| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1981 |
|
SURINDER SINGH KALRA
(PAN:AFYPK7984E)
|
|
|
|
FIVE CORE ELECTRONICS LTD.
CIN:U32109DL2002PLC148250
PAN:AAACF6709Q
|
|
MISUTILIZED AND MIS-APPROPRIATED IPO PROCEEDS OF RS.46.66 CRORES VIOLATING SECTION 12A(C) OF SEBI ACT, 1992 READ WITH REGULATION 3(D) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF FIVE CORE ELECTRONICES 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 31-MAY-2023 TO 30-MAY-2028
DIRECTED TO EXTEND NECESSARY CO–OPERATION TO INDEPENDENT AUDITOR/AUDIT FIRMS APPOINTED AND FURNISH ALL INFORMATION/DOCUMENTS
RESTRAINED FROM ASSOCIATING WITH ANY INTERMEDIARY REGISTERED WITH SEBI OR ANY LISTED ENTITY OR ITS MATERIAL UNLISTED SUBSIDIARY FROM 31-MAY-2023 TO 30-MAY-2028
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS/PROPERTIES/ SECURITIES
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM INVESTORS
DIRECTED NSE TO APPOINT INDEPENDENT AUDITOR/AUDIT FIRM TO CONDUCT DETAILED FORENSIC AUDIT OF BOOKS OF ACCOUNTS OF COMPANY TO CONFIRM MIS-UTILIZATION OF IPO PROCEEDS
23-JUL-2020
|
SEBI VIDE ITS ORDER DATED 08/07/2021 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 23/07/2020
SEBI VIDE ITS ORDER DATED 31/05/2023 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER FOR FIVE YEARS FROM DATE OF THIS ORDER
|
| 1982 |
|
|
SURYARAJ KUMAR
(PAN:AAFPK9296D)
|
|
|
|
MEDIAONE GLOBAL ENTERTAINMENT LTD.
PAN:AAACR0405M
|
|
DELAY IN SUBMISSION OF INFORMATION IN RESPONSE TO SUMMONS ISSUED IN MATTER OF MEDIAONE GLOBAL ENTERTAINMENT LTD.
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
DID NOT SUBMIT INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON
SUBMITTED WRONG INFORMATION TO SEBI
DID NOT PAY/DECLARED DIVIDEND VIOLATING SECTIONS 205(1A), 205A(1) AND
207 OF THE COMPANIES ACT, 1956 READ WITH SECTIONS 124 AND 465 OF THE COMPANIES ACT, 2013 IN MATTER OF MEDIAONE GLOBAL ENTERTAINMENT LTD.
INDULGED IN DIVERSION OF FUNDS AND MANIPULATION OF FINANCIAL STATEMENTS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATION 3(B) TO 3(D), 4(1), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 READ WITH SECTION 27 OF SEBI ACT, 1992 AND CLAUSE 41(I)(A) OF ERSTWHILE LISTING AGREEMENT AND CLAUSE 49(I)(D)(2)(F),(G) AND 49(I)(D)(3) (A), (C) AND (F) OF SEBI LISTING AGREEMENT (POST AMENDMENT DATED 17/04/2014) OF ERSTWHILE LISTING AGREEMENT READ WITH SECTIONS 21 AND 24 OF SCRA 1956 IN MATTER OF MEDIAONE GLOBAL ENTERTAINMENT LTD.
ALLEGED VIOLATING SECTION 177 OF COMPANIES ACT, 2013
INDULGED IN DIVERSION OF FUNDS AND MANIPULATION OF FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), 4(1)(E), 4(1)(G), 4(1)(H), 4(1)(J), 33(1)(A), 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH ERSTWHILE ACCOUNTING STANDARD-1, 9, & IND-AS-115 AND CLAUSE 41(I)(A) OF ERSTWHILE LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF MEDIAONE GLOBAL ENTERTAINMENT LTD.
DID NOT EXERCISE DUE DILIGENCE AS A MEMBER OF AUDIT COMMITTEE VIOLATING REGULATION 18(3) READ WITH CLAUSES 1, 4, 5 AND 11 TO 14 OF PARA A AND CLAUSE 1 OF PARA B OF PART C OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF MEDIAONE GLOBAL ENTERTAINMENT 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 27-FEB-2026 TO 26-FEB-2029
RESTRAINED FROM BEING ASSOCIATED WITH THE SECURITIES MARKET, IN ANY MANNER, INCLUDING AS A DIRECTOR OR KEY MANAGERIAL PERSONNEL IN A LISTING COMPANY OR INTERMEDIARY REGISTERED WITH SEBI OR PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC IN THE SECURITIES MARKET FROM 27-FEB-2026 TO 26-FEB-2029
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 27-FEB-2026 TO 26-FEB-2029
IMPOSED PENALTY RS.28,00,000
27-FEB-2026
|
SEBI VIDE ITS NOTICE DATED 12/05/2026 DIRECTED TO PAY RS.29,13,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 25/06/2026 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS, MUTUAL FUNDS FOLIOS AND/OR POST OFFICE ACCOUNT EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SAT: SAT VIDE ITS ORDER DATED 08/09/2026 CONDONED THE DELAY OF 108 DAYS IN FILING OF APPEAL AND GRANTED RESPONDENT SIX WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. DIRECTED BANKS TO PERMIT DEBIT ONLY FOR THE PURPOSE OF MAKING DEPOSIT OF RS.2 CRORE
|
| 1983 |
|
|
SUSHANT MOHAN LAL
(PAN:AKXPM8796N)
|
|
|
|
DECIPHER LABS LTD.
PAN:AAACC8372L
|
|
DID NOT OBTAIN PRE-CLEARANCE FOR TRADES VIOLATING CLAUSE 6 OF SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DECIPHER LABS LTD.
ISSUED FALSE AND MISLEADING CORPORATE ANNOUNCEMENTS VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D) AND 4(1), 4(2)(E),4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DECIPHER LABS 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 31-JUL-2025 TO 30-JUL-2028
DIRECTED TO DISGORGE RS.2,30,82,800
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 31-JUL-2025 TO 30-JUL-2028
DIRECTED BANKS TO ALLOW DEBIT TO MAKE THE PAYMENT OF DISGORGEMENT TO IPEF
IMPOSED PENALTY RS.35,00,000
31-JUL-2025
|
SAT: SAT VIDE ITS ORDER DATED 16/09/2025 GRANTED RESPONDENT SIX WEEKS TO FILE REPLY AND REJOINDER, IF ANY, BE FILED WITHIN THREE WEEKS THEREAFTER. NO COERCIVE ACTION TO RECOVER THE DISGORGEMENT AND PENALTY AMOUNT SUBJECT TO DEPOSIT OF 50% AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND STAYED THE DIRECTION AT PARAGRAPH NO105(A) OF IMPUGNED ORDER
SAT: SAT VIDE ITS ORDER DATED 09/10/2025 GRANTED FURTHER FOUR WEEKS TO DEPOSIT 50% PENALTY AND DISGORGEMENT AMOUNT
|
| 1984 |
|
|
SUSHILA DEVI PODDAR
(PAN:AFUPP5188B)
|
|
|
RECEIVED SHARES IN PREFERENTIAL ALLOTMENT WITHOUT MAKING ANY OR PARTIAL PAYMENTS AS APPLICATION MONEY
INDULGED IN WRONGFUL DIVERSION/SIPHONING OF FUNDS
|
PROHIBITED FROM DISPOSING OF SHARES OF BRIGHTCOM GROUP LTD. HELD BY THEM DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER FROM 22-AUG-2023 UNTIL FURTHER ORDERS
22-AUG-2023
|
SAT: SAT VIDE ITS ORDER DATED 11/12/2023 CONDONED THE DELAY IN FILING OF APPEAL AND RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 09/02/2024 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS ORDER DATED 28/02/2024 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 22/08/2023
SAT: SAT VIDE ITS ORDER DATED 04/03/2024 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 04/12/2024 GRANTED APPELLANT TWO WEEKS TO FILE REPLY
|
| 1985 |
|
|
SUSHILA SARDA
(PAN:BXZPS6096K)
|
|
|
INDULGED IN FRONT RUNNING 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) READ WITH 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF PARSHVANATH FINVEST PVT.LTD., THAR SHARE BROKERS PVT.LTD. AND GANGWAL COMMODITIES PVT.LTD.
|
IMPOSED PENALTY RS.5,00,000
28-NOV-2024
|
|
| 1986 |
|
|
SUSHILA SARDA
(PAN:BXZPS6096K)
|
|
|
INDULGED IN FRONT RUNNING 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) READ WITH 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF PARSHVANATH FINVEST PVT.LTD., THAR SHARE BROKERS PVT.LTD. AND GANGWAL COMMODITIES PVT.LTD.
|
DIRECTED TO DISGORGE RS.15,60,820 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 28-NOV-2024 TO 27-NOV-2025
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
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 28-NOV-2024 TO 27-NOV-2025
28-NOV-2024
|
|
| 1987 |
|
|
SUSHMA NAGENDRA DUBEY
(PAN:AVUPD3218N)
(Along with : ASHISH S.PAREKH,
NAGENDRA S.DUBEY,
CHIRAG ATUL PITHADIA)
|
|
|
INDULGED IN FRONT RUNNING TRADING ACTIVITIES VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 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 26-DEC-2022 TO 25-DEC-2027
DIRECTED TO SQUARE OFF OR CLOSE OUT THEIR EXISTING OPEN POSITIONS IN F&O SEGMENT
CEASED AND DESIST FROM DIRECTLY OR INDIRECTLY, ENGAGED IN FRAUDULENT, MANIPULATIVE OR UNFAIR TRADE PRACTICE INCLUDING FRONT RUNNING ACTIVITIES FROM 26-DEC-2022 TO 25-DEC-2027
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
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 TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 26-DEC-2022 TO 25-DEC-2027
DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS AND CREDITS FROM ACCOUNT WITHOUT PERMISSION OF SEBI FROM 26-DEC-2022 TO 25-DEC-2027
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
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.17,41,000 ALONG WITH OTHER ENTITIES/PERSONS
26-DEC-2022
|
CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 26/12/2022 B) RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES EITHER DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER TO CONTINUE UNTIL FURTHER ORDERS C) FUNDS DEPOSITED IN INTEREST BEARING ESCROW ACCOUNTS AS DIRECTED IN THE INTERIM ORDER TO REMAIN IN THE SAID ACCOUNTS WITH LIEN IN FAVOUR OF SEBI UNTIL FURTHER ORDER
SEBI VIDE ITS ORDER DATED 16/01/2026 VACATED INTERIM ORDER DATED 26/12/2022 AS SHE HAS PASSED AWAY EXCEPT DISGORGEMENT THROUGH LEGAL HEIR
|
| 1988 |
|
|
SWAPNIL SUTAR
(PAN:EKZPS4710N)
|
|
|
PLAYED ROLE OF CONDUIT/FRONT ENTITIES FOR INDIRA KARKERA/G.R.RAO AND MADE PETTY GAINS IN PROCESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-JUL-2020 TO 07-JUL-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-JUL-2020 TO 07-JUL-2025
08-JUL-2020
|
|
| 1989 |
|
|
SWARN LATA KATOCH
(PAN:AUAPK6995J)
|
|
|
SUBSCRIBED TO UNITS OF SCHEMES BEFORE CHANGE IN VALUATION OF DEFAULTED SECURITIES BASED ON UNPUBLISHED INFORMATION VIOLATING SECTION 12A(E) OF SECBI ACT, 1992 READ WITH REGULATIONS 3(A), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF JM FINANCIAL MUTUAL FUND
DID NOT COMMUNICATE TO INVESTORS REGARDING IMPENDING SALE OF DEFAULTED
SECURITIES VIOLATING CLAUSE E(3)(D) OF SEBI CIRCULAR DATED 17/11/2016 IN MATTER OF JM FINANCIAL MUTUAL FUND
|
IMPOSED PENALTY RS.17,00,000
31-JUL-2024
|
|
| 1990 |
|
|
SWARUP CHANDRA PARIJA
(PAN:AGAPP2620B)
|
|
|
|
ARSS INFRASTRUCTURE PROJECTS LTD.
CIN:L14103OR2000PLC006230
PAN:AADCA4203D
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF ARSS INFRASTRUCTURE PROJECTS LTD. AND SUBSIDIARIES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ARSS INFRASTRUCTURE PROJECTS LTD.
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF ARSS INFRASTRUCTURE PROJECTS LTD. AND SUBSIDIARIES VIOLATING REGULATIONS 4(2)(F)(I)(2), 4(2)(F)(II)(6) & 7, 4(2)(F)(III)(1), (3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ARSS INFRASTRUCTURE PROJECTS LTD.
DID NOT ADHERE TO REGULATIONS 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF ARSS INFRASTRUCTURE PROJECTS 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 25-NOV-2021 TO 24-MAY-2022
IMPOSED PENALTY RS.1,50,000
25-NOV-2021
|
SAT: SAT VIDE ITS ORDER DATED 02/05/2022 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 30/06/2022 ALLOWED APPELLANTS FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 03/08/2022 GRANTED TWO WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 11/04/2023 SET ASIDE IMPUGNED ORDER DATED 25/11/2021
|
| 1991 |
|
|
SWEETY GANDHI
(PAN:AIFPG5617A)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF OSIAJEE TEXFAB LTD.
MADE MISLEADING CORPORATE ANNOUNCEMENTS VIOLATING SECTION 12A (A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(A), 4(2)(D), 4(2)(E) AND 4(2)(F) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF OSIAJEE TEXFAB LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-JUL-2026 UNTIL FURTHER ORDER
09-JUL-2026
|
|
| 1992 |
|
|
SWETAMBAR DHARI SINHA
(PAN:AAAPS2966F)
|
|
|
|
LANDMARC LEISURE CORP.LTD.
CIN:L65990MH1991PLC060535
PAN:AAACL5117A
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF LANDMARC LEISURE CORP.LTD.
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF LANDMARC LEISURE CORP.LTD. VIOLATING REGULATIONS 4(2)(F)(II)(6), (7), 4(2)(F)(III)(3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF LANDMARC LEISURE CORP.LTD.
DID NOT ADHERE TO REGULATION 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF LANDMARC LEISURE CORP.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 20-JAN-2022 TO 19-JUL-2022
IMPOSED PENALTY RS.2,25,000
20-JAN-2022
|
|
| 1993 |
|
|
T.KRISHNAMURTHY
(PAN:AAAPK7442G)
|
|
|
|
BINNY LTD.
PAN:AAACB2529G
|
|
INDULGED IN DIVERSION AND SIPHONING OF FUNDS TO RELATED PARTIES, MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF BINNY LTD.
ISSUED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) READ WITH PART B OF SCHEDULE II AND REGULATION 33(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BINNY LTD.
CERTIFIED FALSE AND MISLEADING FINANCIAL STATEMENTS VIOLATING CLAUSE 49(IX) OF LISTING AGREEMENT READ WITH REGULATION 103 OF SEBI (LODR) REGULATIONS, 2015 AND SECTION 21 OF SCRA, 1956 IN MATTER OF BINNY LTD.
DID NOT ADHERE TO ACCOUNTING STANDARD VIOLATING REGULATION 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF BINNY LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JUL-2024 TO 30-JUL-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JUL-2024 TO 30-JUL-2027
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 31-JUL-2024 TO 30-JUL-2027
IMPOSED PENALTY RS.6,00,00,000
31-JUL-2024
|
SAT: SAT VIDE ITS ORDER DATED 26/09/2024 DIRECTED APPELLANT TO DEPOSIT RS.75 LAC WITHIN FOUR WEEKS FROM DATE OF THIS ORDER. ALLOWED RESPONDENT FOUR WEEKS TO FILE REPLY AND FILE TO REJOINDER WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 07/01/2025 GRANTED APPELLANT SIX WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 25/02/2025 GRANTED APPELLANT FOUR WEEKS TO FILE REJOINDER
|
| 1994 |
|
|
TALAT WAHADATALI MOHAMAD
(PAN:AAHPM1979K)
|
|
|
|
FINALYSIS CREDIT & GUARANTEE CO.LTD.
PAN:AABCF9494P
|
|
DEVISED A SCHEME TO DEFRAUD ORIGINAL PUBLIC SHAREHOLDERS BY ISSUING FORGED CONSOLIDATED SHARE CERTIFICATES AND THEREAFTER FRAUDULENTLY SOLD THESE CONSOLIDATED SHARE CERTIFICATES TO PURCHASERS BROUGHT BY BIPIN DIVECHA VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) & 4(2)(H) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF FINALYSIS CREDIT & GURANTEE CO.LTD.
|
IMPOSED PENALTY RS.5,00,000
30-JUN-2020
|
SAT: SAT VIDE ITS ORDER DATED 29/06/2021 CONDONED THE DELAY IN FILING OF APPEAL.IN THE MEANWHILE, RESPONDENT MAY FILE THE REPLY
SAT: SAT VIDE ITS ORDER DATED 01/10/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 1995 |
|
|
TALAT WAHADATALI MOHAMAD
(PAN:AAHPM1979K)
|
|
|
|
FINALYSIS CREDIT & GUARANTEE CO.LTD.
PAN:AABCF9494P
|
|
DEVISED A SCHEME TO DEFRAUD ORIGINAL PUBLIC SHAREHOLDERS BY ISSUING FORGED CONSOLIDATED SHARE CERTIFICATES AND THEREAFTER FRAUDULENTLY SOLD THESE CONSOLIDATED SHARE CERTIFICATES TO PURCHASERS BROUGHT BY BIPIN DIVECHA VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) & 4(2)(H) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF FINALYSIS CREDIT & GURANTEE CO.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 05-MAY-2020 TO 04-MAY-2023
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 05-MAY-2020 TO 04-MAY-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
05-MAY-2020
|
|
| 1996 |
|
|
TANKIDEVI JAVERILAL OSWAL
(PAN:AADPO1543P)
|
|
|
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.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-MAR-2026 TO 08-JUN-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-MAR-2026 TO 08-JUN-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-JUN-2026
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
11-AUG-2021
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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 THREE MONTHS FROM TWO YEAR
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| 1997 |
|
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TANU GIRIRAJ KISHORE AGARWAL
(PAN:AADPA7003J)
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TILAK VENTURES LTD.
PAN:AAACT2373C
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MISUTILISED PROCEEDS OF THE PREFERENTIAL ISSUE
CARRIED OUT NBFC ACTIVITIES WITHOUT REGISTRATION/CLASSIFICATION FROM THE RBI
RECEIVED APPLICATION MONEY OF RS.1.44 CREORE AND LOANS GIVEN BEFORE SHAREHOLDERS APPROVAL OF PREFERENTIAL ISSUE
SIPHONED PROCEEDS OF PREFERENTIAL ISSUE OF EQUITY SHARES
DID NOT MAKE TRUE, FAIR AND TRANSPARENT DISCLOSURE TO SHAREHOLDERS DURING RATIFICATION ABOUT UTILIZATION/ MISUTILISATION/ DIVERSION OF PROCEEDS OF PREFERENTIAL ISSUE OF EQUITY SHARES
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-JUL-2023 TO 26-JAN-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-JUL-2023 TO 26-JAN-2024
DIRECTED TO BRING BACK RS.2,13,47,647.00 TO THE COMPANY WHICH WERE DIVERTED IN GUISE OF REPAYMENT OF LOANS TO HANDFUL INVESTRADE PVT.LTD., SHREE NATH COMMERCIAL & FINANCE LTD. AND ANMOL FINANCE CO.
IMPOSED PENALTY RS.7,00,000
27-JUL-2023
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SAT: SAT VIDE ITS ORDER DATED 28/08/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER. EFFECT AND OPERATION OF IMPUGNED ORDER TO REMAIN STAYED SUBJECT TO THE PENALTY AMOUNT DEPOSITED
SAT: SAT VIDE ITS ORDER DATED 17/10/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 05/01/2024 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 16/02/2024 ALLOWED THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 19/04/2024 ALLOWED THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 08/07/2024 GRANTED APPELLANTS TWO WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 22/08/2024 GRANTED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 11/11/2024 GRANTED APPELLANTS FOUR WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 13/03/2025 APPELLANTS SOUGHT THREE WEEKS TO FILE REJOINDER
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| 1998 |
|
|
TANU GIRIRAJ KISHORE AGARWAL
(PAN:AADPA7003J)
|
|
|
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TILAK FINANCE LTD.
PAN:AAACT2373C
|
|
MISLED INVESTORS BY FUNDING ITS OWN PREFERENTIAL ISSUE TO THE EXTENT OF RS.34.5 LAC VIOLATING REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF TILAK FINANCE LTD. (NOW TILAK VENTURES LTD.)
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IMPOSED PENALTY RS.70,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-JUL-2021
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SAT: SAT VIDE ITS ORDER DATED 15/11/2021 DISMISSED THE APPEAL
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| 1999 |
|
|
TANU GIRIRAJ KISHORE AGARWAL
(PAN:AADPA7003J)
|
|
|
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TILAK FINANCE LTD.
PAN:AAACT2373C
|
|
MISLEAD & INDUCED GENUINE INVESTORS TO TRADE IN THE SCRIP THROUGH FALSE REPRESENTATION OF PREFERENTIAL ALLOTMENT OF EQUITY SHARES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ESSAR INDIA LTD.
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IMPOSED PENALTY RS.5,00,000
27-JUL-2022
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SEBI VIDE ITS NOTICE DATED 12/04/2023 DIRECTED TO PAY RS.5,51,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 31/10/2023 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 27/07/2022
SEBI VIDE ITS NOTICE DATED 09/11/2023 CANCELLED RECOVERY CERTIFICATE AS PER SAT ORDER DATED 31/10/2023
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| 2000 |
|
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TANUMAY LAHA
(PAN:AIVPL5095K)
|
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DID NOT UTILIZE FUNDS RAISED THROUGH PREFERENTIAL ALLOTMENTS AS STATED IN OBJECTS OF ISSUE VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF EJECTA MARKETING LTD.
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IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
15-DEC-2022
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SEBI VIDE ITS NOTICE DATED 27/06/2023 DIRECTED TO PAY RS.5,36,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 25/07/2023 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
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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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