| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 2001 |
|
VIVEK AGARWAL
(DIN:00104952
PAN:ADAPA2289E)
|
|
|
|
SOUTHERN ISPAT & ENERGY LTD.
CIN:L45309KL1995PLC009171
PAN:AAECS6476P
|
|
INDULGED IN ISSUANCE OF GDRS FRAUDULENTLY AND EXECUTED PLEDGE AGREEMENT ON BEHALF OF SOUTHERN ISPAT & ENERGY LTD. VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF GDR ISSUE OF SOUTHERN ISPAT & ENERGY LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-OCT-2021 TO 21-OCT-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-OCT-2021 TO 21-OCT-2024
RESTRAINED AND FURTHER PROHIBITED FROM HOLDING AND OCCUPYING ANY MANAGERIAL POST OR BEING ASSOCIATED DIRECTLY OR INDIRECTLY WITH ANY LISTED PUBLIC COMPANY AND/OR ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM 22-OCT-2021 TO 21-OCT-2024
22-OCT-2021
|
|
| 2002 |
|
|
VIVEK AGARWAL
(DIN:00104952
PAN:ADAPA2289E)
|
|
|
|
SOUTHERN ISPAT & ENERGY LTD.
CIN:L45309KL1995PLC009171
PAN:AAECS6476P
|
|
INDULGED IN ISSUANCE OF GDRS FRAUDULENTLY AND EXECUTED PLEDGE AGREEMENT ON BEHALF OF SOUTHERN ISPAT & ENERGY LTD. VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF GDR ISSUE OF SOUTHERN ISPAT & ENERGY LTD.
|
IMPOSED PENALTY RS.20,00,000
26-MAY-2022
|
SEBI VIDE ITS NOTICE DATED 25/05/2023 DIRECTED TO PAY RS.22,61,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 26/07/2023 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
SEBI VIDE ITS NOTICE DATED 29/08/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.23,21,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SEBI VIDE ITS ORDER DATED 20/01/2026 A) PROHIBITED FROM DISPOSING, TRANSFERRING, ALIENATING OR CHARGING IN RESPECT OF ALL THE IMMOVABLE AND MOVABLE PROPERTIES LISTED IN THE ORDER B) PROHIBITED FROM TAKING ANY BENEFIT UNDER SUCH DISPOSAL, TRANSFER, ALIENATION OR CHARGE IN RESPECT OF THE PROPERTIES LISTED IN ORDER C) DIRECTED TO FURNISH COMPLETE DETAILS OF ALL MOVABLE AND IMMOVABLE PROPERTIES HELD BY DEFAULTERS AND CHARGES, IF ANY, ALONG WITH ORIGINAL TITLE DEEDS PERTAINING TO THE PROPERTIES, WITHIN TWO WEEKS FROM DATE OF THIS ORDER AT SEBI, SOUTHERN REGIONAL OFFICE, CHENNAI D) DEFAULTERS AND INSPECTOR GENERAL OF REGISTRATION OF ALL THE STATES AND UNION TERRITORIES AND SPECIFICALLY TO THE CONCERNED TEHSILDARS, DISTRICT REGISTRARS AND SUB-REGISTRARS IN THE STATE OF KERALA E) NOT TO ACT UPON ANY DOCUMENTS PURPORTING TO BE DEALING WITH TRANSFER, MORTGAGE, CHARGE, LEASE OR CREATION OR ALTERATION OF ANY INTEREST IN ANY OF THE PROPERTIES OWNED / HELD BY THE DEFAULTER, INCLUDING THE SAID PROPERTIES, IF PRESENTED FOR REGISTRATION
|
| 2003 |
|
|
VIVEK CHAUHAN
(PAN:CJZPC5706M)
|
|
|
PLANTED FALSE AND MISLEADING INFORMATION THROUGH YOUTUBE VIDEOS AND ALSO RECOMMENDED TO BUY SHARES OF PRESSURE SENSITIVE SYSTEMS (INDIA) LTD. VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT. 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1), 4(2)(A), 4(2)(D), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003
|
DIRECTED TO DISGORGE RS.1,78,805
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
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-JAN-2025 TO 30-JAN-2026
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 31-JAN-2025 TO 30-JAN-2026
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
31-JAN-2025
|
SEBI VIDE ITS NOTICE DATED 30/05/2025 DIRECTED TO PAY RS.1,86,957.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 04/08/2025 DIRECTED SEBI TO ALLOW DEBIT OF 3,65,944 CONVERTIBLE WARRANTS AND CREDIT OF EQUITY SHARES INTO APPELLANTS DEMAT ACCOUNT IN RESPECT OF OMEGA INTERACTIVE TECHNOLOGIES LTD.
|
| 2004 |
|
|
VIVEK CHAUHAN
(PAN:AHPPC9620A)
|
|
|
|
PRESSURE SENSITIVE SYSTEMS INDIA LTD.
|
|
PLANTED FALSE AND MISLEADING INFORMATION THROUGH YOUTUBE VIDEOS AND ALSO RECOMMENDED TO BUY SHARES OF PRESSURE SENSITIVE SYSTEMS (INDIA) LTD. VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT. 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1), 4(2)(A), 4(2)(D), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003
|
IMPOSED PENALTY RS.50,00,000
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-JAN-2025 TO 30-JAN-2028
31-JAN-2025
|
SEBI VIDE ITS NOTICE DATED 09/06/2025 DIRECTED TO PAY RS.53,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 04/08/2025 DIRECTED SEBI TO ALLOW DEBIT OF 3,65,944 CONVERTIBLE WARRANTS AND CREDIT OF EQUITY SHARES INTO APPELLANTS DEMAT ACCOUNT IN RESPECT OF OMEGA INTERACTIVE TECHNOLOGIES LTD.
|
| 2005 |
|
|
VIVEK CHAUHAN
(PAN:CJZPC5706M)
|
|
|
PLANTED FALSE AND MISLEADING INFORMATION THROUGH YOUTUBE VIDEOS AND ALSO RECOMMENDED TO BUY SHARES OF PRESSURE SENSITIVE SYSTEMS (INDIA) LTD. VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT. 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1), 4(2)(A), 4(2)(D), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003
|
IMPOSED PENALTY RS.5,00,000
31-JAN-2025
|
SEBI VIDE ITS NOTICE DATED 23/05/2025 DIRECTED TO PAY RS.5,21,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 19/06/2025 STAYED RECOVERY PROCEEDINGS SUBJECT TO DEPOSIT OF 50% OF PENALTY AMOUNT WITHIN SIX WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 04/08/2025 DIRECTED SEBI TO ALLOW DEBIT OF 3,65,944 CONVERTIBLE WARRANTS AND CREDIT OF EQUITY SHARES INTO APPELLANTS DEMAT ACCOUNT IN RESPECT OF OMEGA INTERACTIVE TECHNOLOGIES LTD.
|
| 2006 |
|
|
VIVEK CHAUHAN
(PAN:AHPPC9620A)
|
|
|
|
LADDU GOPAL VENTURES PVT.LTD.
|
|
ENGAGED IN A COORDINATED SCHEME TO UPLOAD MISLEADING VIDEOS TO INDUCE INVESTORS TO TRADE VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(D), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ATLANTA 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 30-APR-2025 TO 29-APR-2030
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 30-APR-2025 TO 29-APR-2030
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
IMPOSED PENALTY RS.10,00,000
30-APR-2025
|
SAT: SAT VIDE ITS ORDER DATED 02/07/2025 ALLOWED RESPONDENT FOUR WEEKS TO FILE REPLY AND REJOINDER, IF ANY TO BE FILED WITHIN TWO WEEKS THEREAFTER. STAYED THE RECOVERY SUBJECT TO DEPOSIT 50% PENALTY AMOUNT WITHIN SIX WEEKS FROM DATE OF THIS ORDER
|
| 2007 |
|
|
VIVEK KANWAR
(PAN:AAIPK8816G)
|
|
|
|
YES BANK LTD.
PAN:AAACY2068D
|
|
SOLD AT-1 BONDS TO CUSTOMER OF YES BANK LTD. WITHOUT ADOPTING ADEQUATE SAFEGUARDS TO PROTECT THEIR INTEREST AND WITHOUT SUFFICIENT DUE DILIGENCE VIOLATING SECTIONS 12A (B) TO (C) OF SEBI ACT, 1992 AND REGULATIONS 3(A), 3(C) AND 3(D), 4(1) AND 4(2)(S) READ WITH EXPLANATION (1) TO REGULATION 4(2) OF SEBI (PFUTP) REGULATIONS, 2003
|
IMPOSED PENALTY RS.1,00,00,000
12-APR-2021
|
SAT: SAT VIDE ITS ORDER DATED 21/05/2021 DIRECTED TO RESPONDENT TO FILE REPLY WITHIN FOUR WEEKS FROM THE DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 30/07/2021 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 09/11/2022 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND REJOINDER TO BE FILED TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 25/07/2023 CONDONED THE DELAY IN FILING OF APPEAL
|
| 2008 |
|
|
VIVEK KUDVA
(PAN:AENPK7096K)
|
|
|
INDULGED IN DEALING IN SECURITIES WHILE IN POSSESSION OF MATERIAL NON-PUBLIC INFORMATION VIOLATING SECTION 12A(E) OF SEBI ACT. 1992 AND REGULATIONS 3(A), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF FRANKLIN TEMPLETON MUTUAL FUND
|
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-JUN-2021 TO 06-JUN-2022
DIRECTED NOT TO LIQUIDATE EXISTING HOLDING OF SECURITIES INCLUDING UNITS OF MUTUAL FUNDS
DIRECTED TO DISGORGE RS.22,64,25,773 ALONG WITH OTHER ENTITIES/PERSONS
07-JUN-2021
|
SAT: SAT VIDE ITS ORDER DATED 01/07/2021 ALLOWED RESPONDENT FOUR WEEKS TIME TO FILE REPLY AND APPELLANT TO FILE REJOINDER FOUR WEEKS THEREAFTER. DIRECTED APPELLANTS TO DEPOSIT 50% PENALTY AMOUNT WITHIN THREE WEEKS FROM DATE OF THIS ORDER, BALANCE AMOUNT SHALL NOT BE RECOVERED DURING THE PENDENCY OF THE APPEALS
SAT: SAT VIDE ITS ORDER DATED 30/08/2021 GRANTED RESPONDENT TWO WEEKS FURTHER TIME TO FILE REPLIES IN THE REMAINING APPEALS AND REJOINDER MAY BE FILED WITHIN FOUR WEEKS THEREAFTER
|
| 2009 |
|
|
VIVEK KUDVA
(PAN:AENPK7096K)
|
|
|
INDULGED IN DEALING IN SECURITIES WHILE IN POSSESSION OF MATERIAL NON-PUBLIC INFORMATION VIOLATING SECTION 12A(E) OF SEBI ACT. 1992 AND REGULATIONS 3(A), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF FRANKLIN TEMPLETON MUTUAL FUND
|
IMPOSED PENALTY RS.4,00,00,000
07-JUN-2021
|
SAT: SAT VIDE ITS ORDER DATED 01/07/2021 ALLOWED RESPONDENT FOUR WEEKS TIME TO FILE REPLY AND APPELLANT TO FILE REJOINDER FOUR WEEKS THEREAFTER. DIRECTED APPELLANTS TO DEPOSIT 50% PENALTY AMOUNT WITHIN THREE WEEKS FROM DATE OF THIS ORDER, BALANCE AMOUNT SHALL NOT BE RECOVERED DURING THE PENDENCY OF THE APPEALS
SAT: SAT VIDE ITS ORDER DATED 30/08/2021 GRANTED RESPONDENT TWO WEEKS FURTHER TIME TO FILE REPLIES IN THE REMAINING APPEALS AND REJOINDER MAY BE FILED WITHIN FOUR WEEKS THEREAFTER
|
| 2010 |
|
|
VIVEK MEHROTRA
(PAN:AAHPM4127B)
|
|
|
ALLEGED INDULGENCE IN FRONT RUNNING OF HDFC AMC TRADES-II AND MADE PROFIT OF RS.210.18 LACS VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) & 4(1) OF SEBI PFUTP REGULATIONS, 2003 IN MATTER OF HDFC AMC TRADES II
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,76,64,824 VIDE CONSENT ORDER)
17-SEP-2019
|
|
| 2011 |
|
|
VIVEK SARANGDHAR NIRMAL
(PAN:ACGPN8857L)
|
|
|
|
PRABHAT DAIRY LTD.
CIN:U15203PN1998PLC013068
|
|
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
MISREPRESENTED FINANCIALS AND/OR BUSINESS OPERATIONS
DIVERSION/SIPHONING OF FUNDS BY PROMOTERS/DIRECTORS/KEY MANAGERIAL PERSONS
|
DIRECTED TO FURNISH ALL INFORMATION/DOCUMENTS TO FORENSIC AUDITOR/SEBI
20-OCT-2020
|
SAT: SAT VIDE ITS ORDER DATED 09/11/2020 DEFREEZED DEMAT AND BANK ACCOUNTS. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 09/02/2021 DISMISSED THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 22/05/2024 PARTLY ALLOWED THE APPEAL. DIRECTED RESPONDENT TO PROVIDE COPIES OF ALL SHOW CAUSE NOTICES ISSUED TO APPELLANT WITHIN SEVEN DAYS FROM DATE OF THIS ORDER
|
| 2012 |
|
|
VUPADHYAYULA SASIDHAR
(PAN:AACCK2193D)
|
|
|
INDULGED IN TAMPERING WITH DATE AND TIME STAMPING MACHINE (DTSM) AND FABRICATED FALSE EVIDENCE OF MANUFACTURING OF DTSM TO HIDE ACTUAL WRONG DOING VIOLATING REGULATIONS 3(A) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SCHEMES OF TAURUS MUTUAL FUND HOLDING DEBT INSTRUMENTS OF BALLARPUR INDUSTRIES LTD.
|
IMPOSED PENALTY RS.5,00,000
18-AUG-2020
|
SAT: SAT VIDE ITS ORDER 01/07/2022 ALLOWED THE APPEAL AND QUASHED THE IMPUGNED ORDER DATED 18/08/2020. MATTER REMITTED TO WTM TO DECIDE THE MATTER AFRESH
SEBI VIDE ITS ORDER DATED 27/06/2023 RE-IMPOSED PENALTY OF RS.5 LAC U/S 15HA OF SEBI ACT.
SEBI VIDE ITS NOTICE DATED 07/09/2023 DIRECTED TO PAY RS.5,21,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 04/10/2023 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
SAT: SAT VIDE ITS ORDER DATED 16/10/2023 DISMISSED THE APPEAL. NO COSTS
SEBI VIDE ITS NOTICE DATED 02/07/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.5,16,345.47 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SEBI VIDE ITS NOTICE DATED 20/09/2024 ALLOWED THE APPEAL AND DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 04/10/2023
SEBI VIDE ITS ORDER DATED 20/09/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7123 OF 2023 DATED 07/09/2023
|
| 2013 |
|
|
YADAIAH PASUPULA
(PAN:AALPP6088N)
|
|
|
|
ABHISHEK INFRAVENTURES LTD.
PAN:AAACE2100L
|
|
MISUSED THE FUNDS RAISED THROUGH PREFERENTIAL ALLOTMENT VIOLATING SECTIONS 12(A) TO 12A(B) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ABHISHEK INFRAVENTURES LTD.
|
IMPOSED PENALTY RS.14,00,000 ALONG WITH OTHER ENTITIES/PERSONS
16-SEP-2022
|
|
| 2014 |
|
|
YASH GUPTA
(PAN:BTKPG6004J)
|
|
|
DID NOT MAKE DISCLOSURE OF INTER-SE CONNECTION AMONGST THEM WHILE TRADING ON MENTHA OIL FUTURES ON EXCHANGE VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT. AND REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 READ WITH SEBI CIRCULAR NO.CDMRD.DMP/CIR/2016/96 DATED 27/09/2016 AND SEBI/HO/DCDMRD/DMP/CIR/P/2017/84 DATED 25/07/2017
|
IMPOSED PENALTY RS.6,00,000
31-MAR-2023
|
|
| 2015 |
|
|
YASH GUPTA
(PAN:BTKPG6004J)
|
|
|
AIDED AND ABETTED SCHEME AND ARTIFICE UTILIZED BY NEFM GROUP FOR TRADING IN MENTHA OIL CONTRACTS THROUGH A NUMBER OF ENTITIES WHO TRADED IN MENTHA OIL FUTURES AS CLIENT OF RCS VIOLATING REGULATION 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2019 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-FEB-2019 TILL FURTHER ORDERS
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
28-FEB-2019
|
SAT: SAT VIDE ITS ORDER DATED 12/03/2019 ALLOWED THE APPEAL.NO COST
SEBI VIDE ITS ORDER DATED 06/12/2019 REVOKED ITS DIRECTIONS ISSUED VIDE ITS EX-PARTE INTERIM ORDER DATED 28/02/2019
|
| 2016 |
|
|
YASH PAUL JINDAL
(PAN:ACDPJ8198B)
|
|
|
|
JINDAL COTEX LTD.
PAN:AAACJ4400A
|
|
INDULGED IN APPROVAL OF BOARD RESOLUTION SUBMITTED TO EURAM BANK VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF JINDAL COTEX LTD.
|
IMPOSED PENALTY RS.10,00,000
23-JAN-2020
|
SEBI VIDE ITS NOTICE DATED 02/12/2022 DIRECTED TO PAY RS.13,61,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 03/01/2023 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
SEBI VIDE ITS NOTICE DATED 21/03/2023 ALLOWED THE APPEAL AND DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 03/01/2023
SEBI VIDE ITS ORDER DATED 21/03/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6075 OF 2022 DATED 02/12/2022
SAT: SAT VIDE ITS ORDER DATED 23/02/2023 AFFIRMED THE PENALTY AMOUNT
|
| 2017 |
|
|
YASH PAUL JINDAL
(PAN:ACDPJ8198B)
|
|
|
|
JINDAL COTEX LTD.
PAN:AAACJ4400A
|
|
INDULGED IN APPROVAL OF BOARD RESOLUTION SUBMITTED TO EURAM BANK VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF JINDAL COTEX LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 24-APR-2019 TO 23-APR-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-APR-2019 TO 23-APR-2024
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
24-APR-2019
|
SAT: APPEAL DISMISSED. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 02/11/2023 REJECTED THE APPEAL
|
| 2018 |
|
|
YASHOVARDHAN BIRLA
(PAN:AAJPB2505N)
|
|
|
|
BIRLA PACIFIC MEDSPA LTD.
CIN:L85100MH2008PLC184689
PAN:AADCB5167F
|
|
INDULGED IN MIS-UTILIZATION OF IPO PROCEEDS AS PER THE OBJECTS STATED IN THE PROSPECTUS VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(E), (F) AND (K) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF BIRLA PACIFIC MEDSPA LTD.
|
IMPOSED PENALTY RS.25,00,000
28-SEP-2022
|
|
| 2019 |
|
|
YASHOVARDHAN BIRLA
(PAN:AAJPB2505N)
|
|
|
|
ZENITH STEEL PIPES & INDUSTRIES LTD.
PAN:AAACZ0103C
|
|
INDULGED IN APPROVAL OF BOARD RESOLUTION SUBMITTED TO EURAM BANK VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF GDR ISSUE OF ZENITH STEEL PIPES & INDUSTRIES LTD. (ERSTWHILE ZENITH BIRLA (INDIA) LTD.)
|
IMPOSED PENALTY RS.10,00,000
16-JUN-2022
|
SAT: SAT VIDE ITS ORDER DATED 03/01/2023 CONDONED THE DELAY IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 21/02/2023 DISMISSED THE APPEAL
|
| 2020 |
|
|
YASHOVARDHAN BIRLA
(PAN:AAJPB2505N)
|
|
|
|
BIRLA COTSYN (INDIA) LTD.
CIN:L17110MH1941PLC003429
PAN:AAACJ1362K
|
|
INDULGED IN APPROVAL OF BOARD RESOLUTION SUBMITTED TO EURAM BANK VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF BIRLA COTSYN (INDIA) LTD.
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RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 29-SEP-2020 TO 28-SEP-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
29-SEP-2020
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SAT: SAT VIDE ITS ORDER DATED 28/07/2021 DISMISSED THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 30/09/2021 REJECTED RECTIFICATION APPLICATION AND DISPOSED OF MISC. APPLICATION OF DELAY IN FILING OF REVIEW APPLICATION.
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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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