| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 201 |
|
ANKIT KAPUR
|
|
|
|
UNICEL IMPEX PVT.LTD.
|
|
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) READ WITH REGULATION 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 10,000 MORE SHARES MAKING IT 79.77% HOLDING IN SCRIP OF UNIPRODUCTS (INDIA) LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.9,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
03-MAR-2009
|
|
| 202 |
|
|
ANKIT PRAMODKUMAR PODDAR
|
|
|
|
GOVIND RUBBER LTD.
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GOVIND RUBBER LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF GOVIND RUBBER LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 10(7) OF SAST REGULATIONS, 2011 IN MATTER OF GOVIND RUBBER LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,91,581 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-FEB-2019
|
|
| 203 |
|
|
ANKIT SHASHIKANT KANSARA
(PAN:AKPPK4485L)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHERS ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 10/09/2012 REVOKED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/07/2009 AND CONFIRMATORY ORDER DATED 30/10/2009 WITH IMMEDIATE EFFECT
|
| 204 |
|
|
ANKUR AGARWAL
|
|
|
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) READ WITH 14 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF RAMA PAPER MILLS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.21,25,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-JUN-2016
|
|
| 205 |
|
|
ANKUR BHANSALI
(PAN:ALGPB3442E)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF CLASSIC DIAMONDS (INDIA) LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-SEP-2017 TO 21-SEP-2018
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-SEP-2017 TO 21-SEP-2018
22-SEP-2017
|
|
| 206 |
|
|
ANKUR GARG
(PAN:AEOPG9220N)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(1) READ WITH 13(6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF STANDARD SURFACTANTS LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A) READ WITH 7(3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF STANDARD SURFACTANTS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.96,60,398 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
08-JUL-2019
|
|
| 207 |
|
|
ANKUSH ASHOK GUPTA
(PAN:AHCPG2531K)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 12 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SVC RESOURCES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SVC RESOURCES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1) AND 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF SVC RESOURCES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF SVC RESOURCES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 3(1) READ WITH 3(3) OF SAST REGULATIONS, 2011 IN MATTER OF SVC RESOURCES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF SVC RESOURCES LTD.
|
IMPOSED PENALTY RS.3,40,000
31-JUL-2020
|
SEBI VIDE ITS NOTICE DATED 22/04/2021 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1.ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) BY WHATEVER NAME CALLED INCLUDING LOCKERS 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 ORDER DATED 30/04/2021 DIRECTED ALL THE BANKS TO REMIT RS.6,98,443.00 TO THE EXTENT LYING IN THE ACCOUNT OF ANKUSH ASHOK GUPTA BY WAY OF EFT/NEFT/RTGS
SAT: SAT VIDE ITS ORDER DATED 09/06/2022 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 31/07/2020. DIRECTED APPELLANTS TO APPEAR BEFORE THE AO ON 30/06/2022 AND DIRECTED AO TO DECIDE THE MATTER AFRESH WITHIN FOUR MONTHS AFTER THE REPLY RECEIVED
SEBI VIDE ITS ORDER DATED 30/11/2022 REDUCED PENALTY TO RS.3.40 LAC FROM RS.6.40 LAC U/S 15A(B) AND U/S 15H(II) OF SEBI ACT,1992 AND DIRECTED TO PAY WITHIN FORTY-FIVE DAYS FROM DATE OF THIS ORDER
SEBI VIDE ITS NOTICE DATED 12/04/2023 DIRECTED TO PAY RS.3,58,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 02/05/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6398 OF 2023 DATED 12/04/2023
|
| 208 |
|
|
ANKUSH ASHOK GUPTA
(PAN:AHCPG2531K)
(Along with : ASHOK BANWARILAL GUPTA,
SUSHMA ASHOK GUPTA,
AKSHAT GUPTA)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SANTOWIN CORP.LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-JUN-2017
|
|
| 209 |
|
|
ANNAMMA JOSEPH
(PAN:ACBPJ6450E)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY, STOCK EXCHANGES AND SEBI AS REQUIRED UNDER REGULATIONS 3(3),3(4),6(3),7(1A) AND 8(2) OF SEBI TAKEOVER CODE, 1997
ALLEGED DELAY IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.13,48,242 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-JUN-2013
|
|
| 210 |
|
|
ANNANDI SURI
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 10 AND 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MOREPEN LABORATORIES LTD.
|
REJECTED APPLICATION FILED FOR GRANT OF EXEMPTION FROM TAKEOVER REGULATIONS, 1997
29-NOV-2011
|
|
| 211 |
|
|
ANNAPAREDDY LEELA
(PAN:ACHPA5541M)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) READ WITH REGULATION 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SRI VAJRA GRANITES LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
16-MAY-2017
|
|
| 212 |
|
|
ANNAPAREDDY NAMRATHHA
(PAN:AHZPA5662L)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) READ WITH REGULATION 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SRI VAJRA GRANITES LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
16-MAY-2017
|
|
| 213 |
|
|
ANNAPAREDDY SUDHAKER REDDY
(PAN:ADIPA6803E)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) READ WITH REGULATION 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SRI VAJRA GRANITES LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
16-MAY-2017
|
|
| 214 |
|
|
ANNAPURNA SRIDHAR
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF GLOBAL TRUST BANK LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF GLOBAL TRUST BANK LTD.
PARKED SHARES TO CIRCUMVENT SEBI TAKEOVER CODE, 1997
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2002 TILL INVESTIGATION COMPLETED
31-DEC-2002
|
|
| 215 |
|
|
ANNAPURNA SRIDHAR
|
|
|
|
GLOBAL TRUST BANK LTD.
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF GLOBAL TRUST BANK LTD.
PARKED SHARES TO CIRCUMVENT SEBI TAKEOVER CODE, 1997
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2002 TO 30-JUN-2004
23-MAR-2004
|
|
| 216 |
|
|
ANSH BHAVESH GANDHI
|
|
|
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF HORIZON INFRASTRUCTURE LTD. (NOW KNOWN AS SKIL INFRASTRUCTURE LTD.)
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,32,74,000, INTEREST RS.5,10,595 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-MAY-2017
|
|
| 217 |
|
|
ANSH BHAVESH GANDHI
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF HORIZON INFRASTRUCTURE LTD.
|
DIRECTED TO DISINVEST 1,98,000 SHARES OF HORIZON INFRASTRUCTURE LTD.THROUGH SALE TO PARTIES NOT CONNECTED / RELATED TO THEM IN SMALL LOTS IN TRENCHES ON BSE AND NSE ENSURING THAT SUCH SALE DOES NOT DISTURB MARKET EQUILIBRIUM
DIRECTED TO TRANSFER ENTIRE PROCEEDS OF SALE OF SHARE TO INVESTOR PROTECTION AND EDUCATION FUND ESTABLISHED UNDER SEBI (INVESTOR PROTECTION AND EDUCATION FUND) REGULATIONS, 2009
04-MAR-2015
|
|
| 218 |
|
|
ANSHUMAN PRAKASH
|
|
|
|
DEHRADUN TEA CO.LTD.
|
|
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
IMPOSED PENALTY RS.40,000 ALONG WITH OTHER ENTITIES/PERSONS
15-MAR-2007
|
|
| 219 |
|
|
ANU S.WADHAWAN
(PAN:AAQPW2792P)
(Along with : KAPIL KUMAR WADHAWAN,
DHEERAJ RAJESHKUMAR WADHAWAN,
RAKESH KUMAR WADHAWAN,
SARANG WADHAWAN,
ARUNA RAJESHKUMAR WADHAWAN,
MALTI RAKESH KUMAR WADHAWAN,
POOJA D.WADHAWAN)
|
|
|
|
GALAXY INFRAPROJECTS & DEVELOPERS PVT.LTD.
PAN:AACCG7477N
|
|
|
SILICON FIRST REALTORS PVT.LTD.
PAN:AACCG7477N
|
|
|
WADHAWAN CONSOLIDATED HOLDINGS PVT.LTD.
PAN:AACCD2944F
|
|
|
WADHAWAN GLOBAL CAPITAL PVT.LTD.
PAN:AAACW9811G
|
|
|
WADHAWAN RETAIL VENTURES PVT.LTD.
PAN:AAACW6632R
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF DEEWAN HOUSING FINANCE CORP.LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCAHNGES AS REQUIRED UNDER REGULATION 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF DEEWAN HOUSING FINANCE CORP.LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF DEEWAN HOUSING FINANCE CORP.LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF DEEWAN HOUSING FINANCE CORP.LTD.
|
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
20-SEP-2023
|
SAT: SAT VIDE ITS ORDER DATED 20/02/2024 CONDONED THE DELAY IN FILING OF APPEAL. ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER. DIRECTED APPELLANTS TO DEPOSIT RS.25 LAC EACH WITHIN FOUR WEEKS FROM DATE OF THIS ORDER. IF AMOUNT DEPOSITED, NO FURTHER RECOVERY TO BE INITIATED AGAINST THE APPELLANT
SAT: SAT VIDE ITS ORDER DATED 24/04/2024 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED FOUR WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 05/07/2024 GRANTED APPELLANTS TWO WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 27/11/2024 GRANTED APPELLANTS TWO WEEKS TO FILE REJOINDER
|
| 220 |
|
|
ANUBHA GUPTA
(PAN:AAXPG9710A)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF KAILASH AUTO FINANCE LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF KAILASH AUTO FINANCE LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF KAILASH AUTO FINANCE LTD.
|
IMPOSED PENALTY RS.20,00,000 ALONG WITH OTHER ENTITIES/PERSONS
17-MAR-2015
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 11 of 148
|
