| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 201 |
|
ALL GAINERS RESEARCH & BROKERAGE FIRM
(PAN:AVFPM1559G)
|
|
|
|
ANAND KAND MISHRA
PAN:AVFPM1559G
|
|
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
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
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 15-DEC-2022 TO 14-JUN-2023
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-DEC-2022 TO 14-JUN-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-DEC-2022 TO 14-JUN-2023
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 15-DEC-2022 TO 14-JUN-2023
15-DEC-2022
|
SEBI VIDE ITS NOTICE DATED 27/02/2024 DIRECTED TO PAY RS.71,42,737.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 05/08/2024 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
|
| 202 |
|
|
ALL SEASONS HOTELS PVT.LTD.
|
|
|
INDULGED IN MARKET/PRICE MANIPULATION IN SCRIP OF PADMINI TECHNOLOGIES LTD.
IRREGULARITIES IN ALLOTMENT OF SHARES OF PADMINI TECHNOLOGIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-MAR-2007 TO 30-MAR-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAR-2007 TO 30-MAR-2012
31-MAR-2007
|
|
| 203 |
|
|
ALL TIME BUILDTECH PVT.LTD.
(PAN:AAKCA0464B)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF RAM MINERALS & CHEMICALS LTD. (FORMERLY KNOWN AS IVCL CHEMICALS LTD.)
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 04-JUN-2019 TO 03-JUN-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-JUN-2019 TO 03-JUN-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
04-JUN-2019
|
|
| 204 |
|
|
ALLCON ESTATE PVT.LTD.
(PAN:AAGCA2387R)
|
|
|
ACTED IN CONCERT WITH PROMOTERS OF THE BANK OF RAJASTHAN LTD.FOR THE PURPOSE OF ACQUISITION OF SHARES/VOTING RIGHTS INDIRECTLY FOR PROMOTERS FOR THE PURPOSE OF CONCEALMENT OF THEIR ACQUISITION OF SHARES VIOLATING SEBI TAKEOVER CODE, 1997
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-MAR-2010 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-MAR-2010 TILL FURTHER ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
08-MAR-2010
|
SEBI VIDE ITS ORDER DATED 26/03/2012 REVOKED THE DIRECTIONS ISSUED VIDE ITS ORDER DATED 08/03/2010
|
| 205 |
|
|
ALLEGRO CAPITAL PVT.LTD.
(PAN:AAGCA6221J)
|
|
|
|
KUNAL ASHOK KASHYAP
PAN:ABDPK8835H
|
|
DEALT IN SECURITIES WHILE IN POSSESSION OF MATERIAL AND NON-PUBLIC INFORMATION VIOLATING REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BIOCON LTD.
DEALT IN SECURITIES WHILE IN POSSESSION OF MATERIAL AND NON-PUBLIC INFORMATION VIOLATING SECTION 12A(E) OF SEBI ACT, 1992 IN MATTER OF BIOCON LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-JUL-2021 TO 07-JUL-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-JUL-2021 TO 07-JUL-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
DIRECTED TO DISGORGE RS.24,68,751 ALONG WITH OTHER ENTITIES/PERSONS
08-JUL-2021
|
SAT: SAT VIDE ITS ORDER DATED 10/08/2021 ALLOWED RESPONDENT THREE WEEKS TIME TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. IN THE MEANWHILE, THE EFFECT AND OPERATION OF IMPUGNED ORDER DIRECTED REMAIN STAYED PROVIDED THE APPELLANT DEPOSITS A SUM OF RS.25 LAC WITHIN FOUR WEEKS FROM THE DATE OF THIS ORDER, BEFORE THE RESPONDENT
SAT: SAT VIDE ITS ORDER DATED 28/10/2021 DIRECTED APPELLANT TO FILE REJOINDER WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 20/01/2025 DISMISSED THE APPEAL. NO COSTS
SEBI VIDE ITS NOTICE DATED 25/02/2025 DIRECTED TO PAY RS.10,30,570.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 10/03/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.8647 OF 2025 DATED 25/02/2025
|
| 206 |
|
|
ALLIANCE CAPITAL ASSET MANAGEMENT (I) PVT.LTD.
|
|
|
|
SAMIR C.ARORA
|
|
PRIMA-FACIE CASE OF INSIDER TRADING
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-AUG-2003 TILL FURTHER ORDER
09-AUG-2003
|
CONFIRMED INTERIM ORDER DATED 09/08/2003
SAT: APPEAL ALLOWED
|
| 207 |
|
|
ALLIANCE CAPITAL ASSET MANAGEMENT (I) PVT.LTD.
|
|
|
|
SAMIR C.ARORA
|
|
GUILTY OF GRAVE PROFESSIONAL MISCONDUCT
INDULGED IN MARKET MANIPULATIONS
INDULGED IN INSIDER TRADING
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAR-2004 TO 30-MAR-2009
31-MAR-2004
|
SAT: IMPUGNED ORDER SET ASIDE AND APPEAL ALLOWED
|
| 208 |
|
|
ALLIANCE CAPITAL MANAGEMENT L.P.
|
|
|
|
SAMIR C.ARORA
|
|
PRIMA-FACIE CASE OF INSIDER TRADING
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-AUG-2003 TILL FURTHER ORDER
09-AUG-2003
|
CONFIRMED INTERIM ORDER DATED 09/08/2003
SAT: APPEAL ALLOWED
|
| 209 |
|
|
ALLIANCE CAPITAL MANAGEMENT L.P.
|
|
|
|
SAMIR C.ARORA
|
|
GUILTY OF GRAVE PROFESSIONAL MISCONDUCT
INDULGED IN MARKET MANIPULATIONS
INDULGED IN INSIDER TRADING
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAR-2004 TO 30-MAR-2009
31-MAR-2004
|
SAT: IMPUGNED ORDER SET ASIDE AND APPEAL ALLOWED
|
| 210 |
|
|
ALLIANCE CAPITAL MUTUAL FUND
|
|
|
|
SAMIR C.ARORA
|
|
GUILTY OF GRAVE PROFESSIONAL MISCONDUCT
INDULGED IN MARKET MANIPULATIONS
INDULGED IN INSIDER TRADING
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAR-2004 TO 30-MAR-2009
31-MAR-2004
|
SAT: IMPUGNED ORDER SET ASIDE AND APPEAL ALLOWED
|
| 211 |
|
|
ALLIANCE CAPITAL MUTUAL FUND
|
|
|
|
SAMIR C.ARORA
|
|
PRIMA-FACIE CASE OF INSIDER TRADING
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-AUG-2003 TILL FURTHER ORDER
09-AUG-2003
|
CONFIRMED INTERIM ORDER DATED 09/08/2003
SAT: APPEAL ALLOWED
|
| 212 |
|
|
ALLIANCE INTERMEDIATERIES & NETWORK PVT.LTD.
(PAN:AAECA6031C)
|
|
|
|
JAYESH SAMPAT
|
|
|
MUKESH MANEKLAL CHOKSI
PAN:AAAPC7767J
|
|
INDULGED IN CARRYING OUT SUSPICIOUS BANKING TRANSACTIONS AND APPEAR TO HAVE CHANNELED THESE FUNDS EITHER DIRECTLY OR INDIRECTLY IN STOCK MARKET IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-APR-2009 TILL FURTHER ORDERS
DIRECTED INCOME TAX DEPARTMENT TO TAKE NECESSARY ACTIONS IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
23-APR-2009
|
SEBI VIDE ITS ORDER DATED 31/03/2015 DISPOSED OFF THE PROCEEDINGS WITHOUT ANY FURTHER ORDERS, SINCE PROHIBITION AGAINST THE ENTITIES NEED NOT TO BE CONTINUED
|
| 213 |
|
|
ALLIANCE RESEARCH
(PAN:AGDPH7770D)
|
|
|
|
MUDASSIR HASAN
PAN:AGDPH7770D
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 06-JAN-2021 UNTIL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-JAN-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 06-JAN-2021 UNTIL FURTHER ORDERS
CEASED AND 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 06-JAN-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 06-JAN-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 06-JAN-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
DIRECTED TO IMMEDIATELY REMOVE ALL CONTENTS FROM ITS WEBSITE AND DISPLAY ONLY CONTENT IN ITS WEBSITE THAT SEBI HAS PASSED VIDE ITS ORDER
SUSPENDED REGISTRATION AS INVESTMENT ADVISER FROM 06-JAN-2021 UNTIL FURTHER ORDERS
06-JAN-2021
|
SEBI VIDE ITS ORDER DATED 29/07/2022 CONFIRMED ITS INTERIM ORDER DATED 06/01/2021
SEBI VIDE ITS ORDER DATED 07/10/2025 SUSPENDED THE CERTIFICATE OF REGISTRATION FOR TWO MONTH FROM DATE OF INTERIM ORDER
|
| 214 |
|
|
ALLIANCE TRADERS
(PAN:AIJPD7329J)
|
|
|
|
MADHUKAR DUBEY
PAN:AIJPD7329J
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF ECO FRIENDLY FOOD PROCESSING PARK LTD., ESTEEM BIO ORGANIC FOOD PROCESSING LTD., CHANNEL NINE ENTERTAINMENT LTD. AND HPC BIOSCIENCES LTD.
MISUTILIZED MISUTILIZED IPO PROCEEDS BY TRANSFERRING THE FUNDS TO CERTAIN FUNDING GROUP ENTITIES AND MADE FALSE & MISLEADING DISCLOSURES IN PROSECTUS 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 IPO OF HPC BIOSCIENCES LTD.
MISUTILIZED IPO PROCEEDS BY TRANSFERRING THE FUNDS TO CERTAIN FUNDING GROUP ENTITIES AND MADE FALSE & MISLEADING DISCLOSURES IN PROSPECTUS 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 IPO OF ECO FRIENDLY FOOD PROCESSING PARK LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-JUN-2015 TO 22-DEC-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-JUN-2015 TO 22-DEC-2020
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
29-JUN-2015
|
SEBI VIDE ITS ORDER DATED 14/06/2016 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 29/06/2015
SEBI VIDE ITS ORDER DATED 22/12/2020 DIRECTED TO A) RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER MANNER FOR TILL THE DATE OF THIS ORDER B) EXISTING HOLDING OF SECURITIES INCLUDING UNITS OF MUTUAL FUNDS TO REMAIN FREEZE
SAT: SAT VIDE ITS ORDER DATED 15/06/2023 REJOINDER TO BE FILE WITHIN TWO WEEKS FROM DATE OF THIS ORDER
|
| 215 |
|
|
ALLIED FINANCIAL SERVICES PVT.LTD.
(PAN:AAACA2020K)
|
|
|
|
LALIT AGARWAL
PAN:AFKPA9024P
|
|
|
RAJEEV KUMAR ASOPA
PAN:AASPA3260C
|
|
|
RAJENDRA PRASAD BASIA
PAN:AAEPB2709B
|
|
MISAPPROPRIATED CLIENT SECURITIES AND/OR FUNDS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-FEB-2019 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-FEB-2019 TILL FURTHER ORDERS
CEASED AND DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 27-FEB-2019 TILL 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 TO UTILIZE ASSETS OF THE ENTITIES ONLY FOR THE PURPOSE OF PAYMENT OF MONEY AND/OR DELIVERY OF SECURITIES, AS THE CASE MAY BE, TO CLIENTS/INVESTORS UNDER THE SUPERVISION OF CONCERNED STOCK EXCHANGE(S)
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
27-FEB-2019
|
|
| 216 |
|
|
ALLIED FINANCIAL SERVICES PVT.LTD.
(PAN:AAACA2020K)
|
|
|
|
AWANISH KUMAR MISHRA
PAN:AGOPM7538H
|
|
|
JITENDRA KUMAR TIWARI
PAN:ALBPT6629A
|
|
MISAPPROPRIATED CLIENT SECURITIES AND/OR FUNDS
DID NOT MAINTAIN CONTINUOUS NETWORTH
FALSIFIED BOOKS AND WRONGLY REPORTED TO STOCK EXCHANGE
DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
PROVIDED DISPROPORTIONATE EXPOSURE TO CLIENTS
VIOLATED REGULATION 9(C), 12(A) AND 16 OF SEBI (INTERMEDIARIES) REGULATIONS, 2008
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 04-NOV-2022 TO 03-NOV-2029
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-NOV-2022 TO 03-NOV-2029
CEASED AND DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 04-NOV-2022 TO 03-NOV-2029
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 UTILIZE ASSETS OF THE ENTITIES ONLY FOR THE PURPOSE OF PAYMENT OF MONEY AND/OR DELIVERY OF SECURITIES, AS THE CASE MAY BE, TO CLIENTS/INVESTORS UNDER THE SUPERVISION OF CONCERNED STOCK EXCHANGE(S)
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 DEPOSITORIES TO CLOSELY MONITOR ACTIVITIES AS DEPOSITORY PARTICIPANT
DIRECTED TO REFUND MONEY TO THE INVESTORS
27-FEB-2019
|
SEBI VIDE ITS ORDER DATED 17/05/2019 CONFIRMEND THE DIRECTIONS ISSUED VIDE INTERIM ORDER DATED 27/02/2019
SEBI VIDE ITS ORDER DATED 20/06/2019 DIRECTED TO CONTINUE ALL THE DIRECTIONS CONTAINED IN INTERIM ORDER DATED 27/02/2019 AND CONFIRMATORY ORDER DATED 17/05/2019 EXCEPT PROHIBITION CONTAINED IN PARA 8 (C) AND PARA 8(E) OF INTERIM ORDER DATED 27/02/2019
SEBI VIDE ITS ORDER DATED 04/11/2022 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET IN ANY MANNER AND ARE ALSO PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER FOR SEVEN YEARS B) IMPOSED PENALTY RS.50 LAC U/S 23D OF SCRA C) JOINTLY AND SEVERALLY LIABLE TO REPAY/REFUND THE MONIES DUE TO INVESTORS/CLIENTS UNDER THE SUPERVISION OF NSE D) JOINTLY AND SEVERALLY LIABLE TO RETURN THE SECURITIES DUE TO INVESTORS/CLIENTS OR THEIR MONETARY VALUE AS ON THE DATE OF ACTUAL PAYMENT OF MONEY IN LIEU OF SHARES, UNDER THE SUPERVISION OF NSE E) NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS, WHETHER MOVABLE OR IMMOVABLE (INCLUDING FUNDS IN THEIR BANK ACCOUNTS), OR CREATE ANY INTEREST OR CHARGE IN ANY SUCH ASSETS, TILL SUCH TIME THE REFUNDS/REPAYMENTS F) NO DEBITS TO BE MADE IN THE BANK ACCOUNTS HELD BY NOTICEES, EXCEPT FOR THE PURPOSE OF PAYMENT OF MONEY TO CLIENTS/INVESTORS UNDER WRITTEN CONFIRMATION OF NSE, TILL SUCH TIME THE REFUNDS/REPAYMENTS ARE COMPLETED G) NSE DEFAULTERS COMMITTEE SHALL, AS EXPEDITIOUSLY AS POSSIBLE, OPEN AND OPERATE A DEDICATED DEMAT ACCOUNT WHERE ALL THE SECURITIES LYING IN THE DEMAT ACCOUNTS OF NOTICE TO BE TRANSFERRED H) NSE DEFAULTERS COMMITTEE TO OPEN AND OPERATE DEDICATED INTEREST BEARING BANK ACCOUNTSWITH NATIONALIZED BANK WHERE ALL THE FUNDS LYING IN VARIOUS BANK ACCOUNTS HELD IN THE NAME OF NOTICES TO BE TRANSFERRED I) MODALITIES OF SELLING THE ASSETS, DEPOSITING THE PROCEEDS THEREOF IN THE ESCROW ACCOUNTS OPENED IN ACCORDANCE WITH THE DIRECTIONS CONTAINED IN PARAGRAPHS 59 (J) AND 59
SAT: SAT VIDE ITS ORDER DATED 25/11/2022 DIRECTED NSE TO PASS AN APPROPRIATE ORDER EXPEDITIOUSLY
|
| 217 |
|
|
ALLIED FINANCIAL SERVICES PVT.LTD.
(PAN:AAACA2020K)
|
|
|
|
JITENDRA KUMAR TIWARI
PAN:ALBPT6629A
|
|
INDULGED IN FACILITATION ON PART OF AFSPL INCLUDING FRAUDULENT TRANSFER OF MF UNITS VIOLATING REGULATIONS 3(A), 4(1) AND 4(2)(P) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ALLIED FINANCIAL SERVICES PVT.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-JUL-2021 TO 01-JUL-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-JUL-2021 TO 01-JUL-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
02-JUL-2021
|
|
| 218 |
|
|
ALLIED FINANCIAL SERVICES PVT.LTD.
(PAN:AAACA2020K)
|
|
|
|
HIMANSHU ARORA
PAN:AUXPA3314Q
|
|
INDULGED IN FACILITATION ON PART OF AFSPL INCLUDING FRAUDULENT TRANSFER OF MF UNITS VIOLATING REGULATIONS 3(A), 4(1) AND 4(2)(P) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ALLIED FINANCIAL SERVICES PVT.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-JUL-2021 TO 01-JUL-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-JUL-2021 TO 01-JUL-2024
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
02-JUL-2021
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ALOSHA VANIJYA PVT.LTD.
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RAJENDRA KUMAR AGARWAL
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INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR TRADES, SYNCHRONIZED TRADES AND OFF-MARKET TRANSACTIONS IN SCRIPS OF CALS REFINERIES LTD.,CONFIDENCE PETROLEUM INDIA LTD.,BANG OVERSEAS LTD.,SHREE PRECOATED STEELS LTD. AND TEMPTATION FOODS LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 04-JUN-2009 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-JUN-2009 TILL FURTHER ORDERS
DIRECTED BSE TO EXAMINE DEALINGS OF CHIMANLAL MANEKLAL SECURITIES PVT.LTD. IN SCRIP OF CALS REFINERIES LTD.
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
MATTER REFERRED TO INCOME TAX DEPARTMENT TO LOOK INTO POSSIBLE ALTERNATIVE PAY-OFFS OUTSIDE SECURITES MARKET
04-JUN-2009
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AD-INTERIM EX-PARTE ORDER DATED 04/06/2009 CONFIRMED, VIDE ORDER DATED 31/12/2009
DIRECTED STOCK EXCHANGES TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING POSITIONS IN F&O SEGMENT AND NOT TO CREATE FRESH POSITIONS FOR CONNECTED CLIENTS. FURTHER DIRECTED NSE TO WITHHOLD PROFIT ARISING OUT OF SQUARING OFF THESE POSITIONS VIDE ORDER DATED 05/06/2009
SEBI VIDE ITS ORDER DATED 09/04/2012 REVOKED ITS DIRECTIONS ISSUED VIDE AD-INTERIM EX-PARTE ORDER DATED 04/06/2009 AND CONFIRMATORY ORDER DATED 31/12/2009 WITH IMMEDIATE EFFECT AND DISPOSED OFF SCN WITHOUT ANY FURTHER DIRECTION
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ALPESH R.SHAH (HUF)
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INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED/CIRCULAR TRANSACTIONS IN SCRIPS OF ALLCARGO LOGISTICS LTD.,ASIAN STAR CO.LTD.,KSL & INDUSTRIES LTD.,MAVENS BIOTECH LTD.,PANORAMIC UNIVERSAL LTD.,RASI ELECTRONIC LTD.,SAT INDUSTRIES LTD. AND USHDEV INTERNATIONAL LTD.
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DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-FEB-2010 TILL FURTHER ORDERS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-FEB-2010 TILL FURTHER ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
20-FEB-2010
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DIRECTION ISSUED VIDE EX-PARTE AD INTERIM ORDER DATED 20/02/2010 CONFIRMED, VIDE ORDER DATED 06/10/2010
SEBI VIDE ITS ORDER DATED 06/09/2013 DIRECTED NOTICEES THAT DIRECTIONS ISSUED VIDE INTERIM ORDER DATED FEBRUARY 20, 2010 AND CONFIRMATORY ORDER DATED OCTOBER 6, 2010 SHALL NOT CONTINUE
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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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