S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
201 |
|
VIJAYBHAI MOHANBHAI MAKWANA
(PAN:AAPPM6445E)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
|
202 |
|
VIKAS GUPTA
(PAN:ABOPG4132E)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
|
203 |
|
VIKAS KUMAR JAIN
(PAN:AJLPJ2277L)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
|
204 |
|
VIKRAM DAMODAR JALAN
(PAN:AGTPJ5257D)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH REVERSAL OF TRADE TRANSACTIONS, CIRCULAR, SYNCHRONIZED AND SELF TRADES IN SCRIP OF CRAZY INFOTECH LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-FEB-2015 TO 09-FEB-2017
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-FEB-2015 TO 09-FEB-2017
10-FEB-2015
|
|
205 |
|
VIKRAMADITYA
|
|
|
HSBC ASSET MANAGEMENT (INDIA) PVT.LTD.
PAN:AABCH0007N
|
|
DID NOT PROVIDE TIMELY INFORMATION TO INVESTORS/UNITHOLDERS ABOUT CHANGES IN INVESTMENT POLICIES, OBJECTIVES AND DURATION OF SCHEME ETC AS REQUIRED UNDER CLAUSES 2,6 AND 9 OF CODE OF CONDUCT AND REGULATION 25(1) OF MUTUAL FUNDS REGULATIONS, 1996
DID NOT ADHERE TO PROVISIONS OF MUTUAL FUNDS REGULATIONS, DIRECTIVES/INSTRUCTIONS/GUIDELINES AND CIRCULARS ISSUED FROM TIME TO TIME AS REQUIRED UNDER 25(6A) OF MUTUAL FUNDS REGULATIONS, 1996
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
23-APR-2010
|
SAT: SAT VIDE ITS ORDER DATED 03/05/2011 DIRECTED TO COMPLY WITH REGULATION 18(15A) OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 QUA THE APPELLANTS AND PROVIDE THEM WITH AN EXIT ROUTE
|
206 |
|
VIMAL JOSHI
|
|
|
PRIME CAPITAL MARKET LTD.
CIN:L67120OR1994PLC003649 PAN:AABCP9313M
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF PRIME CAPITAL MARKET LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
14-DEC-2009
|
|
207 |
|
VINAYAK MARUTI BHANAGE
(PAN:ABQPB5361E)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH REVERSAL OF TRADE TRANSACTIONS, SYNCHRONIZED, SELF TRADE AND OFF MARKET TRANSACTIONS IN SCRIP OF CRAZY INFOTECH LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
10-FEB-2015
|
|
208 |
|
VINIT SATPUTE
(DIN:07737200 PAN:EBMPS2703F)
|
|
|
BULL RESEARCH INVESTMENT ADVISORS PVT.LTD.
PAN:AAHCB1200H
|
|
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
SOLD ADVISORY SERVICES/PACKAGES TO SAME CLIENTS ON MULTIPLE OCCASION AT DIFFERENT ARBITRARY PRICE FOR FUTURE/OVERLAPPING PERIOD WHILE EXISTING SUBSCRIPTION WAS ACTIVE
RECEIVED PAYMENT FROM FAMILY MEMBERS OF PRIMARY CLIENTS TO HIDE EXORBITANT FEES TAKEN FROM PRIMARY CLIENT
RECEIVED PAYMENT BEFORE DOING KNOW YOUR CLIENTS (KYC) AND RISK PROFILING OF CLIENTS
RAISED INVOICES IN THE NAME OF CLIENTS WHO DID NOT HAVE DEMAT/TRADING ACCOUNT
SOLD ADVISORY SERVICES/PRODUCTS TO CLIENTS WITHOUT ENSURING SUITABILITY OF ADVICE ACCORDING TO THEIR RISK PROFILE
DID NOT POSSESS NISM CERTIFICATE
DID NOT ADHERE TO REQUIREMENT OF CAPITAL ADEQUACY
NOT A FIT & PROPER PERSON TO ACT AS AN INVESTMENT ADVISOR
|
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO ACCEPT REFUND CLAIMS/REQUESTS FROM THE PUBLIC
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO FILE A REPORT OF RESOLUTION OF COMPLAINTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
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
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
15-SEP-2023
|
SAT: SAT VIDE ITS ORDER DATED 09/07/2024 CONDONED THE DELAY IN FILING OF APPEAL. GRANTED RESPONDENT FOUR WEEKS TIME TO FILE REPLY AND REJOINDER MAY BE FILED WITHIN FOUR WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 17/09/2024 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED FOUR WEEKS TO FILE REJOINDER
|
209 |
|
VINOD KHETAN
(PAN:AHNPK7226L)
|
|
|
CREATED ARTIFICIAL MARKETS IN SCRIP OF AKL SOFT & INFOSYS LTD.
TRANSACTED IN SCRIP OF AKL SOFT & INFOSYS LTD. WITHOUT TRANSFERRING BENEFICIAL OWNERSHIP WITH THE INTENTION TO INFLATE PRICES
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
16-SEP-2005
|
|
210 |
|
VIPIN SHARMA
(PAN:ABHPS7947N)
|
|
|
CHROMATIC INDIA LTD.
PAN:AAACC6220B
|
|
DID NOT MAKE CORRECT DISCLOSURE TO STOCK EXCHANGES ABOUT SUBSCRIPTION OF GDR ISSUE VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) & 4(1) OF PFUTP REGULATIONS, 2003 IN MATTER OF CHROMATIC INDIA LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
30-SEP-2019
|
SAT: SAT VIDE ITS ORDER DATED 06/02/2020 ALLOWED THE APPEAL AND DIRECTED APPELLANT TO APPEAR BEFORE WTM OF SEBI ON 20/02/2020
SEBI VIDE ITS ORDER DATED 25/09/2020 WARNED NOTICEE TO BE CAREFUL AND EXERCISE DILIGENCE IN FUTURE WHILE DEALING IN SECURITIES MARKET, WHILE ASSOCIATING HIMSELF WITH ANY LISTED COMPANY IN ANY CAPACITY
|
211 |
|
VISHAL G.PANDYA
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF AXEL POLYMERS LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2009
|
|
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
|
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