SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE � PRESS RELEASES/ CHAIRMAN�S AND MEMBER�S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
UPDATED TILL : 10-SEP-2026

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

PERSONS: VIOLATED SEBI (PFUTP) REGULATIONS, 2003

S.No.

PERSON

ENTITY

REGULATORY CHARGES

REGULATORY ACTION(S) / DATE OF ORDER

FURTHER DEVELOPMENTS

2121

VIVEK CHAUHAN

(PAN:AHPPC9620A)

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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.

2122

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

2123

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

2124

VIVEK KUDVA

(PAN:AENPK7096K)

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

2125

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

2126

VIVEK SARANGDHAR NIRMAL

(PAN:ACGPN8857L)

PRABHAT DAIRY LTD.

CIN:U15203PN1998PLC013068

DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS AND/OR DOCUMENTS

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

2127

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

2128

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

2129

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

2130

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

2131

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

2132

YASH PAUL JINDAL

(PAN:ACDPJ8198B)

JINDAL COTEX LTD.

PAN:AAACJ4400A

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

2133