| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 201 |
|
ESTEEM BIO ORGANIC FOOD PROCESSING LTD.
(CIN:L74899DL1995PLC071220
PAN:AAACE1925D)
|
|
|
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 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 ESTEEM BIO ORGANIC FOOD PROCEESING LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-JUN-2015 TO 28-JUN-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-JUN-2015 TO 28-JUN-2023
RESTRAINED FROM ACCESSING SECURITIES MARKET INCLUDING BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 29-JUN-2015 TO 28-JUN-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
29-JUN-2015
|
SAT: SAT VIDE ITS ORDER DATED 02/08/2016 DISPOSED OF ALL THE APPEALS AS ALSO MISC. APPLICATIONS AS WITHDRAWN WITH DIRECTION TO BSE TO PERMIT THE APPELANTS TO MAKE SUBMISSIONS ON ALL ISSUES RELATING TO IMPUGNED ORDER DATED 05/08/2015 INCLUDING THE ISSUE RELATING TO CONTINUANCE OF COMPULSORY MARKET MAKING AND THEREAFTER PASS APPROPRIATE ORDER THEREON. NO COSTS
SEBI VIDE ITS ORDER DATED 25/08/2016 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 29/06/2015 READ WITH CORRIGENDUM ORDER DATED 04/01/2016 EXCEPT THAT NOTICEES CAN: A) ENTER INTO DELIVERY BASED TRANSACTIONS IN CASH SEGMENT IN SECURITIES COVERED IN NSE NIFTY 500 INDEX SCRIPS AND / OR S&P BSE 500 SCRIPS B) SUBSCRIBE TO UNITS OF MUTUAL FUNDS INCLUDING THROUGH SIP AND REDEEM THE UNITS OF MUTUAL FUNDS SO SUBSCRIBED C) DEAL IN DEBT/GOVERNMENT SECURITIES D) INVEST IN ETF E) AVAIL THE BENEFITS OF CORPORATE ACTIONS LIKE RIGHTS ISSUE, BONUS ISSUE, STOCK SPLIT, DIVIDEND, ETC. F) TENDER THE SHARES LYING IN THEIR DEMAT ACCOUNT IN ANY OPEN OFFER/DELISTING OFFER UNDER THE RELEVANT REGULATIONS OF SEBI. SEBI ALLOWED THEM FURTHER RELAXATIONS/RELIEFS A) THEY ARE PERMITTED TO SELL THE SECURITIES LYING IN THEIR DEMAT ACCOUNTS AS ON THE DATE OF THE INTERIM ORDER, OTHER THAN THE SHARES OF THE COMPANIES WHICH ARE SUSPENDED FROM TRADING BY THE CONCERNED STOCK EXCHANGE AND THE SHARES OF THE FOUR SCRIPS IN THE SME SEGMENT COVERED UNDER THIS ORDER, IN ORDERLY MANNER UNDER THE SUPERVISION OF THE STOCK EXCHANGES SO AS NOT TO DISTURB THE MARKET EQUILIBRIUM AND DEPOSIT THE SALE PROCEEDS IN INTEREST BEARING ESCROW ACCOUNT WITH A NATIONALIZED BANK B) THEY MAY DEAL WITH OR UTILIZE THE SALE PROCEEDS LYING IN THE ESCROW ACCOUNT UNDER THE SUPERVISION OF THE CONCERNED STOCK EXCHANGE
SEBI VIDE ITS ORDER DATED 22/12/2020 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET INCLUDING BY ISSUING ANY PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM THE PUBLIC IN ANY MANNER FOR PERIOD OF EIGHT YEARS B) RESTRAINT THE EXISTING HOLDING OF SECURITIES INCLUDING THE UNITS OF MUTUAL FUNDS REMAIN UNDER FREEZE
SAT: SAT VIDE ITS ORDER DATED 15/06/2023 REJOINDER TO BE FILE WITHIN TWO WEEKS FROM DATE OF THIS ORDER
|
| 202 |
|
|
EVER BRIGHT TRADING PVT.LTD.
(PAN:AAICM3232F)
|
|
|
|
AKSHAYKUMAR ANIRUDDH PANDYA
PAN:AQBPP1300R
|
|
|
CHINTAN BHARATBHAI KAPADIA
PAN:AUDPK9076H
|
|
|
KEVAL CHANDRAKANT SHAH
PAN:CDWPS5830H
|
|
|
PRATEEK SHAILESHBHAI PATEL
PAN:BSHPP0982J
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF GOLDEN LEGAND & FINANCE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 26-MAR-2019 TO 25-MAR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 26-MAR-2019 TO 25-MAR-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
26-MAR-2019
|
|
| 203 |
|
|
EVER BRIGHT TRADING PVT.LTD.
(PAN:AAICM3232F)
|
|
|
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 |
|
|
EVERSAFE PROMOTERS PVT.LTD.
(PAN:AACCE8491Q)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KAILASH AUTO FINANCE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-DEC-2018 TO 04-DEC-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-DEC-2018 TO 04-DEC-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
05-DEC-2018
|
|
| 205 |
|
|
EYESIGHT SHARE TRADING PVT.LTD.
(PAN:AADCE5604J)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF EXCEL CASTRONICS LTD.
|
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 01-OCT-2021 TO 31-MAR-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
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
IMPOSED PENALTY RS.10,00,000
01-OCT-2021
|
SAT: SAT VIDE ITS ORDER DATED 05/01/2022 CONDONED THE DELAY IN FILING OF APPEAL. RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANTS TO FILE REJOINDER WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 11/01/2022 CONDONED THE DELAY OF 14 DAYS IN FILING OF APPEAL AND DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER ON OR BEFORE THE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 25/02/2022 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 07/04/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 22/07/2022 DIRECTED TO PAY RS.10,97,658.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 20/09/2022 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 14/09/2022 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 14/10/2022 DIRECTED TO FILE THE REJOINDER, IF ANY, ON OR BEFORE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 06/06/2023 REJECTED THE APPLICATION
|
| 206 |
|
|
FALCON TYRES LTD.
(CIN:L25114KA1973PLC002455
PAN:AAACF7258E)
|
|
|
|
DAMODAR PRASAD DHANI
PAN:ACHPD7565J
|
|
|
SUBBARATHNAM RAVI
PAN:ADEPR0817K
|
|
DID NOT ADHERE TO THE REQUIREMENT OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT VIOLATING CLAUSE 40A OF LISTING AGREEMENT READ WITH RULE 19A OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH SECTION 21 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
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 24-MAR-2021 TO 23-SEP-2021
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 24-MAR-2021 TO 23-SEP-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 24-MAR-2021 TO 23-SEP-2021
24-MAR-2021
|
|
| 207 |
|
|
FALCON TYRES LTD.
(CIN:L25114KA1973PLC002455
PAN:AAACF7258E)
|
|
|
|
PAWAN KUMAR RUIA
PAN:ACNPR3823K
|
|
DID NOT ADHERE TO THE REQUIREMENT OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT VIOLATING CLAUSE 40A OF LISTING AGREEMENT READ WITH RULE 19A OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH SECTION 21 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
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 24-MAR-2021 TO 23-MAR-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 24-MAR-2021 TO 23-MAR-2023
24-MAR-2021
|
|
| 208 |
|
|
FALCON TYRES LTD.
(CIN:L25114KA1973PLC002455
PAN:AAACF7258E)
|
|
|
|
SUNIL BHANSALI
PAN:AKRPB5641H
|
|
DID NOT ADHERE TO THE REQUIREMENT OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT VIOLATING CLAUSE 40A OF LISTING AGREEMENT READ WITH RULE 19A OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH SECTION 21 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
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 24-MAR-2021 TO 23-MAR-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 24-MAR-2021 TO 23-MAR-2022
24-MAR-2021
|
|
| 209 |
|
|
FALKON INDUSTRIES INDIA LTD.
(CIN:U19200WB2009PLC138866
PAN:AABCF4251E)
|
|
|
|
AKMAL SEKH
DIN:02502409
PAN:BZMPS1847R
|
|
MOBILIZED RS.49.00 LACS FROM PUBLIC THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 714 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36), 73 READ WITH SECTION 465 OF COMPANIES ACT, 2013
|
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 26-FEB-2021 TO 25-FEB-2025
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 26-FEB-2021 TO 25-FEB-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 26-FEB-2021 TO 25-FEB-2025
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
PERMITTED TO SELL ASSETS OF COMPANY FOR SOLE PURPOSE OF MAKING REFUNDS AND DEPOSIT PROCEEDS IN AN ESCROW ACCOUNT OPENED WITH NATIONALISED BANK
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 26-FEB-2021 TO 25-FEB-2025
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
20-NOV-2015
|
|
| 210 |
|
|
FANCOS TRADEMART PVT.LTD.
(PAN:AACCF8546P)
|
|
|
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
|
SEBI VIDE ITS ORDER DATED 06/12/2019 REVOKED ITS DIRECTIONS ISSUED VIDE ITS EX-PARTE INTERIM ORDER DATED 28/02/2019
|
| 211 |
|
|
FASTNER MACHINERY DEALERS LTD.
(PAN:AABCF6671N)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET & PRICE MANIPULATION IN SCRIP OF JAISUKH DEALERS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-MAR-2022 TO 27-SEP-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-MAR-2022 TO 27-SEP-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
28-MAR-2022
|
|
| 212 |
|
|
FESTINO VINCOM LTD.
(PAN:AABCF3822F)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF BHATIA COMMUNICATIONS & RETAIL (INDIA) LTD.
|
DIRECTED TO DISGORGE RS.7,49,56,333 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS/PROPERTIES/ SECURITIES
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 30-MAY-2024 TO 29-MAY-2027
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
30-MAY-2024
|
SAT: SAT VIDE ITS ORDER DATED 08/11/2024 GRANTED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 213 |
|
|
FIDELITY MULTITRADE PVT.LTD.
(PAN:AABCF0017A)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF SUPER SALES INDIA LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-APR-2022 TO 28-JUL-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-APR-2022 TO 28-JUL-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
29-APR-2022
|
SAT: SAT VIDE ITS ORDER DATED 20/03/2023 SET ASIDE IMPUGNED ORDER DATED 20/10/2021 AND REMITTED MATTER TO WTM TO DECIDE AFRESH WITHIN THREE MONTHS
|
| 214 |
|
|
FIDELITY MULTITRADE PVT.LTD.
(PAN:AABCF0017A)
|
|
|
|
BHARAT JAYANTILAL PATEL
PAN:AAAPP6652R
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR TRADING IN SCRIP OF SESHASAYEE PAPER & BOARDS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 04-MAR-2020 TO 03-MAR-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-MAR-2020 TO 03-MAR-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
04-MAR-2020
|
SAT: SAT VIDE ITS ORDER DATED 26/06/2020 DIRECTED SEBI TO FILE REPLY WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND MATTER TO BE LISTED FOR ADMISSION AND FINAL DISPOSAL ON 22/07/2020
SAT: SAT VIDE ITS ORDER DATED 08/09/2020 ALLOWED THE APPEAL AND QUASHED AND SET ASIDED THE IMPUGNED ORDER
|
| 215 |
|
|
FINALYSIS CREDIT & GUARANTEE CO.LTD.
(PAN:AABCF9494P)
|
|
|
|
ABDUL HAKIM KHAN
PAN:AHAPK0293Q
|
|
|
ABDUL ZAMEER HAKIM KHAN
PAN:ASXPK2911K
|
|
|
AMIR HAMZA HAKIM KHAN
PAN:ASXPK2912L
|
|
|
MOHAMMAD RAFI
PAN:BMEPM7501B
|
|
|
MOHD.SALIM KHAN
PAN:AVRPK7818C
|
|
|
REHANA KHAN
PAN:BVFPK4495L
|
|
|
SHAMSHAD BEGUM KHAN
PAN:AHMPP8481F
|
|
|
TALAT WAHADATALI MOHAMAD
PAN:AAHPM1979K
|
|
DEVISED A SCHEME TO DEFRAUD ORIGINAL PUBLIC SHAREHOLDERS BY ISSUING FORGED CONSOLIDATED SHARE CERTIFICATES AND THEREAFTER FRAUDULENTLY SOLD THESE CONSOLIDATED SHARE CERTIFICATES TO PURCHASERS BROUGHT BY BIPIN DIVECHA VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) & 4(2)(H) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF FINALYSIS CREDIT & GURANTEE CO.LTD.
|
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 05-MAY-2020 TO 04-MAY-2023
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 05-MAY-2020 TO 04-MAY-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
05-MAY-2020
|
|
| 216 |
|
|
FINALYSIS CREDIT & GUARANTEE CO.LTD.
(PAN:AABCF9494P)
|
|
|
|
BIPIN PUSHPASEN DIVECHA
PAN:AABPD5165A
|
|
|
DILIP SURESHCHANDRA SHAH
PAN:AJAPS4111R
|
|
|
JIGAR DILIP SHAH
PAN:BBOPS1405H
|
|
|
SHAM SADHURAM GANDHI
PAN:AAAPG8353J
|
|
|
SHARAD RAMCHANDRA GHADI
PAN:AIQPG6396R
|
|
DEVISED A SCHEME TO DEFRAUD ORIGINAL PUBLIC SHAREHOLDERS BY ISSUING FORGED CONSOLIDATED SHARE CERTIFICATES AND THEREAFTER FRAUDULENTLY SOLD THESE CONSOLIDATED SHARE CERTIFICATES TO PURCHASERS BROUGHT BY BIPIN DIVECHA VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) & 4(2)(H) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF FINALYSIS CREDIT & GURANTEE CO.LTD.
|
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 05-MAY-2020 TO 04-MAY-2025
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
05-MAY-2020
|
|
| 217 |
|
|
FROHAR TRADING PVT.LTD.
(PAN:AACCF0551A)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUNSTAR REALTY DEVELOPMENT LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-MAR-2021 TO 18-SEP-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-MAR-2021 TO 18-SEP-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
19-MAR-2021
|
|
| 218 |
|
|
FUTURE CORPORATE RESOURCES LTD.
(CIN:U74140MH2007PTC175603
PAN:AAJCS3979E)
|
|
|
|
ANIL BIYANI
PAN:AACPB0200F
|
|
|
KISHORE BIYANI
PAN:AACPB0199B
|
|
|
RAJESH PATHAK
PAN:ALIPP6155A
|
|
|
RAJKUMAR PANDE
PAN:AHTPP4635J
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND (E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF FUTURE RETAIL LTD.
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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 03-FEB-2021 TO 02-FEB-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
03-FEB-2021
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SAT: SAT VIDE ITS ORDER DATED 09/04/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 20/12/2023 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 03/02/2021. NO COSTS
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| 219 |
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FUTURE FINTRADE
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PREYESH MEHTA
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INDULGED IN SENDING BULK SMS WITH BUY RECOMMENDATIONS WITH ULTIMATE GOAL OF OFFLOADING SHAREHOLDING OF PROMOTERS/DIRECTORS IN MATTER OF SUPREME TEX MART LTD.
ACTED AS INVESTMENT ADVISOR OR RESEARCH ANALYST VIOLATING SECTION 12(1) OF SEBI ACT READ WITH REGULATION 3(1) OF SEBI (RESEARCH ANALYSTS) REGULATIONS, 2014 IN MATTER OF SUPREME TEX MART LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-NOV-2017 TO 31-OCT-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-NOV-2017 TO 31-OCT-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
DIRECTED TO CEASE & DESIST FROM DISSEMINATING NEWS OR MESSAGES IN ANY FORM RELATED TO SECURITIES MARKET, BY ANY MEANS WHATSOEVER FROM 01-NOV-2017 TO 31-OCT-2023
01-NOV-2017
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SEBI VIDE ITS ORDER DATED 30/10/2018 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX PARTE ORDER DATED 01/11/2017
SEBI VIDE ITS ORDER DATED 06/07/2022 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATING WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER FOR SIX YEARS B) DURING THE PERIOD OF RESTRAINT EXISTING HOLDING, INCLUDING UNITS OF MUTUAL FUNDS TO REMAIN FROZEN
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| 220 |
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FUTURE INVESTMENT
(PAN:ECYPK7182R)
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PINKY KELVA
PAN:ECYPK7182R
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PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
CHARGED EXTRA MONEY FROM CLIENTS/INVESTORS
SOLD MULTIPLE PACKAGES AND COLLECTS MULTIPLE PAYMENTS IN A SHORT PERIOD FROM CLIENTS
SOLD ADVISORY SERVICES PRIOR TO COMMUNICATION OF RISK PROFILE
DID NOT OBTAIN TRADING ACCOUNT CREDENTIALS FROM CLIENTS FOR TRADING ON THEIR BEHALF
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES IN STIPULATED TIME
DID NOT REDRESS INVESTOR COMPLAINTS
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CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 24-NOV-2023 TO 23-NOV-2024
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 24-NOV-2023 TO 23-NOV-2024
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
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
24-NOV-2023
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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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| Page 11 of 34
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