING PVT.LTD.,
SAI METALTECH LLP,
RUSHP TRADING LLP,
SHIVHARI TRADING LLP)
|
|
|
|
BAJAJ SONALI ATEET
PAN:APCPC1264M
|
|
|
DURGESHWARI PRADIPBHAI CHIRIPAL
PAN:AHWPC2289G
|
|
|
HANIF KASAMBHAI SHEKH
PAN:CBEPS9710A
|
|
|
HASINA KASAMBHAI SHEKH
PAN:BFHPS4813N
|
|
|
KASAMBHAI SHEKH
PAN:AGRPS7734C
|
|
|
MANUJ ASHOKKUMAR CHIRIPAL
PAN:AUCPC1621M
|
|
|
TRISHA VIKASH BAJAJ
PAN:AEGPA7779E
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF VISHAL FABRICS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-JUN-2023 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-JUN-2023 TILL FURTHER ORDERS
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
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
DIRECTED TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI
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 ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
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
DIRECTED TO DISGORGE RS.30,96,00,866 ALONG WITH OTHER ENTITIES/PERSONS
19-JUN-2023
|
|
| 196 |
|
|
SHIVHARI TRADING LLP
(PAN:ACSFS3095B)
(Along with : ROBERT RESOURCES LTD.,
ECONO TRADE (INDIA) LTD.,
ECONO BROKING PVT.LTD.,
SAI METALTECH LLP,
RUSHP TRADING LLP,
SATRAMA TRADING LLP)
|
|
|
|
BAJAJ SONALI ATEET
PAN:APCPC1264M
|
|
|
DURGESHWARI PRADIPBHAI CHIRIPAL
PAN:AHWPC2289G
|
|
|
HANIF KASAMBHAI SHEKH
PAN:CBEPS9710A
|
|
|
HASINA KASAMBHAI SHEKH
PAN:BFHPS4813N
|
|
|
KASAMBHAI SHEKH
PAN:AGRPS7734C
|
|
|
MANUJ ASHOKKUMAR CHIRIPAL
PAN:AUCPC1621M
|
|
|
TRISHA VIKASH BAJAJ
PAN:AEGPA7779E
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF VISHAL FABRICS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-JUN-2023 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-JUN-2023 TILL FURTHER ORDERS
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
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
DIRECTED TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI
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 ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
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
DIRECTED TO DISGORGE RS.30,96,00,866 ALONG WITH OTHER ENTITIES/PERSONS
19-JUN-2023
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| 197 |
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SHIVHARI TRADING LLP
(PAN:ACSFS3095B)
(Along with : ROBERT RESOURCES LTD.,
ECONO TRADE (INDIA) LTD.,
ECONO BROKING PVT.LTD.,
SAI METALTECH LLP,
RUSHP TRADING LLP,
SATRAMA TRADING LLP,
LINKUP FINANCIAL CONSULTANTS PVT.LTD.,
HIGHGROWTH VINCOM PVT.LTD.)
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ARUN DUTTA
PAN:AIYPD5217E
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BAJAJ SONALI ATEET
PAN:APCPC1264M
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BUDDHADEB LAHA
PAN:AQBPL5563C
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CHIRAGKUMAR MAKWANA
PAN:CTXPM2544K
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DEBASHISH DUTTA
PAN:CVMPD9641P
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DURGESHWARI PRADIPBHAI CHIRIPAL
PAN:AHWPC2289G
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HANIF KASAMBHAI SHEKH
PAN:CBEPS9710A
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HASINA KASAMBHAI SHEKH
PAN:BFHPS4813N
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HINA BAROT
PAN:DGUPB9477B
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KASAMBHAI SHEKH
PAN:AGRPS7734C
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MAKWANA MADHUBEN
PAN:CUHPM8134L
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MANUJ ASHOKKUMAR CHIRIPAL
PAN:AUCPC1621M
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MINU MALLICK
PAN:DGTPM2047B
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PRAKASH KANTILAL VAGHELA
PAN:AGEPV6889L
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SANJAY DEY
PAN:BWHPD4063L
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SOURAV DAS
PAN:CEJPD9809M
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SUMIT LAHA
PAN:AXJPL4908J
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SUPRABHAT LAHA
PAN:APXPL1814M
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TRISHA VIKASH BAJAJ
PAN:AEGPA7779E
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UJJAL LAHA
PAN:ATSPL2483R
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UMA DUTTA
PAN:COXPD8400E
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INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF VISHAL FABRICS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-JUN-2023 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-JUN-2023 TILL FURTHER ORDERS
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
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
DIRECTED TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI
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 ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
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
DIRECTED TO DISGORGE RS.1,34,67,773 ALONG WITH OTHER ENTITIES/PERSONS
19-JUN-2023
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| 198 |
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SIMPLY EARN RESEARCH
(PAN:ACZFS1949R)
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ANIMESH PARIDA
PAN:BSKPP4293D
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PARTH R.TRIVEDI
PAN:AVJPT2739D
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ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
CEASED & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS AN INVESTMENT ADVISOR, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 24-FEB-2022 TO 23-FEB-2023
DIRECTED TO CEASE & DESIST FROM ACTING AS AN INVESTMENT ADVISOR AND/OR RESEARCH ANALYST AND CEASE TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER UNREGISTERED ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 24-FEB-2022 TO 23-FEB-2023
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 24-FEB-2022 TO 23-FEB-2023
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO THOSE SCHEMES / ACTIVITIES (INVESTMENT ADVISER AND ALTERNATIVE INVESTMENT FUND, AND/OR RESEARCH ANALYST) OR ANY UNREGISTERED ACTIVITIES FROM 24-FEB-2022 TO 23-FEB-2023
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 24-FEB-2022 TO 23-FEB-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-FEB-2022 TO 23-FEB-2023
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
DIRECTED TO SUBMIT NUMBER AND DETAILS OF CLIENTS WHO HAVE AVAILED THEIR INVESTMENT ADVISORY SERVICES
DIRECTED TO SUBMIT LIST OF CLIENTS AND FEE COLLECTED FROM THEM
DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS AND CREDITS FROM ACCOUNT WITHOUT PERMISSION OF SEBI FROM 24-FEB-2022 TO 23-FEB-2023
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 24-FEB-2022 TO 23-FEB-2023
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND CREDITS MADE IN DEMAT ACCOUNTS
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 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
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 24-FEB-2022 TO 23-FEB-2023
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
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 24-FEB-2022 TO 23-FEB-2023
25-JAN-2021
|
SEBI VIDE ITS ORDER DATED 24/02/2022 DIRECTED TO A) REFUND THE MONEY RECEIVED FROM COMPLAINTS/INVESTORS, AS FEES OR CONSIDERATION OR IN ANY OTHER FORM, IN RESPECT OF UNREGISTERED INVESTMENT ADVISORY ACTIVITIES WITHIN THREE MONTHS FROM DATE OF THIS ORDER B) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING MODALITIES FOR REFUND INCLUDING DETAILS OF CONTACT PERSON NAMES, ADDRESSES AND CONTACT DETAILS WITHIN 15 DAYS OF COMING FORCE OF THIS ORDER C) REPAYMENTS TO COMPLAINTS/INVESTORS TO BE EFFECTED ONLY IN CASH THROUGH BANK DEMAND DRAFT OR PAY ORDER OR ELECTRONICS FUND TRANSFER D) PREVENTED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM EXCEPT FOR THE SOLE PURPOSE OF MAKING THE REFUNDS AS DIRECTED. FURTHER, DIRECTED BANK TO ALLOW DEBIT ONLY FOR THE PURPOSE OF MAKING REFUNDS TO THE CLIENTS/INVESTORS/COMPLAINTS WHO WERE AVAILING THE INVESTMENT ADVISORY SERVICES E) FILE REPORT OF SUCH COMPLETION WITH SEBI DULY CERTIFIED FROM INDEPENDENT CHARTERED ACCOUNTANTS F) DEBARRED FROM ACCESSING SECURITIES MARKET DIRECTLY OR INDIRECTLY AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER FOR ONE YEAR FROM DATE OF COMPLETION OF REFUNDS TO COMPLAINTS/INVESTORS G) NOT TO UNDERTAKE, EITHER DIRECTLY OR INDIRECTLY, INVESTMENT ADVISORY SERVICES OR ANY OTHER ACTIVITY IN THE SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
|
| 199 |
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SKB SECURITIES LTD.
(PAN:AAHCS3335G)
|
|
|
MISAPPROPRIATED CLIENT SECURITIES AND/OR FUNDS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-DEC-2018 TO 18-DEC-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-DEC-2018 TO 18-DEC-2023
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 19-DEC-2018 TO 18-DEC-2023
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
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
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY EXCEPT FOR THE PURPOSE OF PAYMENT OF MONEY TO CLIENTS/INVESTORS UNDER WRITTEN CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
19-DEC-2018
|
SEBI VIDE ITS ORDER DATED 31/07/2019 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS EX-PARTE AD INTERIM ORDER DATED 19/12/2018
SEBI VIDE ITS ORDER DATED 30/06/2022 DIRECTED TO A) RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY AND ASSOCIATING THEMSELVES WITH SECURITIES MARKET IN ANY MANNER FOR FIVE YEARS B) DURING THE PERIOD OF RESTRAINT THE EXISTING HOLDING, INCLUDING UNITS OF MUTUAL FUNDS SHALL REMAIN FROZEN
|
| 200 |
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|
SMART INVESTMENT SERVICES
(PAN:CIFPP0285H)
|
|
|
|
RINKEE PRAJAPATI
PAN:CIFPP0285H
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
CEASED & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS AN INVESTMENT ADVISOR, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 07-FEB-2020 UNTIL FURTHER ORDERS
DIRECTED TO CEASE & DESIST FROM ACTING AS AN INVESTMENT ADVISOR AND/OR RESEARCH ANALYST AND CEASE TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER UNREGISTERED ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 07-FEB-2020 UNTIL FURTHER ORDERS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 07-FEB-2020 UNTIL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 07-FEB-2020 UNTIL FURTHER ORDERS
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 07-FEB-2020 UNTIL FURTHER ORDERS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO THOSE SCHEMES / ACTIVITIES (INVESTMENT ADVISER AND ALTERNATIVE INVESTMENT FUND, AND/OR RESEARCH ANALYST) OR ANY UNREGISTERED ACTIVITIES FROM 07-FEB-2020 UNTIL FURTHER ORDERS
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
DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS AND CREDITS FROM ACCOUNT WITHOUT PERMISSION OF SEBI FROM 07-FEB-2020 UNTIL FURTHER ORDERS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT NOT TRANSFERRED SECURITIES HELD JOINTLY OR SEVERALLY
07-FEB-2020
|
SEBI VIDE ITS ORDER DATED 09/09/2020 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS EX-PARTE AD INTERIM ORDER DATED 07/02/2020
|
| 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 12
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