| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 201 |
|
AJAYKUMAR RAMAKANT SHARMA
(PAN:AZJPS8694Q)
|
|
|
ALLEGED AIDING AND ABETTING MR.NIRMAL KUMAR SONI TO EXECUTE TRADES IN HIS ACCOUNT AND IN THE ACCOUNTS OF SAAR COMMODITIES PVT.LTD., MANAN SHARECOM PVT.LTD. AND KANHYA TRADING CO.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.57,20,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES) FROM 16-JAN-2025 TO 15-JUL-2025
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 16-JAN-2025 TO 15-JUL-2025
16-JAN-2025
|
|
| 202 |
|
|
AJIT DEEPCHAND JAIN
(PAN:ABWPJ1925C)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 203 |
|
|
AJIT KHANDELWAL
(PAN:AKSPK7801K)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF BNK CAPITAL MARKETS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.9,30,396 VIDE CONSENT ORDER)
20-JAN-2022
|
|
| 204 |
|
|
AJIT KHANDELWAL
(PAN:AKSPK7801K)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 30(1) AND 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF BNK CAPITAL MARKETS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.13,54,688 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
29-NOV-2021
|
|
| 205 |
|
|
AJIT KUMAR SHROFF
(PAN:ALEPS2054H)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 206 |
|
|
AJIT MITTAL
(PAN:ACQPM5890A)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 207 |
|
|
AJIT PAL SINGH SIDANA
(PAN:AWIPS5120K)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 208 |
|
|
AJITBHAI KESHAVLAL PATEL
(PAN:ADGPP7980B)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF AROMA ENTERPRISES (INDIA) LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.7,98,273 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
22-DEC-2017
|
|
| 209 |
|
|
AJMAIR SINGH BHULLAR
|
|
|
|
JAMES HOTELS LTD.
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997 FOR YEARS 1997-1998 TO 2004-2005 IN MATTER OF ACQUISITION OF 20% SHARES OF JAMES HOTELS LTD.
|
REACHED SETTLEMENT (CONSENT ORDER)
05-DEC-2008
|
|
| 210 |
|
|
AJMERA CHIMANLAL CHHOTALAL
(PAN:AACHA3892C)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 211 |
|
|
AJOY CHAWLA
(PAN:AADPC3230D)
|
|
|
ALLEGED TRADING IN SHARES WHEN TRADING WINDOW WAS CLOSED VIOLATING CLAUSE 4 AND 10 OF CODE OF CONDUCT UNDER SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF TITAN CO.LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.30,44,063 VIDE CONSENT ORDER)
13-OCT-2020
|
|
| 212 |
|
|
AJOY SHROFF
(PAN:AINPS2184E)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 213 |
|
|
AKANCHA GUPTA
(PAN:BNVPG7645G)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 214 |
|
|
AKANKSHA GARG
(PAN:AEAPG8874L)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 215 |
|
|
AKANKSHA PANDEY
(PAN:CLJPP4088H)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 216 |
|
|
AKANKSHI RASTOGI
(PAN:AHRPR3896B)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 217 |
|
|
AKANSHA AGRAWAL
(PAN:AWYPA2784P)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 218 |
|
|
AKANSHA BETALA
(PAN:AMFPB8075R)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 219 |
|
|
AKANSHA KHANDELWAL
(PAN:AIPPK7377K)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 220 |
|
|
AKANSHA SINGH
(PAN:FVAPS8268E)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 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 11 of 438
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